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 Decisionsort ascending Proceeding No. Title Type Order No.
Jul 9, 2012 20100214065-01 Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre Disciplinary Decision
Jul 6, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses Disciplinary Order 12-03
Jul 2, 2012 20070082049 Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane Disciplinary Decision
Jun 14, 2012 2009019369302 Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng Disciplinary Decision
Jun 8, 2012 2007008724701 Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson Disciplinary Decision
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy Disciplinary Decision
May 10, 2012 2009017918001 Hearing Panel Decision in Department of Enforcement v. John D. Rausch Disciplinary Decision
May 3, 2012 20060053785-02 Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake Disciplinary Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 5, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery Disciplinary Order 12-02
Apr 4, 2012 20050007427 Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason Disciplinary Decision
Apr 2, 2012 2009019297801 Hearing Panel Decision in Department of Enforcement v. Dame Cisse Disciplinary Decision
Mar 30, 2012 2008015934801 Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky Disciplinary Decision
Mar 29, 2012 2010021303301 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Mar 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka Disciplinary Decision
Mar 14, 2012 2009018771602 Order Denying Respondent’s Motion to Present Expert Witness Disciplinary Order 12-01
Mar 9, 2012 20080117243 Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni Disciplinary Decision
Feb 23, 2012 2009018944001 Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II Disciplinary Decision
Jan 30, 2012 2007010902501 Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce Disciplinary Decision
Jan 25, 2012 2008014285801 Hearing Panel Decision in Department of Enforcement v. Paul James Marshall Disciplinary Decision
Dec 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision
Dec 6, 2011 2009018819001 Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette Disciplinary Decision

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