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 descending Type Order No.
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Aug 5, 2016 ARB160012 Fairbridge Capital Markets Expedited Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Nov 15, 1997 C07970055 Final Pre-hearing Conference Order Disciplinary Order 97-9
Mar 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
Mar 9, 2015 2012030724101 APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr. Disciplinary Decision
Apr 11, 2019 2016050025401 Frederick David Holloway Disciplinary Decision
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Apr 5, 2019 2016049565901 APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
May 6, 1999 CAF980080 Hearing Panel Decision Redacted Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision

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