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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| January 25, 2019 | ARB180037 | Order Denying Motion to Dismiss; | Expedited Order | EXP19‐01 |
| January 09, 2019 | 2016050938301 | Order Granting Department of Enforcement’s Unopposed Motion Regarding Sequestration | Disciplinary Order | 19-01 |
| January 09, 2019 | 2016050938301 | Order Granting Department of Enforcement’s Motion For Leave to Amend its Exhibit List | Disciplinary Order | 19-02 |
| January 02, 2019 | 2015043646501 | APPEALED: CSSC Brokerage Services, Inc. | Disciplinary Decision | |
| December 12, 2018 | 2016051299201 | Stewart Clinton Malloy | Disciplinary Decision - Default | |
| November 29, 2018 | 2014041860801 | APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler | Disciplinary Decision | |
| November 23, 2018 | 2017052871401 | Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 | Disciplinary Order | 18-21 |
| November 14, 2018 | 2014041862701 | APPEALED: Spencer Edwards, Inc. | Disciplinary Decision | |
| November 13, 2018 | 2016050205901 | APPEALED: Charles A. Laverty | Disciplinary Decision | |
| November 12, 2018 | 2015047303901 | APPEALED: Kyle P. Harrington and Linda C. Milberger | Disciplinary Decision | |
| November 09, 2018 | 2016049197001 | Sean William Killoran | Disciplinary Decision - Default | |
| November 06, 2018 | 2016052604602 | Craig Scott Hartman | Disciplinary Decision - Default | |
| October 31, 2018 | 2016050025401 | Order Granting in Part Enforcement’s Pre-Hearing Motion | Disciplinary Order | 18-16 |
| October 30, 2018 | 2017053669301 | Jason David | Disciplinary Decision - Default | |
| October 30, 2018 | 2015046971701 | Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) | Disciplinary Decision | |
| October 29, 2018 | FPI180004 | Jessica Bower Blake | Expedited Decision | |
| October 17, 2018 | 2015044782401 | APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd. | Disciplinary Decision | |
| October 09, 2018 | 2016050741702 | Thomas A. Davis | Disciplinary Decision - Default | |
| October 08, 2018 | 2016048912703 | Order Denying Bruce Meyers’ Motion to Compel | Disciplinary Order | 18-15 |
| September 27, 2018 | 2016052504602 | Atiq U. Khan | Disciplinary Decision - Default | |
| September 14, 2018 | 2014039775501 | James Randall Clay | Disciplinary Decision | |
| September 10, 2018 | FPI180002 | APPEALED: TMR Bayhead Securities | Disciplinary Decision | |
| August 28, 2018 | 2017054146302 | Matthew E. Eckstein | Disciplinary Decision - Default | |
| August 27, 2018 | 2016051652702 | J. Gordon, Jr. Cloutier | Disciplinary Decision - Default | |
| August 24, 2018 | 2016049775701 | David JC Bolton | Disciplinary Decision - Default |