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
Oct 11, 2011 2007011915401 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Mar 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott Disciplinary Decision
Aug 30, 2006 CE3050003 Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc. Disciplinary Decision
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision
Mar 12, 2015 FPI140011 Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky Expedited Decision, Rule 9550 Expedited Decisions
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Jan 23, 2014 2011029619301 Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo Disciplinary Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Sep 3, 2003 CAF010011 Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander Disciplinary Decision
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
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Jan 14, 2005 C10040025 Hearing Panel Decision in Department of Enforcement vs. John Brigandi Disciplinary Decision
Feb 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Jul 8, 2014 2012032950101 Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler Disciplinary Decision
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Oct 17, 2011 2009018068701 Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt Disciplinary Decision
Dec 3, 2009 2006007544401 Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien Disciplinary Decision
Aug 10, 2006 C07050029 Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano Disciplinary Decision

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