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 Decision Proceeding No. Title Type Order No.sort descending
Dec 6, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. Disciplinary Decision
Nov 8, 2011 2008014621701 Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. Disciplinary Decision
Jun 14, 2004 C11040006 Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken Disciplinary Decision
Dec 22, 2014 2012034389202 APPEALED: Bernard G. McGee Disciplinary Decision
Aug 30, 2006 CE3050003 Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc. Disciplinary Decision
May 19, 2010 2007011937001 Hearing Panel Decision in Department of Enforcement v. Howard Braff Disciplinary Decision
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
Dec 10, 2004 CMS030182 Hearing Panel Decision in Department of Enforcement v. Yankee Financial Group, Inc. Disciplinary Decision
Jul 10, 2015 2009017440201 APPEALED: Louis Ottimo Disciplinary Decision
Jun 9, 2011 2008015270701 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Sep 3, 2003 CAF010011 Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander Disciplinary Decision
Jan 23, 2014 2011029619301 Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo Disciplinary Decision
Oct 20, 2016 SD-2071 PHX Financial, Inc. Statutory Disqualification, Approvals
Feb 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
Mar 22, 2005 C9B040069 Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger Disciplinary Decision
Nov 6, 2000 C05990035 Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III Disciplinary Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
May 4, 2010 2007007989901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Oct 15, 2001 CMS000142 Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa Disciplinary Decision

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