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.
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 24, 2003 C01020024 Hearing Panel Decision in Department of Enforcement v. Douglas Conant Day Disciplinary Decision
Oct 1, 2008 2006003995001 Hearing Panel Decision in Department of Enforcement v. Eddmon Mark Hodge Disciplinary Decision
Nov 13, 2008 2007009702901 Hearing Panel Decision in Department of Enforcement v. Edward D. Crary, Jr. Disciplinary Decision
May 14, 1998 C9B970016 Hearing Panel Decision in Department of Enforcement v. Edward Golick Disciplinary Decision
Jun 12, 2002 C8A010060 Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire Disciplinary Decision
Feb 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
Mar 16, 2003 C9A020017 Hearing Panel Decision in Department of Enforcement v. Emanuel L. Sarris Disciplinary Decision
Oct 1, 2003 C9A030017 Hearing Panel Decision in Department of Enforcement v. Eric J. Laucius Disciplinary Decision
Feb 20, 2007 CLI050014 Hearing Panel Decision in Department of Enforcement v. Erik Matz Disciplinary Decision
May 13, 2009 2007010306901 Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 Disciplinary Decision
Aug 20, 2008 2006007101701 Hearing Panel Decision in Department of Enforcement v. Flavio G. Varone Disciplinary Decision
May 31, 2002 C07010084 Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris Disciplinary Decision
Dec 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker Disciplinary Decision
Apr 30, 2001 C10000139 Hearing Panel Decision in Department of Enforcement v. Frank A. Persico Disciplinary Decision
Dec 27, 2000 C9B000007 Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis Disciplinary Decision
Jan 16, 2004 CAF030008 Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone Disciplinary Decision
Jun 24, 1998 C10970120 Hearing Panel Decision in Department of Enforcement v. Frank Rocky Mazzei and GKN Securities Corporation Disciplinary Decision
Feb 8, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. Disciplinary Decision
Mar 8, 2011 2009016551301 Hearing Panel Decision in Department of Enforcement v. Freddy A. Medina Disciplinary Decision
Apr 28, 1999 C02980070 Hearing Panel Decision in Department of Enforcement v. Frederick D. Smith Disciplinary Decision
May 6, 2004 C9A030023 Hearing Panel Decision in Department of Enforcement v. George A. Murphy, Jr. Disciplinary Decision
Jan 3, 2001 C10000037 Hearing Panel Decision in Department of Enforcement v. George M. Goritz Disciplinary Decision
Aug 15, 2008 2005001729501 Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner Disciplinary Decision
Sep 22, 2004 C10030087 Hearing Panel Decision in Department of Enforcement v. Gilbert Alan Cardillo Disciplinary Decision

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