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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.

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.
September 03, 2003 CAF010011 Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander

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Disciplinary Decision
August 29, 2003 C10020076 Hearing Panel Decision in Department of Enforcement v. Jeffrey Mills Disciplinary Decision
August 27, 2003 C05020060 Hearing Panel Decision in Department of Enforcement v. John R. Bingham Disciplinary Decision
August 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
August 11, 2003 C3B020015 Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey

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Disciplinary Decision
August 07, 2003 CMS020143 Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II

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Disciplinary Decision
August 06, 2003 C9B020052 Hearing Panel Decision in Department of Enforcement v. Brian J. Clark Disciplinary Decision
July 28, 2003 C01020012 Hearing Panel Decision in Department of Enforcement v. Kelmoore Investment Co., Inc., and Shawn Kelmon Young Disciplinary Decision
July 14, 2003 C10010004 Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel Disciplinary Decision
July 08, 2003 C01020025 Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen

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Disciplinary Decision
July 07, 2003 CAF020053 Order on Respondent's Expert Witness Designation Disciplinary Order 03-16
June 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk

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June 23, 2003 C9A020052 Hearing Panel Decision in Department of Enforcement v. Guang Lu

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June 05, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight

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Disciplinary Decision
June 04, 2003 C9A030006 Order Denying Motion for Summary Disposition Disciplinary Order 03-15
May 27, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Thomas A. Timberlake Disciplinary Decision
May 21, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai Disciplinary Decision
May 21, 2003 CAF030007 Order Granting in Part and Denying in Part Respondent's Motion for More Definite Statement Disciplinary Order 03-13
May 14, 2003 C9B020060 Hearing Panel Decision in Department of Enforcement v. Mark Paul Adler Disciplinary Decision
April 30, 2003 CMS020143 Order Denying Complainant's Motion to Disqualify Counsel Disciplinary Order 03-10
April 30, 2003 CMS020143 Order Denying Complainant's Motion in Limine Disciplinary Order 03-11
April 30, 2003 C3B020015 Order Rejecting Contested Offer of Settlement Disciplinary Order 03-12
April 28, 2003 C9B020046 Hearing Panel Decision in Department of Enforcement v. Justin E. Apgar Disciplinary Decision
April 25, 2003 C06020003 Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms

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Disciplinary Decision
April 17, 2003 C01020025 Order Denying Motion to Bifurcate Hearing Disciplinary Order 03-09