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. |
|---|---|---|---|---|
| Feb 24, 2017 | 2014042059701 | Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. | Disciplinary Order | 17-03 |
| Feb 9, 2017 | 2013035344201 | Red River Securities, LLC and Brian Keith Hardwick | Disciplinary Decision | |
| Feb 7, 2017 | 2014042291901 | Order Denying Respondents’ Motion for Summary Disposition. | Disciplinary Order | 17-02 |
| Jan 30, 2017 | 2013037401001 | Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence | Disciplinary Order | 17-01 |
| Jan 26, 2017 | 2012030738501 | APPEALED: J.W. Korth and Company | Disciplinary Decision | |
| Jan 11, 2017 | 2013037097602 | Jeffery A. Vaughn | Disciplinary Decision | |
| Dec 28, 2016 | 2014042690502 | Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. | Disciplinary Order | 16-34 |
| Dec 16, 2016 | 2014040876001 | APPEALED: Kenneth J. Mathieson | Disciplinary Decision | |
| Dec 14, 2016 | 2015044823501 | Order Denying Respondent Beyn’s Motion for Additional Discovery. | Disciplinary Order | 16-33 |
| Dec 14, 2016 | 2012033832501 | APPEALED: Matthew D. Rubin | Disciplinary Decision | |
| Dec 13, 2016 | 2014040501801 | Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer | Disciplinary Decision | |
| Dec 12, 2016 | 2013036653301 | Vincent Au | Disciplinary Decision | |
| Dec 8, 2016 | DFC160001 | McBarron Capital, LLC | Expedited Decision | |
| Dec 1, 2016 | ARB160019 | Michael David Schwartz | Expedited Decision | |
| Nov 28, 2016 | 2013038770901 | Ricky R. Moore | Disciplinary Decision | |
| Nov 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | Disciplinary Order | 16-31 |
| Nov 18, 2016 | ARB160035 | Keith Patrick Sequeira | Expedited Decision | |
| Nov 14, 2016 | 2014040476901 | Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. | Disciplinary Order | 16-30 |
| Nov 11, 2016 | 2013035533701 | APPEALED: Meyers Associates, L.P. | Disciplinary Decision | |
| Nov 4, 2016 | 2014039839101 | Order Granting Enforcement’s Motion for Partial Summary Disposition. | Disciplinary Order | 16-29 |
| Nov 4, 2016 | 2013038986001 | APPEALED: Richard A. Riemer, Jr. | Disciplinary Decision | |
| Oct 31, 2016 | 2014042524301 | Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. | Disciplinary Order | 16-28 |
| Oct 17, 2016 | 2012030564701 | APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera | Disciplinary Decision | |
| Oct 14, 2016 | 201303641201 | Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 16-27 |
| Oct 11, 2016 | 2015044379701 | Melissa M. Velasquez | Disciplinary Decision |