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.
Sep 19, 2013 2011025957702 Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen Disciplinary Decision
Dec 10, 2014 2011026386001 Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates Disciplinary Order 14-08
Jun 29, 2015 20110263957-01 Jack Lawrence Howard Disciplinary Decision
Oct 23, 2012 2011026664301 Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer Disciplinary Order 12-06
Jan 28, 2014 2011026664301 Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. Disciplinary Decision
Jun 17, 2014 2011026788801 Order Denying Summary Disposition Disciplinary Order 14-01
Mar 10, 2015 2011026788801 Keith Geary Disciplinary Decision
Mar 13, 2013 2011026874301 Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense Disciplinary Order 13-02
Dec 10, 2013 2011026874301 Hearing Panel Decision in Department of Enforcement v. William L. Tatro Disciplinary Decision
Dec 17, 2013 20110269351 Hearing Panel Decision in Department of Market Regulation v. John Cherry III Disciplinary Decision
Apr 18, 2016 2011027007901 APPEALED: Shashishekhar Doni Disciplinary Decision
Mar 17, 2015 2011027271901 Richard Blair Disciplinary Decision
Nov 3, 2014 20110273503 Richard A. McGuire Disciplinary Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
Jul 3, 2014 20110275168-01 Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof Disciplinary Decision
Mar 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Apr 23, 2014 2011027993301 Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune Disciplinary Decision
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision
Apr 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley Disciplinary Decision
May 16, 2014 2011028502101 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Jan 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
Feb 19, 2013 2011029152401 Hearing Panel Decision in Department of Enforcement v. William B. Smith Disciplinary Decision
Jan 21, 2014 2011029227701 Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee Disciplinary Decision
Mar 17, 2017 2011029549201 Craig G. Langweiler Disciplinary Decision

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