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.sort descending Title Type Order No.
Apr 27, 2016 2010020954501 APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan Disciplinary Decision
Jun 1, 2011 2010021196801 Order Regarding Respondent’s Motion to Stay Disciplinary Order 11-07
Mar 29, 2012 2010021303301 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Jul 9, 2012 20100214065-01 Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre Disciplinary Decision
Oct 22, 2015 20100215720-01 eBX, LLC Disciplinary Decision
Mar 15, 2013 2010021621201 Hearing Panel Decision in Department of Enforcement v. Michael Pino Disciplinary Decision
Oct 29, 2011 2010021627601 Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman Disciplinary Decision
Dec 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen Disciplinary Decision
Oct 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 12, 2014 20100226015-01 Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock Disciplinary Decision
Aug 24, 2016 20100226911-02 Bharminder Singh Disciplinary Decision
Oct 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk Disciplinary Decision
Jan 18, 2013 2010023044101 Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci Disciplinary Decision
Jan 24, 2014 2010023218601 Order Denying Respondent’s Discovery Motions. Disciplinary Order 14-03
Jan 4, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson Disciplinary Decision
Aug 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents Disciplinary Order 12-04
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision
Jun 11, 2013 2010024062601 Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen Disciplinary Decision
Jul 18, 2013 2010024271001 Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes Disciplinary Decision
Oct 17, 2012 2010024320101 Order to Provide Verification in Support of Request for Continuance of Hearing Disciplinary Order 12-05
Feb 26, 2013 2010024320101 Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler Disciplinary Decision
Mar 23, 2016 2010024522103 APPEALED: Brett Ian Friedberg Disciplinary Decision
Feb 23, 2015 2010024522103 Order Denying Respondents’ Motion Pursuant to Rule 9251 Disciplinary Order 15-02
Apr 8, 2015 2010024522103 Order Denying Motion Pursuant to FINRA Rule 9234 Disciplinary Order 15-09
Mar 21, 2013 2010024837301 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision

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