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 Decisionsort ascending Proceeding No. Title Type Order No.
Jun 14, 2019 2015047005801 APPEALED: Brian Colin Doherty Disciplinary Decision
Jun 5, 2019 2017053428201 APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez Disciplinary Decision
May 8, 2019 2016050938301 APPEALED: Michael J. Clarke Disciplinary Decision
Apr 11, 2019 2016050025401 Frederick David Holloway Disciplinary Decision
Apr 5, 2019 2016049565901 APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang Disciplinary Decision
Mar 21, 2019 2016052104101 APPEALED: Devin Lamarr Wicker Disciplinary Decision
Mar 5, 2019 2013035345701 APPEALED: Titan Securities, Brad Brooks and Richard Demetriou Disciplinary Decision
Feb 7, 2019 ARB180031 Robert Jay Pincus Expedited Decision
Jan 29, 2019 2014042606902 APPEALED: Silver Leaf Partners, LLC Disciplinary Decision
Jan 29, 2019 2014043863001 APPEALED: Peter Orlando Disciplinary Decision
Jan 25, 2019 ARB180037 Order Denying Motion to Dismiss; Expedited Order 19‐01
Jan 2, 2019 2015043646501 APPEALED: CSSC Brokerage Services, Inc. Disciplinary Decision
Nov 29, 2018 2014041860801 APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler Disciplinary Decision
Nov 14, 2018 2014041862701 APPEALED: Spencer Edwards, Inc. Disciplinary Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Nov 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
Oct 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion Disciplinary Order 18-16
Oct 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
Oct 29, 2018 FPI180004 Jessica Bower Blake Expedited Decision
Oct 17, 2018 2015044782401 APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd. Disciplinary Decision
Oct 8, 2018 2016048912703 Order Denying Bruce Meyers’ Motion to Compel Disciplinary Order 18-15
Sep 14, 2018 2014039775501 James Randall Clay Disciplinary Decision
Sep 10, 2018 FPI180002 TMR Bayhead Securities Expedited Decision
Aug 7, 2018 2016050924601 APPEALED: Bradley C. Reifler Disciplinary Decision
Aug 1, 2018 2016050025401 Order Granting Motion for Leave to File Second Amended Complaint Disciplinary Order 18-14

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