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
Aug 3, 1999 ARB990014 Non-Summary Suspension Proceeding ARB990014 Expedited Decision, Non-Summary Proceeding
Feb 1, 2006 C02040032 Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort Disciplinary Decision
Jan 13, 2000 C3A990050 Hearing Panel Decision in Department of Enforcement v. Jim Newcomb Disciplinary Decision
Jun 8, 2015 ARB140066 Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
Jun 23, 2003 C9A020052 Hearing Panel Decision in Department of Enforcement v. Guang Lu Disciplinary Decision
Nov 17, 1998 C02980025 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz Disciplinary Decision
Jan 24, 2005 C9B040033 Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson Disciplinary Decision
Jan 4, 2011 20060052598-01 CALLED FOR REVIEW: Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett Disciplinary Decision
Aug 15, 2019 FPI190005 Myron K. Gruenberg Expedited Decision
May 2, 2016 2014040968501 APPEALED: Ahmed Gadelkareem Disciplinary Decision
Jan 25, 2002 ARB010013 Non-Summary Suspension Proceeding ARB010013 Expedited Decision, Non-Summary Proceeding
Jul 9, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Dec 17, 2008 2006005318801 Hearing Panel Decision in Department of Enforcement v. Kent M. Houston Disciplinary Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Dec 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen Disciplinary Decision
Sep 20, 2016 2015044960501 APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim Disciplinary Decision
Feb 10, 2006 C04050014 Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper Disciplinary Decision
Oct 3, 2002 DFC020014 NASD Treasurer, Complainant, v. Respondent Expedited Decision, Rule 9530 Suspension Decisions
Aug 7, 2018 2016050924601 APPEALED: Bradley C. Reifler Disciplinary Decision
May 19, 1999 C05990006 Order Dismissing Respondent for Lack of Jurisdiction Redacted Decision
Aug 27, 2015 2012034934301 Wedbush Securities Inc. Disciplinary Decision
Aug 13, 2013 2009016159102 Amended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk Disciplinary Decision
Oct 7, 2013 20080150419 Extended Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision

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