Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 Decision Proceeding No. Title Type Order No.sort descending
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision
Nov 6, 2015 2014041319201 APPEALED: Miguel Ortiz Disciplinary Decision
Oct 11, 2016 2015044379701 Melissa M. Velasquez Disciplinary Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Jun 25, 2014 2012034211301 Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed Disciplinary Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Jan 4, 2013 FPI120005 Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein Expedited Decision, Rule 9550 Expedited Decisions
Dec 2, 1998 C8A980012 Department of Enforcement, Complainant v. Respondent Redacted Decision
Mar 18, 2016 2012034719701 APPEALED: Paul E. Taboada Disciplinary Decision
Oct 28, 2010 2006006259501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Sep 20, 2016 2015044960501 APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim Disciplinary Decision
Nov 3, 2014 20110273503 Richard A. McGuire Disciplinary Decision
Oct 3, 2002 DFC020014 NASD Treasurer, Complainant, v. Respondent Expedited Decision, Rule 9530 Suspension Decisions
May 2, 2016 2014040968501 APPEALED: Ahmed Gadelkareem Disciplinary Decision
Sep 20, 2010 2005000171202 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Dec 1, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
Oct 17, 2016 2012030564701 APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera Disciplinary Decision
Oct 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Dec 26, 2000 DFC000003 Rule 9530 Suspension Proceeding DFC000003 Expedited Decision, Rule 9530 Suspension Decisions
Apr 4, 2016 20120320803-01 APPEALED: Peter J. Auzers and Shiva Naby Disciplinary Decision
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Sep 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision

Pages