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, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Nov 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy Disciplinary Decision
Apr 28, 2015 2012033351801 CALLED FOR REVIEW: Paolo Franca Iida Disciplinary Decision
Mar 15, 2007 ARB060035 Wedbush Morgan Securities, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Aug 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
Nov 21, 2001 C07010017 Hearing Panel Decision as to Respondent Redacted Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Jan 7, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
Aug 11, 2003 C3B020015 Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey Disciplinary Decision
Jan 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker Disciplinary Decision
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Apr 18, 2005 C01040019 Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. 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
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Nov 19, 2013 2009017195204 Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary 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
Oct 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision

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