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.sort descending
Oct 11, 2011 2007011915401 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 28, 2000 C02990022 Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace Disciplinary Decision
Nov 5, 2013 2009019108901 Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris Disciplinary Decision
Oct 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision
Jul 2, 2012 20070082049 Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane Disciplinary Decision
Jul 8, 2014 2012032950101 Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler Disciplinary Decision
Mar 23, 2016 2010024522103 APPEALED: Brett Ian Friedberg Disciplinary Decision
Dec 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 6, 2012 FPI120012 Hearing Panel Decision in Department of Enforcement v. Steven Barbot Expedited Decision, Rule 9550 Expedited Decisions
Mar 12, 2015 FPI140011 Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky Expedited Decision, Rule 9550 Expedited Decisions
Apr 25, 2003 C06020003 Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms Disciplinary Decision
Apr 30, 2018 201404186800 APPEALED: Dennis A. Mehringer, Jr. Disciplinary Decision
Feb 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
Oct 17, 2011 2009018068701 Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt Disciplinary Decision
Jun 18, 2018 2016047565702 APPEALED: Bruce Martin Zipper and Dakota Securities International, Inc. Disciplinary Decision
May 15, 2006 CMS040202 Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field Disciplinary Decision
Nov 17, 1998 C02980025 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz Disciplinary Decision
May 13, 2009 2007010306901 Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 Disciplinary Decision
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
Nov 6, 2015 2014041319201 APPEALED: Miguel Ortiz Disciplinary Decision
Dec 3, 2009 2006007544401 Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien Disciplinary Decision

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