Office of Hearing Officers’ Decisions and Orders
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. |
|---|---|---|---|---|
| September 18, 2012 | 2008014015901 | Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare | Disciplinary Decision | |
| August 30, 2012 | 2010023367001 | Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents | Disciplinary Order | 12-04 |
| August 28, 2012 | 2008013863702 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 23, 2012 | 2008015617902 | Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow | Disciplinary Decision | |
| August 02, 2012 | 20070094044 | Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush | Disciplinary Decision | |
| July 26, 2012 | 2009018076101 | Hearing Panel Decision in Department of Enforcement v. Blair A. West | Disciplinary Decision | |
| July 20, 2012 | FPI110005 | Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener | Expedited Decision, Rule 9550 Expedited Decisions | |
| July 09, 2012 | 20100214065-01 | Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre | Disciplinary Decision | |
| July 06, 2012 | 2010024889501 | Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses | Disciplinary Order | 12-03 |
| July 02, 2012 | 20070082049 | Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane | Disciplinary Decision | |
| June 14, 2012 | 2009019369302 | Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng | Disciplinary Decision | |
| June 08, 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 03, 2012 | 20060053785-02 | Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake | Disciplinary Decision | |
| April 27, 2012 | 2008014969001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 05, 2012 | 2011029760201 | Order Denying Respondent’s Motion for Leave to Serve Limited Discovery | Disciplinary Order | 12-02 |
| April 04, 2012 | 20050007427 | Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason | Disciplinary Decision | |
| April 02, 2012 | 2009019297801 | Hearing Panel Decision in Department of Enforcement v. Dame Cisse | Disciplinary Decision | |
| March 30, 2012 | 2008015934801 | Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky | Disciplinary Decision | |
| March 29, 2012 | 2010021303301 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| March 22, 2012 | 2009017439601 | Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka | Disciplinary Decision | |
| March 14, 2012 | 2009018771602 | Order Denying Respondent’s Motion to Present Expert Witness | Disciplinary Order | 12-01 |
| March 09, 2012 | 20080117243 | Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni | Disciplinary Decision | |
| February 23, 2012 | 2009018944001 | Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II | Disciplinary Decision |