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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decisionsort ascending Proceeding No. Title Type Order No.
Nov 8, 2017 2014041985401 APPEALED: James Larkin Powers Disciplinary Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Sep 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision
Sep 6, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller Disciplinary Decision
Aug 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
Aug 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
Aug 2, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
Jul 31, 2017 2015044823501 & 2015044823502 Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges Disciplinary Decision
Jul 14, 2017 2014042156101 William Morgan Ditty Disciplinary Decision
Jul 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
Jun 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
Jun 16, 2017 2013037709301 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 17-13
Jun 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
May 30, 2017 2014039839101 APPEALED: Jim Jinkook Seol Disciplinary Decision
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
May 3, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision
Apr 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. Disciplinary Order 17-12
Apr 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions Disciplinary Order 17-10

Pages