Office of Hearing Officers

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.sort descending
Dec 15, 2006 2005000315901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 5, 2019 2013035345701 APPEALED: Titan Securities, Brad Brooks and Richard Demetriou Disciplinary Decision
Mar 1, 2006 C04050005 Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong Disciplinary Decision
Mar 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Oct 2, 2015 2013036799501 APPEALED: Michael Casas Disciplinary Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase Disciplinary Decision
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision
Oct 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision
Jun 13, 2014 2010025350001 Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith Disciplinary Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Nov 28, 2007 EAF0400300001 Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
Nov 29, 2005 C9B050011 Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr. Disciplinary Decision
Jun 26, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss Disciplinary Decision
Mar 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash Disciplinary Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Mar 15, 2006 C05020055 Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel Disciplinary Decision
Jun 7, 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
Aug 19, 2008 2006006705601 Hearing Panel Decision in Department of Enforcement v. John M. E. Saad Disciplinary Decision

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