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 Decisionsort descending Proceeding No. Title Type Order No.
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Nov 8, 2017 2014041985401 APPEALED: James Larkin Powers Disciplinary Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Nov 13, 2017 2013035345701 Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List Disciplinary Order 17-20
Nov 13, 2017 2015047154001 Order Denying Respondent’s Amended Motion to Grant Expert Testimony Disciplinary Order 17-19
Nov 21, 2017 2013037522501 Order Adding Additional Exhibit into Evidentiary Record Disciplinary Order 17-21
Dec 8, 2017 2013039306601 Michael Timothy Dolan Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision
Dec 15, 2017 2013037522501 APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian Disciplinary Decision
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer Disciplinary Order 17-22
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proposed Answer Disciplinary Order 17-14
Dec 21, 2017 ARB160035 REMANDED: Keith Patrick Sequeira Expedited Decision
Jan 8, 2018 2014043869901 Jeffrey E. Krupnick Disciplinary Decision
Jan 10, 2018 2014041860801 Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike Disciplinary Order 18-05
Jan 10, 2018 2014042606902 Order Granting Enforcement’s Motion for Rule-Compliant Answer Disciplinary Order 18-03
Feb 2, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Feb 14, 2018 2016049420501 Second Order Rescheduling Initial Pre-Hearing Conference Disciplinary Order 18-02
Feb 27, 2018 2015045254501 APPEALED: Richard O. White Disciplinary Decision
Feb 27, 2018 2012032731802 APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Disciplinary Decision
Mar 5, 2018 2015047154001 Order Denying Respondent’s Motion for Admission of Additional Exhibits Disciplinary Order 18-10
Mar 14, 2018 2016052347901 APPEALED: Austin Wayne Morton Disciplinary Decision

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