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
Jun 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision
Aug 6, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
Jun 4, 2004 CMS020247 Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa Disciplinary Decision
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Oct 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
Jan 30, 2012 2007010902501 Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce Disciplinary Decision
May 2, 2008 2006004377701 Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke Disciplinary Decision
Nov 19, 2004 C05030036 Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al. Disciplinary Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Aug 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Mar 15, 2013 2010021621201 Hearing Panel Decision in Department of Enforcement v. Michael Pino Disciplinary Decision
Mar 19, 2000 C10990014 Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout Disciplinary Decision
Apr 17, 2009 2005003437102 Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock Disciplinary Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Mar 15, 2007 ARB060035 Wedbush Morgan Securities, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Apr 25, 2011 2007008239001 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume Disciplinary Decision
Jun 27, 2001 CAF000033 Hearing Panel Decision in Department of Enforcement v. Dennis Sturm Disciplinary Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
Feb 14, 2014 2012032997201 Hearing Panel Decision in Department of Enforcement v. Stephen Grivas Disciplinary Decision
Apr 18, 2005 C01040019 Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. Disciplinary Decision
Dec 17, 2013 20110269351 Hearing Panel Decision in Department of Market Regulation v. John Cherry III Disciplinary Decision
Aug 7, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions

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