Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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.

Date of Decisionsort ascending Proceeding No. Title Type Order No.
Jun 16, 2015 2011025851501 Appealed:KCD Financial, Inc. Disciplinary Decision
Jun 8, 2015 ARB140066 Appealed:Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
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 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 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
Apr 2, 2015 2013036217601 Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 15-07
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 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
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
Dec 30, 2014 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision

Pages