Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.

The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.

Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decisionsort descending Proceeding No. Title Type Order No.
Jan 11, 2018 2015047069701 Case Management and Scheduling Order Disciplinary Order 18-13
Feb 2, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Feb 14, 2018 2016049420501 Second Order Rescheduling Initial Pre-Hearing Conference Disciplinary Order 18-02
Feb 27, 2018 2015045254501 APPEALED: Richard O. White Disciplinary Decision
Feb 27, 2018 2012032731802 APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Disciplinary Decision
Mar 5, 2018 2015047154001 Order Denying Respondent’s Motion for Admission of Additional Exhibits Disciplinary Order 18-10
Mar 14, 2018 2016052347901 APPEALED: Austin Wayne Morton Disciplinary Decision
Mar 20, 2018 2015046971701 Order Granting Motion to Allow De Bene Esse Deposition Disciplinary Order 18-11
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Apr 11, 2018 2014040761001 Amended Order Denying Respondent’s Motion for Partial Summary Disposition Disciplinary Order 18-01
Apr 24, 2018 2014041860801 Order Granting in Part and Denying in Part Renewed Motion to Compel. Disciplinary Order 18-06
Apr 25, 2018 2015046971701 Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony Disciplinary Order 18-04
Apr 30, 2018 201404186800 APPEALED: Dennis A. Mehringer, Jr. Disciplinary Decision
May 2, 2018 2014041860801 Omnibus Order on Pre-Hearing Motions Disciplinary Order 18-07
May 3, 2018 2014039775501 Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits Disciplinary Order 18-09
May 3, 2018 2014039775501 Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses Disciplinary Order 18-08
Jun 13, 2018 2016049085401 APPEALED: Robert Charles McNamara Disciplinary Decision
Jun 14, 2018 2014039174202 APPEALED: Steven E. Larson Disciplinary Decision
Jun 18, 2018 2016047565702 APPEALED: Bruce Martin Zipper and Dakota Securities International, Inc. Disciplinary Decision
Jul 5, 2018 2015046631101 APPEALED: Robert R Tweed Disciplinary Decision
Jul 5, 2018 2015048362402 APPEALED: John Anthony Vedovino Disciplinary Decision
Jul 16, 2018 2015047154001 Kris Lynn Lewis Redacted Decision
Aug 1, 2018 2016050025401 Order Granting Motion for Leave to File Second Amended Complaint Disciplinary Order 18-14
Aug 7, 2018 2016050924601 APPEALED: Bradley C. Reifler Disciplinary Decision

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