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, 2012 FPI120012 Hearing Panel Decision in Department of Enforcement v. Steven Barbot Expedited Decision, Rule 9550 Expedited Decisions
Sep 6, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller Disciplinary Decision
Jan 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
May 4, 2015 2009016159111 Brian Sanders 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
Aug 11, 2004 C07030065 In the Matter of Department of Enforcement, Complainant vs. Respondent 1 and Respondent 2 Redacted Decision
Nov 5, 2013 2009019108901 Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris Disciplinary Decision
Aug 15, 2008 2005001729501 Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner Disciplinary Decision
Dec 28, 2001 CMS000015 Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. Disciplinary Decision
Jun 14, 2012 2009019369302 Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng Disciplinary Decision
Jan 11, 2017 2013037097602 Jeffery A. Vaughn 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
Apr 19, 2004 C05020055 Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel Disciplinary Decision
Sep 30, 2003 FPI030003 Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise Expedited Decision, Rule 9540 Suspension Decisions
Jan 4, 2013 FPI120005 Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein Expedited Decision, Rule 9550 Expedited Decisions
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Aug 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
Feb 7, 2008 E102004083705 Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi Disciplinary Decision
Jul 12, 2006 C8A050055 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik Disciplinary Decision
Aug 10, 2006 C07050029 Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano Disciplinary Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Jun 8, 2015 ARB140066 Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
Aug 6, 2004 CLI030013 Hearing Panel Decision as to Respondent 1, 2, and 3 Redacted Decision
Aug 7, 2018 2016050924601 APPEALED: Bradley C. Reifler Disciplinary Decision

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