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
Nov 1, 2007 ELI2004026701 Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq Disciplinary Decision
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
Apr 7, 2017 2015045601401 Katherine Ann White Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Apr 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng Disciplinary Decision
Dec 30, 2005 C8A050027 Hearing Panel Decision in Department of Enforcement vs. Marylan Taylor Disciplinary Decision
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 26, 2001 ARB000011 Non-Summary Suspension Consolidated Proceeding ARB000011 Expedited Decision, Non-Summary Proceeding
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Feb 17, 2000 C10990024 Hearing Panel Decision in Department of Enforcement v. Averell Golub Disciplinary Decision
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision
Dec 21, 2017 ARB160035 REMANDED: Keith Patrick Sequeira Expedited Decision
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Oct 15, 2007 C11040006 Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken Disciplinary Decision
Oct 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III Disciplinary Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
Nov 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision
Oct 18, 2010 2006005786501 Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie Disciplinary Decision
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
May 3, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision

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