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 7, 2008 E102004083705 Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi Disciplinary Decision
Aug 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Apr 6, 2005 C9B040020 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision
Nov 6, 2015 2014041319201 APPEALED: Miguel Ortiz Disciplinary Decision
May 31, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order
Oct 14, 2008 2006006890801 Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin Disciplinary Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Apr 4, 2013 20070094013 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
May 27, 2004 C8A030068 Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer Disciplinary Decision
Jun 25, 2014 2012034211301 Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed Disciplinary Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
Jan 11, 2017 2013037097602 Jeffery A. Vaughn Disciplinary Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted 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
Nov 7, 2003 C10020090 Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante Disciplinary Decision
May 6, 2014 2010025181001 Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard Disciplinary Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Feb 7, 2008 E102004083704 Hearing Panel Decision in Department of Enforcement v. Marc Winters Disciplinary Decision
Aug 2, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Oct 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 27, 2000 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Jan 4, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision

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