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
May 16, 2014 2011028502101 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
Apr 25, 2008 CAF040079 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Jan 4, 2011 20060052598-01 CALLED FOR REVIEW: Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett Disciplinary Decision
Jun 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision
Mar 8, 2001 C9A000027 Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson Disciplinary Decision
Sep 27, 2005 C3A040001 Hearing Panel Decision in Department of Enforcement vs. Charles A. DaCruz & Thomas J. Linda Disciplinary Decision
Nov 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
Oct 11, 2004 C8A030089 Hearing Panel Decision in Department of Enforcement v. Joseph Rogala Disciplinary Decision
Dec 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen Disciplinary Decision
Jun 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk Disciplinary Decision
May 6, 2014 2010025181001 Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard Disciplinary Decision
Jan 4, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 27, 2000 C02990052 Hearing Panel Decision in Department of Enforcement v. Shailesh B. Patel Disciplinary Decision
Apr 10, 2008 20060042305-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 2, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
Jan 6, 2005 C01040010 Hearing Panel Decision in Department of Enforcement vs. Patrick Orvil Nugent Disciplinary Decision
Jul 9, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Apr 17, 2009 2005003437102 Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock Disciplinary Decision

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