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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|Dec 6, 2012||FPI120012||Hearing Panel Decision in Department of Enforcement v. Steven Barbot||Expedited Decision, Rule 9550 Expedited Decisions|
|Jun 18, 2013||FPI130001||Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo||Expedited Decision, Rule 9550 Expedited Decisions|
|Mar 12, 2015||FPI140011||Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky||Expedited Decision, Rule 9550 Expedited Decisions|
|Aug 4, 2016||FPI160002||Robert DePalo||Expedited Decision|
|Jul 11, 2016||FPI160004||Fairbridge Capital Markets||Expedited Decision|
|Aug 2, 2016||FPI160006||Dawn Bennett||Expedited Decision|
|Oct 5, 2016||FPI160009||Donald Shelby Toomer||Expedited Decision|
|Sep 10, 2018||FPI180002||TMR Bayhead Securities||Disciplinary Decision|
|Oct 29, 2018||FPI180004||Jessica Bower Blake||Expedited Decision|
|Jul 25, 2016||FR160001||Merriman Capital Inc.||Expedited Decision|
|Oct 20, 2016||SD-2071||PHX Financial, Inc.||Statutory Disqualification, Approvals|