Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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
Jun 28, 2006 ARB060005 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
Apr 1, 2002 CMS000157 Hearing Panel Decision as to Respondent Redacted Decision
Nov 18, 2011 2007010580702 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 18, 2015 2014040651301 Yaron Reuven Disciplinary Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
Mar 30, 2015 2011025785602 Anthony Warren Thompson and TNP Securities, LLC Disciplinary Decision
Jun 3, 2016 2013035211801 APPEALED: David A. Elgart Disciplinary Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
May 4, 2015 2009016159111 Brian Sanders Disciplinary Decision
Dec 1, 2016 ARB160019 Michael David Schwartz Expedited Decision
Dec 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 18, 2015 2012034393801 APPEALED: Aon D. Miller Disciplinary Decision
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
Jun 3, 2016 2012030731802 APPEALED: William H. Murphy & Co., Inc. and William H. Murphy Disciplinary Decision
May 31, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order
Jun 8, 2015 ARB140066 Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
Nov 11, 2016 2013035533701 APPEALED: Meyers Associates, L.P. Disciplinary Decision
Jul 12, 2006 C8A050055 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik Disciplinary Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
May 30, 2017 2014039839101 APPEALED: Jim Jinkook Seol Disciplinary Decision
Jun 10, 2016 2011030293503 APPEALED: Richard Gomez Disciplinary Decision
Feb 11, 2000 CAF980031 Hearing Panel Decision as to Respondent Redacted Decision

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