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
Mar 30, 2012 2008015934801 Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky Disciplinary Decision
Nov 1, 2007 ELI2004026701 Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Jul 17, 2015 2012034936101 APPEALED: Jeffrey D. Noard Disciplinary Decision
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision
Dec 10, 1999 C10970145 Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein Disciplinary Decision
Apr 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
Jan 15, 2016 2012033362101 APPEALED: Thomas Edmund Connors Disciplinary Decision
Dec 21, 2017 ARB160035 REMANDED: Keith Patrick Sequeira Expedited Decision
Jan 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
Oct 15, 2007 C11040006 Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken Disciplinary Decision
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Jul 23, 2015 2012030527503 APPEALED: Thaddeus James North Disciplinary Decision
Mar 13, 2005 C10030095 Hearing Panel Decision in Department of Enforcement vs. John Audifferen Disciplinary Decision
May 21, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai Disciplinary Decision
Apr 26, 2001 ARB000026 Non-Summary Suspension Proceeding ARB000026 Expedited Decision, Non-Summary Proceeding
Jul 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
Jun 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
Jan 8, 2018 2014043869901 Jeffrey E. Krupnick Disciplinary Decision
Sep 19, 2013 2009016317701 Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel Disciplinary Decision
Dec 2, 2014 2012030570301 Calvin B. Grigsby Disciplinary Decision
Nov 29, 2004 C02040016 Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes Disciplinary Decision
Jan 16, 2004 CAF030008 Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone Disciplinary Decision

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