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
Mar 23, 2004 CAF030014 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision
Mar 3, 2006 CAF030014 CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
May 14, 2008 20060049953-01 Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero Disciplinary Decision
Jun 18, 2013 FPI130001 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Expedited Decision, Rule 9550 Expedited Decisions
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Mar 9, 2015 2012030724101 APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr. Disciplinary Decision
Apr 18, 2016 2011027007901 APPEALED: Shashishekhar Doni Disciplinary Decision
Jun 7, 2004 CAF020048 Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon Disciplinary Decision
Oct 2, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Dec 11, 2007 20050000720-02 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision
Oct 29, 2018 FPI180004 Jessica Bower Blake Expedited Decision
Jul 8, 2014 2009020465801 Hearing Panel Decision in Department of Enforcement v. Keith D. Geary Disciplinary Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Aug 6, 2004 CMS030257 Hearing Panel Decision as to Respondent Redacted Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Apr 7, 2017 2015045601401 Katherine Ann White Disciplinary Decision
Mar 7, 2006 CLG050048 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Jun 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. Disciplinary 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
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Mar 17, 2015 2011027271901 Richard Blair Disciplinary Decision
May 3, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision

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