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. Titlesort ascending Type Order No.
Jun 5, 2015 20140407790-01 Richard Francis Kenny, Jr. Disciplinary Decision
Mar 17, 2015 2011027271901 Richard Blair Disciplinary Decision
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision
Nov 3, 2014 20110273503 Richard A. McGuire Disciplinary Decision
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
Dec 6, 2010 20050007427 Respondent Firm and Respondent 2 Disciplinary Order 10-07
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
Aug 2, 2000 C3A990071 Protective Order Regarding Complainant's Rule 8210 Requests to Respondents Disciplinary Order 00-21
Oct 1, 2015 2013035344201 Protective Order Governing Personal Confidential Information Disciplinary Order 15-13
Jul 28, 2016 2013035817701 Protective Order Governing Personal Confidential Information Disciplinary Order 16-19
Jun 28, 2007 E102003025201 Procedural Pre-Hearing Order Disciplinary Order 07-27
Jan 2, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion Disciplinary Order 98-1
Apr 8, 2003 CAF020048 Pre-Hearing Order Directing ___________ to File a Power of Attorney Disciplinary Order 03-07
Apr 4, 2002 C02010041 Pre-Hearing Order Disciplinary Order 02-05
Apr 23, 2004 C9B040033 Pre-Hearing Order Disciplinary Order 04-24
Oct 9, 2000 C07000023 Pre-Hearing Order Disciplinary Order 00-30
Oct 20, 2016 SD-2071 PHX Financial, Inc. Statutory Disqualification, Approvals
Apr 4, 2016 20120320803-01 APPEALED: Peter J. Auzers and Shiva Naby Disciplinary Decision
Mar 18, 2016 2012034719701 APPEALED: Paul E. Taboada Disciplinary Decision
Aug 7, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
Apr 28, 2015 2012033351801 CALLED FOR REVIEW: Paolo Franca Iida Disciplinary Decision
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents Disciplinary Order 99-05
Mar 9, 2000 C8A990032 Order Vacating Default Against Respondent, Granting Complainant Leave to Re-Serve the Complaint, and Setting a Briefing Schedule on the Issue of Jurisdiction Disciplinary Order 00-05
Dec 19, 1997 C10970172 Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference Disciplinary Order 97-16