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. |
|---|---|---|---|---|
| Jun 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| Jun 17, 2014 | 2011026788801 | Order Denying Summary Disposition | Disciplinary Order | 14-01 |
| Jun 13, 2014 | 2010025350001 | Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith | Disciplinary Decision | |
| May 27, 2014 | 2011028003001 | Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi | Disciplinary Decision | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| May 8, 2014 | 2012031142101 | Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. | Disciplinary Decision | |
| May 6, 2014 | 2010025181001 | Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard | Disciplinary Decision | |
| Apr 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| Apr 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| Mar 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| Feb 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| Feb 7, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| Jan 28, 2014 | 2011026664301 | Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. | Disciplinary Decision | |
| Jan 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | Disciplinary Order | 14-03 |
| Jan 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| Jan 21, 2014 | 2011029227701 | Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee | Disciplinary Decision | |
| Dec 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| Dec 27, 2013 | 2011025506901 | Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach | Disciplinary Decision | |
| Dec 17, 2013 | 20110269351 | Hearing Panel Decision in Department of Market Regulation v. John Cherry III | Disciplinary Decision | |
| Dec 12, 2013 | 20090209629-01 | Hearing Panel Decision in Department of Enforcement v. Jason Blum | Disciplinary Decision | |
| Dec 10, 2013 | 2011026874301 | Hearing Panel Decision in Department of Enforcement v. William L. Tatro | Disciplinary Decision | |
| Nov 19, 2013 | 2009017195204 | Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| Nov 8, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision | |
| Nov 5, 2013 | 2009019108901 | Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris | Disciplinary Decision | |
| Oct 15, 2013 | 2010024917601 | Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta | Disciplinary Decision |