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
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Oct 2, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
Aug 7, 2003 CMS020143 Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II Disciplinary Decision
Aug 11, 2014 2009019042402 Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. Disciplinary Decision
Oct 30, 2005 C9B040098 Hearing Panel Decision in Department of Enforcement vs. Scott Epstein Disciplinary Decision
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision
Sep 14, 2018 2014039775501 James Randall Clay Disciplinary Decision
Mar 17, 2015 2011027271901 Richard Blair 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
Dec 16, 2008 EAF0400630001 Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
Oct 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III Disciplinary Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Oct 29, 2015 2011025444501 APPEALED: Wood (Arthur W.) Company Disciplinary Decision
Oct 16, 2009 2006005977901 Hearing Panel Decision in Department of Enforcement v. Kale E. Evans Disciplinary Decision
Jul 8, 2014 2009020465801 Hearing Panel Decision in Department of Enforcement v. Keith D. Geary Disciplinary Decision
Mar 21, 2013 2009017527501 Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson Disciplinary Decision
Aug 12, 2014 20100226015-01 Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock Disciplinary Decision
Jan 3, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Dec 7, 2005 C3A050003 Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley Disciplinary Decision
Aug 9, 2006 E9A2004001901 Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth Disciplinary Decision

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