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 18, 2008 2006003738501 Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick Disciplinary Decision
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision
Dec 14, 2002 CAF000045 Hearing Panel Decision as to Respondent Redacted Decision
May 6, 2010 2005003610701 Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm Disciplinary Decision
Jul 16, 2018 2015047154001 Kris Lynn Lewis Redacted Decision
Sep 8, 2006 E072004072501 Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin Disciplinary Decision
Jul 5, 2018 2015048362402 APPEALED: John Anthony Vedovino Disciplinary Decision
Oct 16, 2009 2006005977901 Hearing Panel Decision in Department of Enforcement v. Kale E. Evans Disciplinary Decision
Sep 7, 2006 CMS040165 Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian Disciplinary Decision
Sep 24, 2003 C02020055 Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto Disciplinary Decision
Jan 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
Dec 10, 1999 C10970145 Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein Disciplinary Decision
Mar 13, 2005 C10030095 Hearing Panel Decision in Department of Enforcement vs. John Audifferen Disciplinary Decision
Oct 6, 2010 FPI100008 Hearning Panel Decision in Department of Member Regulation v. Sharemaster Expedited Decision, Rule 9550 Expedited Decisions
Mar 30, 2007 20042000056-01 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Aug 5, 2005 C3A040023 Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada Disciplinary Decision
Nov 8, 2013 20090207019-01 Hearing Panel Decision in Department of Enforcement v. Respondent. Redacted Decision
Jul 23, 2015 2012030527503 APPEALED: Thaddeus James North Disciplinary Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision
Dec 16, 2008 EAF0400630001 Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. Disciplinary Decision
May 3, 2012 20060053785-02 Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake Disciplinary Decision
Jul 13, 2007 E102004083702 Hearing Panel Decision in Department of Enforcement v. John Christopher Correro Disciplinary Decision
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Nov 20, 2001 C3A010009 Hearing Panel Decision in Department of Enforcement v. Mark H. Love Disciplinary Decision

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