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
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision
Apr 25, 2011 2007008239001 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume Disciplinary Decision
Jul 26, 2001 ARB010001 Non-Summary Suspension Consolidated Proceeding ARB010001 Expedited Decision, Non-Summary Proceeding
Aug 6, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
Aug 1, 2006 C05050015 Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne Disciplinary Decision
Mar 4, 2003 C01020014 Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz 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
Jan 4, 2005 CAF030067 Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc. Disciplinary Decision
Oct 7, 2013 20080150419 Extended Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Jan 30, 2012 2007010902501 Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce Disciplinary Decision
Jun 1, 1999 ARB980026 Non-Summary Suspension Proceeding ARB980026 Expedited Decision, Non-Summary Proceeding
Mar 4, 2002 C05010017 Hearing Panel Decision in Department of Enforcement v. James S. Davenport Disciplinary Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Mar 5, 2019 2013035345701 APPEALED: Titan Securities, Brad Brooks and Richard Demetriou Disciplinary Decision
Jan 7, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
Mar 3, 2006 CAF030014 CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Sep 28, 2004 C8A030099 Hearing Panel Decision in Department of Enforcement v. Timothy J. Duma Disciplinary Decision
Dec 15, 2017 2013037522501 APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian Disciplinary Decision
Jul 25, 2001 ARB010018 Non-Summary Suspension Consolidated Proceeding ARB010018 Expedited Decision, Non-Summary Proceeding
Aug 7, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
Aug 16, 2006 E8A2004065102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 16, 2007 ARB060031 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Sep 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision

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