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. |
|---|---|---|---|---|
| Jun 8, 2012 | 2007008724701 | Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson | Disciplinary Decision | |
| Sep 18, 2008 | 2007008812801 | Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman | Disciplinary Decision | |
| Oct 4, 2011 | 2007008935010 | Hearing Panel Decision in Department of Enforcement v. David Trende | Disciplinary Decision | |
| Jun 5, 2009 | 2007009082902 | Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton | Disciplinary Decision | |
| Oct 21, 2010 | 2007009181101 | Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II | Disciplinary Decision | |
| Jun 24, 2015 | 20070092503-01 | Robin Maranda Oscher | Disciplinary Decision | |
| Apr 4, 2013 | 20070094013 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Apr 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| Aug 2, 2012 | 20070094044 | Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush | Disciplinary Decision | |
| Oct 1, 2009 | 20070094253 | Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia | Disciplinary Decision | |
| Dec 6, 2008 | 20070094345 | John E. Mullins and Kathleen M. Mullins | Disciplinary Decision | |
| Jun 12, 2008 | 20070094345 and 20070111775 | Order Denying Respondent 2's Motion to Dismiss | Disciplinary Order | 08-09 |
| Aug 25, 2009 | 20070094345, 20070111775 | Hearing Panel Decision in Department of Enforcement v. John Edward Mullins and Kathleen Maria Mullins | Disciplinary Decision | |
| Oct 31, 2008 | 20070094454 | Hearing Panel Decision in Department of Enforcement v. Sam Aubrey Foreman, Jr. | Disciplinary Decision | |
| May 21, 2010 | 20070094468 | Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor | Disciplinary Decision | |
| Oct 14, 2009 | 2007009461301 | Order Denying Respondent's Motion to Compel Production of Witness Statements | Disciplinary Order | 09-02 |
| Oct 8, 2010 | 2007009461301 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Dec 30, 2009 | 2007009472201 | Hearing Panel Decision in Department of Enforcement v. Warren William Wall | Disciplinary Decision | |
| Nov 13, 2008 | 2007009702901 | Hearing Panel Decision in Department of Enforcement v. Edward D. Crary, Jr. | Disciplinary Decision | |
| Dec 1, 2009 | 2007009848801 | Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco | Disciplinary Decision | |
| May 10, 2010 | 2007009981201 | Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker | Disciplinary Decision | |
| Dec 19, 2011 | 2007010158001 | Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. | Disciplinary Decision | |
| Apr 27, 2009 | 2007010236401 | Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King | Disciplinary Decision | |
| May 13, 2009 | 2007010306901 | Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 | Disciplinary Decision | |
| Jun 8, 2011 | 2007010398802 | Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part | Disciplinary Order | 11-11 |