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
Oct 2, 2015 2013036799501 APPEALED: Michael Casas Disciplinary Decision
Mar 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari Disciplinary Decision
Mar 4, 2002 C05010017 Hearing Panel Decision in Department of Enforcement v. James S. Davenport Disciplinary Decision
May 2, 2008 2006004377701 Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein Disciplinary Decision
Apr 18, 2005 C01040019 Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. Disciplinary Decision
Dec 15, 2005 C9B040080 Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Jun 13, 2014 2010025350001 Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith Disciplinary Decision
Oct 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 17, 2009 2005003437102 Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock Disciplinary Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Jun 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
Dec 15, 2006 2005000315901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash Disciplinary Decision
Mar 4, 2003 C01020014 Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Jan 19, 2011 2008011684001 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
May 18, 2007 E8A2003091501 Hearing Panel Decision in Department of Enforcement v. Roy M. Strong Disciplinary Decision
Oct 2, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Mar 6, 2001 C02000037 Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper Disciplinary Decision
Dec 29, 2005 C06040027 Hearing Panel Decision in Department of Enforcement vs. Sterling Scott Lee & Dennis Todd Lloyd Gordon Disciplinary Decision
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision

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