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 Decision Proceeding No. Title Type Order No.sort descending
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
Feb 27, 2018 2012032731802 APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Disciplinary Decision
Nov 19, 2013 2009017195204 Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Jul 25, 2001 ARB010018 Non-Summary Suspension Consolidated Proceeding ARB010018 Expedited Decision, Non-Summary Proceeding
Jun 5, 2006 CAF040052 Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al. Disciplinary Decision
Jul 16, 2018 2015047154001 Kris Lynn Lewis Redacted Decision
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Feb 17, 2000 C10990024 Hearing Panel Decision in Department of Enforcement v. Averell Golub Disciplinary Decision
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka Disciplinary Decision
Jun 30, 2015 2012033128703 APPEALED: Brian Michael White Disciplinary Decision
Dec 16, 2008 EAF0400630001 Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
May 21, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai Disciplinary Decision
Feb 12, 2016 2013036678201 Tracy Chen Disciplinary Decision
Nov 8, 2013 20090207019-01 Hearing Panel Decision in Department of Enforcement v. Respondent. Redacted Decision
Oct 16, 2009 2006005977901 Hearing Panel Decision in Department of Enforcement v. Kale E. Evans Disciplinary Decision
Apr 26, 2001 ARB000011 Non-Summary Suspension Consolidated Proceeding ARB000011 Expedited Decision, Non-Summary Proceeding
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Jul 5, 2018 2015048362402 APPEALED: John Anthony Vedovino Disciplinary Decision
May 3, 2012 20060053785-02 Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake Disciplinary Decision
Jun 14, 2018 2014039174202 APPEALED: Steven E. Larson Disciplinary Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 16, 2016 2014040876001 APPEALED: Kenneth J. Mathieson Disciplinary Decision
Jan 16, 2004 CAF030008 Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone Disciplinary Decision

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