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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|Nov 6, 2017||2015048048801||Hank M. Werner and Legend Securities, Inc.||Disciplinary Decision|
|Nov 8, 2017||2014041985401||APPEALED: James Larkin Powers||Disciplinary Decision|
|Nov 8, 2017||2014040809501||Eddie Basora, Jr.||Disciplinary Decision|
|Dec 8, 2017||2013039306601||Michael Timothy Dolan||Disciplinary Decision|
|Dec 14, 2017||ARB170025||Matthew Grady||Expedited Decision|
|Dec 15, 2017||2013037522501||APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian||Disciplinary Decision|
|Dec 20, 2017||2016047565702||Order Regarding Motion for Order Directing Zipper to File a Proposed Answer||Disciplinary Order||17-14|
|Dec 21, 2017||ARB160035||REMANDED: Keith Patrick Sequeira||Expedited Decision|
|Jan 8, 2018||2014043869901||Jeffrey E. Krupnick||Disciplinary Decision|
|Feb 2, 2018||2015046759201||APPEALED: Todd B. Wyche||Disciplinary Decision|
|Feb 6, 2018||DFC170004||APPEALED: Dakota Securities International, Inc.||Expedited Decision|
|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|
|Mar 14, 2018||2016052347901||APPEALED: Austin Wayne Morton||Disciplinary Decision|