Office of Hearing Officers | FINRA.org

Office of Hearing Officers’ Decisions and Orders

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.

Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
June 29, 2026 RF260001 Reid & Rudiger LLC Expedited Decision
June 22, 2026 2025084675801 James Fredrick Tighe Disciplinary Decision - Default
June 17, 2026 2020066757804 Brian J. Pavelko Disciplinary Decision
June 10, 2026 2025084815701 Tory A. Duggins Disciplinary Decision - Default
May 12, 2026 2022073425001 APPEALED: James Lukezic Disciplinary Decision
May 07, 2026 2022077443302 APPEALED: Sebastian G. Bongiovanni Disciplinary Decision
April 21, 2026 ARB250022 Serge Suleimani Expedited Decision
April 13, 2026 2018056490315 Shadi T. Barakat Disciplinary Decision
March 27, 2026 2022075597101 APPEALED: John Lowry and Kim Monchik Disciplinary Decision
February 12, 2026 2021071987902 Order Requiring Certification of Compliance with FINRA Rule 9910 Disciplinary Order 26-04
February 04, 2026 2018056490315 Order Denying Respondent’s Motion to Conduct the Hearing in Part by Videoconference Disciplinary Order 26-03
February 03, 2026 DFC250001 Momentix Capital, Inc. Expedited Decision
February 02, 2026 ARB250018 APPEALED: Adam Kaplan and Daniel Kaplan Expedited Decision
January 28, 2026 2018056490315 Order Denying Respondent’s Motion to Introduce Affidavit Disciplinary Order 26-02
December 24, 2025 ARB250016 Elmer R. Ferguson Expedited Decision
December 19, 2025 2024083571501 Nana Kwame Kwakye-Bissah Disciplinary Decision - Default
December 18, 2025 2024082633901 Ali F. Chehab Disciplinary Decision - Default
December 18, 2025 2020068865301 Jeffrey K. Galvani and Stuart A. Jeffery Disciplinary Decision - Default
December 11, 2025 2019064333401 Order Granting the Department of Enforcement’s Motion Pursuant to FINRA Rule 9285 Disciplinary Order 25-27
November 14, 2025 2022077443302 Order Concerning Respondent’s Exhibits and Witness Disciplinary Order 25-26
November 13, 2025 2022077443302 Order Denying Enforcement’s Motion for Remote Videoconference Testimony Disciplinary Order 25-25
November 11, 2025 2022077443302 Order Denying Respondent’s Omnibus Motion to Dismiss and for Other Relief Disciplinary Order 25-24
November 04, 2025 2022073425001 Order Granting Enforcement’s (1) Motion for Relief Under FINRA Rule 9280 and (2) Second Motion for Leave to Amend Its Exhibit List Disciplinary Order 25-23
October 31, 2025 2019064333401 APPEALED: D. Allen Blankenship Disciplinary Decision
October 30, 2025 2020065599103 Christopher Cacace Disciplinary Decision