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. Titlesort descending Type Order No.
Jul 3, 2001 C3A000007 Hearing Panel Decision as to Respondent Redacted Decision C3A000007
Dec 14, 2002 CAF000045 Hearing Panel Decision as to Respondent Redacted Decision CAF000045
Aug 6, 2004 CLI030013 Hearing Panel Decision as to Respondent 1, 2, and 3 Redacted Decision CLI030013
Aug 19, 2004 C01040001 Hearing Panel Decision as to Respondent IA and GH Redacted Decision C01040001
Dec 6, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. Disciplinary Decision CAF980002
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision 2011025643201
Sep 19, 2011 2009019637001 Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Thomas Thanh Doan Disciplinary Decision 2009019637001
Feb 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. Disciplinary Decision 2011029760201
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions FPI110005
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions EQS000002
Apr 25, 2011 2007008239001 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume Disciplinary Decision 2007008239001
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 C8A980097
Mar 3, 2011 2008012169101 Hearing Panel Decision in Department of Enforcement v. AIS Financial, Inc. Disciplinary Decision 2008012169101
Mar 30, 2012 2008015934801 Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky Disciplinary Decision 2008015934801
Oct 18, 1999 C07990013 Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz Disciplinary Decision C07990013
Oct 13, 2011 2007010398802 Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis Disciplinary Decision 2007010398802
Apr 15, 2013 2011030192201 Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III Disciplinary Decision 2011030192201
Feb 9, 2004 C02020057 Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision C02020057
Dec 28, 2001 CMS000015 Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. Disciplinary Decision CMS000015
Oct 22, 2012 2010025132201 Hearing Panel Decision in Department of Enforcement v. Amy Siesennop Disciplinary Decision 2010025132201
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision C10020060
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision C10030088
Mar 16, 2010 2007011250901 Hearing Panel Decision in Department of Enforcement v. Angela Dionne Reed Disciplinary Decision 2007011250901
Mar 15, 2013 20080127674, 20080133768 Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris Disciplinary Decision 20080127674, 20080133768
Jun 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. Disciplinary Decision 2009016034101

Pages