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. Titlesort ascending Type Order No.
Mar 21, 2019 2016052104101 APPEALED: Devin Lamarr Wicker Disciplinary Decision
Apr 18, 2011 EQS100001 Department of Member Regulation v. Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Dec 2, 1998 C8A980012 Department of Enforcement, Complainant v. Respondent Redacted Decision
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
Apr 30, 2018 201404186800 APPEALED: Dennis A. Mehringer, Jr. Disciplinary Decision
Apr 5, 2006 DFC050011 Decision in NASD Treasurer v. Lee Fisher Expedited Decision, Rule 9550 Expedited Decisions
Sep 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
Jun 28, 2006 ARB060005 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Sep 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Jan 26, 2006 FPI050010 Decision in Department of Enforcement v. James J. Brazil Expedited Decision, Rule 9550 Expedited Decisions
Aug 2, 2016 FPI160006 Dawn Bennett Expedited Decision
Dec 27, 2017 2015045456401 APPEALED: David O. Braeger Disciplinary Decision
Feb 29, 2016 2012034936005 APPEALED: David Joseph Escarcega Disciplinary Decision
Jun 3, 2016 2013035211801 APPEALED: David A. Elgart Disciplinary Decision
Sep 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Jan 2, 2019 2015043646501 APPEALED: CSSC Brokerage Services, Inc. Disciplinary Decision
Mar 17, 2017 2011029549201 Craig G. Langweiler Disciplinary Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Apr 2, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Jan 10, 2018 2014041862701 Case Management and Scheduling Order Disciplinary Order 18-12
May 25, 2017 2015047154001 Case Management and Scheduling Order Disciplinary Order 17-23
Aug 9, 2017 2015044782401 Case Management and Scheduling Order Disciplinary Order 17-24
Aug 22, 2017 2015047303901 Case Management and Scheduling Order Disciplinary Order 17-25

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