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
Sep 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision
Oct 2, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Mar 15, 2006 C05020055 Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel Disciplinary Decision
Aug 28, 2012 2008013863702 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 11, 2014 2009019042402 Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. Disciplinary Decision
Apr 16, 2007 ARB060031 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Sep 5, 2000 C05990026 Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez Disciplinary Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Aug 18, 1999 CAF980005 Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller Disciplinary Decision
Jun 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. Disciplinary Decision
Mar 13, 2005 C10030095 Hearing Panel Decision in Department of Enforcement vs. John Audifferen Disciplinary Decision
Mar 17, 2015 2011027271901 Richard Blair Disciplinary Decision
Jul 3, 2001 C3A000007 Hearing Panel Decision as to Respondent Redacted Decision
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision
Jul 31, 2017 2015044823501 & 2015044823502 APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges Disciplinary Decision
Oct 29, 2015 2011025444501 APPEALED: Wood (Arthur W.) Company Disciplinary Decision
Apr 18, 2001 CAF000015 Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc. Disciplinary Decision
Aug 31, 2016 20140425550-02 Modesto Biney Disciplinary Decision
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision
Jul 8, 2014 2009020465801 Hearing Panel Decision in Department of Enforcement v. Keith D. Geary Disciplinary Decision
Sep 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Aug 10, 2005 ARB050014 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Apr 24, 2007 2005000127502 Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli Disciplinary Decision

Pages