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 8, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jun 5, 2015 | 20140407790-01 | Richard Francis Kenny, Jr. | Disciplinary Decision | |
| Jun 4, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | Disciplinary Order | 15-10 |
| May 21, 2015 | 2012032519101 | APPEALED: Robert Earl Holaday | Disciplinary Decision | |
| May 18, 2015 | 20110279263-01 | APPEALED: Matthew Joseph Sheerin | Disciplinary Decision | |
| May 4, 2015 | 2009016159110 | Anthony Spagnolo, III | Disciplinary Decision | |
| May 4, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| Apr 28, 2015 | 2012033351801 | CALLED FOR REVIEW: Paolo Franca Iida | Disciplinary Decision | |
| Apr 8, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | Disciplinary Order | 15-09 |
| Apr 8, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | Disciplinary Order | 15-08 |
| Apr 2, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 15-07 |
| Apr 2, 2015 | 2012034045101 | Charles H. Melvin, Jr. | Disciplinary Decision | |
| Mar 31, 2015 | 2011027666902 | APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash | Disciplinary Decision | |
| Mar 30, 2015 | 2011025675501 | APPEALED: Kimberly Springsteen-Abbott | Disciplinary Decision | |
| Mar 30, 2015 | 2011025785602 | Anthony Warren Thompson and TNP Securities, LLC | Disciplinary Decision | |
| Mar 18, 2015 | DFC140002 | Order Granting Complainant's Motion to Dismiss Hearing Request | Expedited Order | EXP15-01 |
| Mar 18, 2015 | DFC140002 | Order Granting Complainant’s Motion to Dismiss Hearing Request | Disciplinary Order | 15-01 |
| Mar 17, 2015 | 2011027271901 | Richard Blair | Disciplinary Decision | |
| Mar 12, 2015 | FPI140011 | Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky | Expedited Decision, Rule 9550 Expedited Decisions | |
| Mar 10, 2015 | 2011026788801 | Keith Geary | Disciplinary Decision | |
| Mar 9, 2015 | 2012030724101 | APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr. | Disciplinary Decision | |
| Feb 23, 2015 | 2010024522103 | Order Denying Respondents’ Motion Pursuant to Rule 9251 | Disciplinary Order | 15-02 |
| Feb 13, 2015 | 2013036217601 | Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony | Disciplinary Order | 15-03 |
| Feb 3, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | Disciplinary Order | 15-04 |
| Jan 27, 2015 | 2012034936005 | Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion | Disciplinary Order | 15-05 |