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 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
Aug 19, 2008 2006006705601 Hearing Panel Decision in Department of Enforcement v. John M. E. Saad Disciplinary Decision
Aug 28, 2012 2008013863702 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 30, 2014 2009020941801 APPEALED: Lek Securities Corporation and Samuel Frederik Lek Disciplinary Decision
Aug 14, 2007 2005001819101 Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. Disciplinary Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Mar 24, 2002 FPI010004 Hearing Panel Decision in Department of Enforcement v. Toni Valentino Expedited Decision, Rule 9540 Suspension Decisions
Mar 15, 2006 C05020055 Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel Disciplinary Decision
Jun 18, 2013 FPI130001 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Expedited Decision, Rule 9550 Expedited Decisions
Jul 17, 2015 2012034936101 APPEALED: Jeffrey D. Noard Disciplinary Decision
Aug 7, 2003 CMS020143 Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Sep 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Mar 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka Disciplinary Decision
Sep 14, 2018 2014039775501 James Randall Clay Disciplinary Decision
Jan 15, 2016 2012033362101 APPEALED: Thomas Edmund Connors Disciplinary Decision
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision
Jan 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
Aug 5, 2005 C3A040023 Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada Disciplinary Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Jun 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. Disciplinary Decision

Pages