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.|
|Aug 7, 2018||2016050924601||APPEALED: Bradley C. Reifler||Disciplinary Decision|
|Sep 10, 2018||FPI180002||TMR Bayhead Securities||Disciplinary Decision|
|Sep 14, 2018||2014039775501||James Randall Clay||Disciplinary Decision|
|Oct 8, 2018||2016048912703||Order Denying Bruce Meyers’ Motion to Compel||Disciplinary Order||18-15|
|Oct 17, 2018||2015044782401||APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd.||Disciplinary Decision|
|Oct 29, 2018||FPI180004||Jessica Bower Blake||Expedited Decision|
|Oct 30, 2018||2015046971701||Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.)||Disciplinary Decision|
|Oct 31, 2018||2016050025401||Order Granting in Part Enforcement’s Pre-Hearing Motion||Disciplinary Order||18-16|
|Nov 12, 2018||2015047303901||APPEALED: Kyle P. Harrington and Linda C. Milberger||Disciplinary Decision|
|Nov 13, 2018||2016050205901||APPEALED: Charles A. Laverty||Disciplinary Decision|
|Nov 14, 2018||2014041862701||APPEALED: Spencer Edwards, Inc.||Disciplinary Decision|
|Nov 29, 2018||2014041860801||APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler||Disciplinary Decision|
|Jan 2, 2019||2015043646501||APPEALED: CSSC Brokerage Services, Inc.||Disciplinary Decision|
|Jan 25, 2019||ARB180037||Order Denying Motion to Dismiss;||Expedited Order||19‐01|
|Jan 29, 2019||2014042606902||APPEALED: Silver Leaf Partners, LLC||Disciplinary Decision|
|Jan 29, 2019||2014043863001||APPEALED: Peter Orlando||Disciplinary Decision|
|Feb 7, 2019||ARB180031||Robert Jay Pincus||Expedited Decision|