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. |
|---|---|---|---|---|
| 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 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 | |
| Mar 21, 2017 | 2013035865303 | APPEALED: Spencer Edwards, Inc. and Gordon Dihle | Disciplinary Decision | |
| Mar 21, 2017 | 2014038847602 | Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. | Disciplinary Order | 17-08 |
| Mar 21, 2017 | 2014038847602 | Order Denying Respondent’s Motion to Compel Discovery. | Disciplinary Order | 17-06 |
| Mar 21, 2017 | 2013035817701 | Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits. | Disciplinary Order | 17-07 |
| Mar 17, 2017 | 2011029549201 | Craig G. Langweiler | Disciplinary Decision | |
| Mar 16, 2017 | ARB160047 | J. Thaddeus McGaffey | Expedited Decision | |
| Mar 16, 2017 | 201504421601 | Order Denying Respondent’s Motion for Leave to Present Expert Testimony | Disciplinary Order | 17-05 |
| Mar 8, 2017 | 2015044921601 | Order Denying Respondent’s Discovery Motion. | Disciplinary Order | 17-04 |
| Mar 3, 2017 | 2014039285401 | APPEALED: Southeast, N.C., Inc. and Frank Harmon Black | Disciplinary Decision | |
| 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 |