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
Dec 11, 2008 2006003834901 Hearing Panel Decision in Department of Moustafa M. Zayed Disciplinary Decision
Oct 18, 2010 2006005786501 Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie Disciplinary Decision
Jun 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
Jun 28, 2006 ARB060005 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Jun 26, 2015 2011030072301 Audra Lynn Lalley Disciplinary Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Dec 13, 2016 2014040501801 Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer Disciplinary Decision
Apr 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley Disciplinary Decision
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
Aug 30, 2006 CE3050003 Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc. Disciplinary Decision
Oct 11, 2011 2007011915401 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Sep 28, 2012 2008012925001 Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel Disciplinary Decision
Jul 14, 2017 2014042156101 William Morgan Ditty Disciplinary Decision
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Dec 22, 2014 2012034389202 APPEALED: Bernard G. McGee Disciplinary Decision
Jun 28, 2016 2013038418201 Joseph N. Barnes, Sr. 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
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 10, 2015 2009017440201 APPEALED: Louis Ottimo Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Nov 28, 2016 2013038770901 Ricky R. Moore Disciplinary Decision
Apr 23, 2014 2011027993301 Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision

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