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. Titlesort descending Type Order No.
Apr 2, 2012 2009019297801 Hearing Panel Decision in Department of Enforcement v. Dame Cisse Disciplinary Decision
May 3, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber Disciplinary Decision
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Feb 23, 2012 2009018944001 Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II Disciplinary Decision
Jun 29, 2004 C8A020088 Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey Disciplinary Decision
Jun 13, 2011 2008011701203 Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc. Disciplinary Decision
Dec 1, 1999 C11970032 Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard Disciplinary Decision
Dec 1, 2009 2007009848801 Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco Disciplinary Decision
Sep 14, 2009 2008013474501 Hearing Panel Decision in Department of Enforcement v. Daphne Easley Disciplinary Decision
Oct 3, 2011 20090195518 Hearing Panel Decision in Department of Enforcement v. Darrell Eugene Fox Disciplinary Decision
Oct 8, 2004 C06040017 Hearing Panel Decision in Department of Enforcement v. David Allen Regis Disciplinary Decision
Mar 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari Disciplinary Decision
Nov 19, 1999 C8A990017 Hearing Panel Decision in Department of Enforcement v. David L. Foran Disciplinary Decision
Dec 4, 2003 C02030026 Hearing Panel Decision in Department of Enforcement v. David T. Kaagan Disciplinary Decision
Oct 4, 2011 2007008935010 Hearing Panel Decision in Department of Enforcement v. David Trende Disciplinary Decision
Aug 13, 2002 C07010100 Hearing Panel Decision in Department of Enforcement v. David William Haburjak Disciplinary Decision
Aug 11, 2003 C3B020015 Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey Disciplinary Decision
Dec 30, 2003 C01020023 Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood Disciplinary Decision
Jun 7, 2004 CLI030011 Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis Disciplinary Decision
Dec 15, 2008 2006006192901 Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr. Disciplinary Decision
Jan 4, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson Disciplinary Decision
Jan 13, 2000 C02990017 Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi Disciplinary Decision
Jun 27, 2001 CAF000033 Hearing Panel Decision in Department of Enforcement v. Dennis Sturm Disciplinary Decision
Aug 14, 2007 2005001819101 Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. Disciplinary Decision
Jun 30, 1998 C01980001 Hearing Panel Decision in Department of Enforcement v. Donald Clewell Maier Disciplinary Decision

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