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. |
|---|---|---|---|---|
| Sep 5, 2017 | 2016051925301 | Order Granting Motion to Permit Witness Counsel to be Present During Testimony | Disciplinary Order | 17-17 |
| Aug 25, 2017 | ARB170007 | Timothy S. Fannin | Expedited Decision | |
| Aug 22, 2017 | 2015047303901 | Case Management and Scheduling Order | Disciplinary Order | 17-25 |
| Aug 16, 2017 | 2014043020901 | Matthew J. Dodds | Disciplinary Decision | |
| Aug 9, 2017 | 2015044782401 | Case Management and Scheduling Order | Disciplinary Order | 17-24 |
| Aug 2, 2017 | 2014042690502 | Stephen Brown and James Goetz | Disciplinary Decision | |
| Jul 31, 2017 | 2015044823501 & 2015044823502 | APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges | Disciplinary Decision | |
| Jul 27, 2017 | 2013035345701 | Order Denying Motion For Dismissal | Disciplinary Order | 17-15 |
| Jul 14, 2017 | 2014042156101 | William Morgan Ditty | Disciplinary Decision | |
| Jul 10, 2017 | 2015044489701 | Kory Penland Keath | Disciplinary Decision | |
| Jun 20, 2017 | 2014041724601 | APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz | Disciplinary Decision | |
| Jun 16, 2017 | 2013037709301 | Order Establishing Procedures Regarding Treatment of SAR Information | Disciplinary Order | 17-13 |
| Jun 12, 2017 | DFC170003 | Order Dismissing Request for Hearing | Expedited Order | 17-01 |
| Jun 2, 2017 | 2014039091903 | Richard Lim | Disciplinary Decision | |
| May 30, 2017 | 2014039839101 | APPEALED: Jim Jinkook Seol | Disciplinary Decision | |
| May 26, 2017 | 2014040295201 | Carolina Financial Securities, LLC, and Bruce Victor Roberts | Disciplinary Decision | |
| May 25, 2017 | 2015047154001 | Case Management and Scheduling Order | Disciplinary Order | 17-23 |
| May 17, 2017 | 2012035284301 | APPEALED: Richard A. McCollam | Disciplinary Decision | |
| May 12, 2017 | 2013035130101 | APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone | Disciplinary Decision | |
| May 3, 2017 | 2014043001601 | APPEALED: Allen B. Holeman | Disciplinary Decision | |
| Apr 21, 2017 | 2012032019101 | Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. | Disciplinary Order | 17-12 |
| Apr 11, 2017 | 2014042524301 | Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions | Disciplinary Order | 17-10 |
| Apr 11, 2017 | 2014044985401 | Order Granting Respondent’s Request for an Order of Production. | Disciplinary Order | 17-11 |
| Apr 7, 2017 | 2012035284301 | Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief. | Disciplinary Order | 17-09 |
| Apr 7, 2017 | 2015045601401 | Katherine Ann White | Disciplinary Decision |