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
Jan 4, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson Disciplinary Decision
Apr 19, 2002 FPI010002 Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg Expedited Decision, Rule 9540 Suspension Decisions
Nov 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Sep 20, 2016 2015044960501 APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim Disciplinary Decision
Mar 10, 2015 2011026788801 Keith Geary Disciplinary Decision
Feb 8, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. Disciplinary Decision
Jun 5, 2009 2007009082902 Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton Disciplinary Decision
Aug 10, 2006 C07050050 Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar Disciplinary Decision
Jan 4, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 26, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss Disciplinary Decision
Nov 28, 2007 EAF0400300001 Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy Disciplinary Decision
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Nov 21, 2001 C07010017 Hearing Panel Decision as to Respondent Redacted Decision
Oct 2, 2015 2013036799501 APPEALED: Michael Casas Disciplinary Decision
Mar 19, 2000 C10990014 Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout Disciplinary Decision
Apr 4, 2016 20120320803-01 APPEALED: Peter J. Auzers and Shiva Naby Disciplinary Decision
Aug 11, 2003 C3B020015 Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey Disciplinary Decision
Jun 13, 2014 2010025350001 Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith Disciplinary Decision
Jun 27, 2001 CAF000033 Hearing Panel Decision in Department of Enforcement v. Dennis Sturm Disciplinary Decision
Jan 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker Disciplinary Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
Oct 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision

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