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
Apr 16, 2007 ARB060031 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Dec 8, 2017 2013039306601 Michael Timothy Dolan Disciplinary Decision
May 21, 2015 2012032519101 APPEALED: Robert Earl Holaday Disciplinary Decision
Mar 24, 2002 FPI010004 Hearing Panel Decision in Department of Enforcement v. Toni Valentino Expedited Decision, Rule 9540 Suspension Decisions
Aug 19, 2008 2006006705601 Hearing Panel Decision in Department of Enforcement v. John M. E. Saad Disciplinary Decision
Aug 7, 2003 CMS020143 Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II Disciplinary Decision
Jun 7, 2004 CAF020048 Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon Disciplinary Decision
Nov 19, 2013 2009017195204 Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Apr 7, 2017 2015045601401 Katherine Ann White Disciplinary Decision
May 3, 2012 20060053785-02 Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake Disciplinary Decision
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Aug 6, 2004 CMS030257 Hearing Panel Decision as to Respondent Redacted Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
Dec 30, 2005 C8A050027 Hearing Panel Decision in Department of Enforcement vs. Marylan Taylor Disciplinary Decision
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Sep 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Dec 21, 2017 ARB160035 REMANDED: Keith Patrick Sequeira Expedited Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
May 3, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision
Aug 5, 2005 C3A040023 Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada Disciplinary Decision
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision

Pages