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
Sep 7, 2006 CMS040165 Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian Disciplinary Decision
Apr 18, 2001 CAF000015 Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc. Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
Oct 29, 2018 FPI180004 Jessica Bower Blake Expedited Decision
May 3, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Decision
Sep 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Nov 20, 2001 C3A010009 Hearing Panel Decision in Department of Enforcement v. Mark H. Love Disciplinary Decision
May 10, 2010 2007009981201 Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker Disciplinary Decision
Feb 12, 2016 2013036678201 Tracy Chen Disciplinary Decision
May 10, 2004 C9B030045 Hearing Panel Decision in Department of Enforcement v. Michael O'Hare Disciplinary Decision
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary Decision
Dec 20, 2005 FPI050008 Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh Expedited Decision, Rule 9550 Expedited Decisions
Dec 6, 2008 20070094345 John E. Mullins and Kathleen M. Mullins Disciplinary Decision
Dec 16, 2016 2014040876001 APPEALED: Kenneth J. Mathieson Disciplinary Decision
Sep 17, 2010 FPI100016 Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Sep 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Sep 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
Jul 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
Oct 17, 2018 2015044782401 APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd. Disciplinary Decision
Aug 19, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Disciplinary Decision
Feb 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. Disciplinary Decision
Dec 7, 2005 C3A050003 Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley Disciplinary Decision
Aug 10, 2005 ARB050014 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions

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