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 18, 2018 2016047565702 APPEALED: Bruce Martin Zipper and Dakota Securities International, Inc. Disciplinary Decision
May 3, 2018 2014039775501 Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits Disciplinary Order 18-09
May 3, 2018 2014039775501 Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses Disciplinary Order 18-08
May 2, 2018 2014041860801 Omnibus Order on Pre-Hearing Motions Disciplinary Order 18-07
Apr 30, 2018 201404186800 APPEALED: Dennis A. Mehringer, Jr. Disciplinary Decision
Apr 25, 2018 2015046971701 Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony Disciplinary Order 18-04
Apr 24, 2018 2014041860801 Order Granting in Part and Denying in Part Renewed Motion to Compel. Disciplinary Order 18-06
Apr 11, 2018 2014040761001 Amended Order Denying Respondent’s Motion for Partial Summary Disposition Disciplinary Order 18-01
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Mar 20, 2018 2015046971701 Order Granting Motion to Allow De Bene Esse Deposition Disciplinary Order 18-11
Mar 14, 2018 2016052347901 APPEALED: Austin Wayne Morton Disciplinary Decision
Mar 5, 2018 2015047154001 Order Denying Respondent’s Motion for Admission of Additional Exhibits Disciplinary Order 18-10
Feb 27, 2018 2015045254501 APPEALED: Richard O. White Disciplinary Decision
Feb 27, 2018 2012032731802 APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Disciplinary Decision
Feb 14, 2018 2016049420501 Second Order Rescheduling Initial Pre-Hearing Conference Disciplinary Order 18-02
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Feb 2, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision
Jan 10, 2018 2014041860801 Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike Disciplinary Order 18-05
Jan 10, 2018 2014042606902 Order Granting Enforcement’s Motion for Rule-Compliant Answer Disciplinary Order 18-03
Jan 8, 2018 2014043869901 Jeffrey E. Krupnick Disciplinary Decision
Dec 21, 2017 ARB160035 REMANDED: Keith Patrick Sequeira Expedited Decision
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer Disciplinary Order 17-22
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proposed Answer Disciplinary Order 17-14
Dec 15, 2017 2013037522501 APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision

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