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
Feb 10, 2006 C07040042 Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske Disciplinary Decision
Apr 30, 2018 201404186800 APPEALED: Dennis A. Mehringer, Jr. Disciplinary Decision
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
Apr 14, 2010 2007009403801 Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson 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
Jun 3, 2016 2013035211801 APPEALED: David A. Elgart Disciplinary Decision
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Jan 26, 2011 2006004122402 Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre Disciplinary Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Nov 11, 2016 2013035533701 APPEALED: Meyers Associates, L.P. Disciplinary Decision
May 13, 2009 2007010306901 Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 Disciplinary Decision
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
May 24, 2005 C9A040024 Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV Disciplinary Decision
Feb 7, 2014 2009017899801 Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson Disciplinary Decision
Feb 1, 2006 C02040032 Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort Disciplinary Decision
Oct 15, 2001 CMS000142 Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa Disciplinary Decision
Jun 18, 2018 2016047565702 APPEALED: Bruce Martin Zipper and Dakota Securities International, Inc. Disciplinary Decision
May 30, 2017 2014039839101 APPEALED: Jim Jinkook Seol Disciplinary Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Oct 20, 2006 E9B2002055601 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 26, 2012 2009018076101 Hearing Panel Decision in Department of Enforcement v. Blair A. West Disciplinary Decision
Jun 3, 2016 2012030731802 APPEALED: William H. Murphy & Co., Inc. and William H. Murphy Disciplinary Decision
May 30, 2008 2006005565401 Hearing Panel Decision in Department of Enforcement v. Michael L. Vines Disciplinary Decision

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