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 Decision Proceeding No. Title Type Order No.
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 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 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 2009020941801 Appealed:Lek Securities Corporation and Samuel Frederik Lek Disciplinary Decision
Dec 30, 2014 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
Dec 30, 2014 20080148227-02 Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement Disciplinary Order 14-09
Dec 22, 2014 2012034389202 Appealed:Bernard G. McGee Disciplinary Decision
Dec 10, 2014 2011026386001 Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates Disciplinary Order 14-08
Dec 8, 2014 2011030781201 Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer Disciplinary Order 14-07
Dec 2, 2014 2012030570301 Calvin B. Grigsby Disciplinary Decision
Dec 1, 2014 2011025676501 Order Granting, In Part, Motion for More Definite Statement Disciplinary Order 14-06
Nov 3, 2014 20110273503 Richard A. McGuire Disciplinary Decision
Oct 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk Disciplinary Decision
Sep 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents Disciplinary Order 14-04
Sep 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
Sep 9, 2014 2011025617702 Order Denying Respondents’ Motion to Permit Expert Testimony Disciplinary Order 14-05

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