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
Aug 10, 2006 C07050029 Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano Disciplinary Decision
Dec 3, 2009 2006007544401 Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien Disciplinary Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Feb 8, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. Disciplinary Decision
Oct 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 4, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 2, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
Jun 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk Disciplinary Decision
Sep 20, 2010 2005000171202 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Aug 27, 2015 2012034934301 Wedbush Securities Inc. Disciplinary Decision
Mar 27, 2000 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Jun 5, 2009 2007009082902 Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton Disciplinary Decision
Feb 11, 2000 CAF980031 Hearing Panel Decision as to Respondent Redacted Decision
Jul 9, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Apr 19, 2002 FPI010002 Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg Expedited Decision, Rule 9540 Suspension Decisions
Feb 7, 2008 E102004083704 Hearing Panel Decision in Department of Enforcement v. Marc Winters Disciplinary Decision
Oct 12, 2004 CAF040020 Order Ruling On Pre-Hearing Motions Disciplinary Decision
May 6, 2014 2010025181001 Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard Disciplinary Decision
Aug 10, 2006 C07050050 Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar Disciplinary Decision
Oct 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 7, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding

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