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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|Sep 10, 2018||FPI180002||TMR Bayhead Securities||Disciplinary Decision|
|Feb 2, 2018||2015046759201||APPEALED: Todd B. Wyche||Disciplinary Decision|
|Feb 12, 2016||2013036678201||Tracy Chen||Disciplinary Decision|
|Dec 15, 2017||2013037522501||APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian||Disciplinary Decision|
|Dec 12, 2016||2013036653301||Vincent Au||Disciplinary Decision|
|Sep 15, 2015||2012033508702||APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus||Disciplinary Decision|
|Mar 15, 2007||ARB060035||Wedbush Morgan Securities, Inc.||Expedited Decision, Rule 9550 Expedited Decisions|
|Aug 27, 2015||2012034934301||Wedbush Securities Inc.||Disciplinary Decision|
|Jun 3, 2016||2012030731802||APPEALED: William H. Murphy & Co., Inc. and William H. Murphy||Disciplinary Decision|
|Jul 14, 2017||2014042156101||William Morgan Ditty||Disciplinary Decision|
|Sep 26, 2017||2012031748203||William Norris Jordan||Disciplinary Decision|
|Feb 27, 2018||2012032731802||APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley||Disciplinary Decision|
|Oct 30, 2018||2015046971701||Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.)||Disciplinary Decision|
|Oct 29, 2015||2011025444501||APPEALED: Wood (Arthur W.) Company||Disciplinary Decision|
|Nov 18, 2015||2014040651301||Yaron Reuven||Disciplinary Decision|