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
Feb 12, 2016 2013036678201 Tracy Chen Disciplinary Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
May 12, 2009 2005000075703 Amended Extended Hearing Panel Decision in Department of Enforcement v. Midas Securities LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee and Rodney Preston Michel Disciplinary Decision
Sep 7, 2006 CMS040165 Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian Disciplinary Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Aug 18, 1999 CAF980005 Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller Disciplinary Decision
Dec 11, 2007 20050000720-02 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala 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
Oct 18, 2010 2006005786501 Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie Disciplinary Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Jun 13, 2011 2008011701203 Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc. Disciplinary Decision
Jun 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
May 8, 2009 2005000835801 Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier Disciplinary Decision
Sep 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
Dec 1, 2009 2007009848801 Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco Disciplinary Decision
Mar 21, 2013 2009017527501 Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson Disciplinary Decision
Nov 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Apr 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley Disciplinary Decision
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
Jul 19, 2001 C8A000059 Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson Disciplinary Decision
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision

Pages