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. |
|---|---|---|---|---|
| June 29, 2004 | C8A020088 | Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey | Disciplinary Decision | |
| June 29, 2004 | C10030088 | Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider | Disciplinary Decision | |
| June 26, 2004 | ARB040033 | Order Denying Respondent's Motion To Dismiss | Disciplinary Decision | |
| June 24, 2004 | CAF030055 | Order Denying Enforcement's Motion for Summary Disposition | Disciplinary Order | 04-08 |
| June 22, 2004 | C9B030076 | Order Dismissing Affirmative Defense | Disciplinary Order | 04-07 |
| June 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | Disciplinary Order | 04-06 |
| June 15, 2004 | CAF030058 | Order Granting Respondent's Motion for in Camera Inspection of Documents | Disciplinary Order | 04-05 |
| June 14, 2004 | C11040006 | Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken | Disciplinary Decision | |
| June 10, 2004 | C9B040020 | Order Denying Respondents' Motion to Compel Discovery | Disciplinary Order | 04-04 |
| June 07, 2004 | CAF020048 | Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon | Disciplinary Decision | |
| June 07, 2004 | CLI030011 | Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis | Disciplinary Decision | |
| June 04, 2004 | CMS020247 | Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa | Disciplinary Decision | |
| June 01, 2004 | C8A030100 | Order Denying Motion for Leave to File Amended Answer | Disciplinary Order | 04-03 |
| May 27, 2004 | C8A030068 | Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer | Disciplinary Decision | |
| May 25, 2004 | C8A030078 | Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger | Disciplinary Decision | |
| May 19, 2004 | C10030076 | Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim | Disciplinary Decision | |
| May 10, 2004 | C9B030045 | Hearing Panel Decision in Department of Enforcement v. Michael O'Hare | Disciplinary Decision | |
| May 06, 2004 | C9A030023 | Hearing Panel Decision in Department of Enforcement v. George A. Murphy, Jr. | Disciplinary Decision | |
| May 04, 2004 | C04030057 | Hearing Panel Decision in Department of Enforcement v. Sherry Lee Williams | Disciplinary Decision | |
| May 03, 2004 | CAF040002 | Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply | Disciplinary Decision | |
| April 26, 2004 | C01030004 | Hearing Panel Decision in Department of Enforcement v. Tad Enrique Mihalopoulos, Sr. | Disciplinary Decision | |
| April 26, 2004 | C8A030034 | Hearing Panel Decision in Department of Enforcement v. James Barrick | Disciplinary Decision | |
| April 23, 2004 | C9B040033 | Pre-Hearing Order | Disciplinary Order | 04-24 |
| April 19, 2004 | C05020055 | Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel | Disciplinary Decision | |
| April 19, 2004 | C05030023 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Redacted Decision |