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 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Apr 25, 2003 C06020003 Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms Disciplinary Decision
Aug 11, 2004 C07030065 In the Matter of Department of Enforcement, Complainant vs. Respondent 1 and Respondent 2 Redacted Decision
May 30, 2013 2010024889501 Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP Disciplinary Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Feb 28, 2007 2005001514501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 14, 2002 ARB010032 Non-Summary Suspension Proceeding ARB010032 Expedited Decision, Non-Summary Proceeding
Dec 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker Disciplinary Decision
Oct 17, 2011 2009018068701 Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt Disciplinary Decision
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Mar 27, 2003 C3A010036 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 Disciplinary Decision
Aug 6, 2004 CLI030013 Hearing Panel Decision as to Respondent 1, 2, and 3 Redacted Decision
Jul 12, 2006 C8A050055 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik Disciplinary Decision
Mar 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision
Jan 16, 2009 E072005017201 Hearing Panel Decision in Department of Enforcement v. John B. Busacca III Disciplinary Decision
Oct 28, 2010 2006006259501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Jan 28, 2002 ARB010016 Non-Summary Suspension Consolidated Proceeding ARB010016 Expedited Decision, Non-Summary Proceeding
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
May 24, 2005 C9A040024 Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV Disciplinary Decision
Dec 29, 2003 C8B030012 Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko Disciplinary Decision
Apr 19, 2004 C05020055 Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel Disciplinary Decision

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