Office of Hearing Officers’ Decisions and Orders
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. |
|---|---|---|---|---|
| August 13, 2015 | 2011025622001 | SWS Financial Service, Inc. | Disciplinary Decision | |
| August 07, 2015 | 20090208031-02 | Paul Charles Dotson | Disciplinary Decision | |
| August 06, 2015 | 2013036217601 | Kenneth Brownlee | Disciplinary Decision | |
| July 23, 2015 | 2012030527503 | APPEALED: Thaddeus James North | Disciplinary Decision | |
| July 17, 2015 | 2012034936101 | APPEALED: Jeffrey D. Noard | Disciplinary Decision | |
| July 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| June 30, 2015 | 2012033128703 | APPEALED: Brian Michael White | Disciplinary Decision | |
| June 29, 2015 | 20110263957-01 | Jack Lawrence Howard | Disciplinary Decision | |
| June 26, 2015 | 2011030072301 | Audra Lynn Lalley | Disciplinary Decision | |
| June 24, 2015 | 20070092503-01 | Robin Maranda Oscher | Disciplinary Decision | |
| June 16, 2015 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision | |
| June 08, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 05, 2015 | 20140407790-01 | Richard Francis Kenny, Jr. | Disciplinary Decision | |
| June 04, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | Disciplinary Order | 15-10 |
| May 21, 2015 | 2012032519101 | APPEALED: Robert Earl Holaday | Disciplinary Decision | |
| May 18, 2015 | 20110279263-01 | APPEALED: Matthew Joseph Sheerin | Disciplinary Decision | |
| May 04, 2015 | 2009016159110 | Anthony Spagnolo, III | Disciplinary Decision | |
| May 04, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| April 28, 2015 | 2012033351801 | ; CALLED FOR REVIEW: Paolo Franca Iida | Disciplinary Decision | |
| April 08, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | Disciplinary Order | 15-09 |
| April 08, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | Disciplinary Order | 15-08 |
| April 02, 2015 | 2012034045101 | Charles H. Melvin, Jr. | Disciplinary Decision | |
| April 02, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 15-07 |
| March 31, 2015 | 2011027666902 | APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash | Disciplinary Decision | |
| March 30, 2015 | 2011025675501 | APPEALED: Kimberly Springsteen-Abbott | Disciplinary Decision |