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
Nov 20, 2001 C3A010009 Hearing Panel Decision in Department of Enforcement v. Mark H. Love Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Sep 24, 2003 C02020055 Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto Disciplinary Decision
Oct 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III Disciplinary Decision
Oct 6, 2010 FPI100008 Hearning Panel Decision in Department of Member Regulation v. Sharemaster Expedited Decision, Rule 9550 Expedited Decisions
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Sep 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
Dec 8, 2016 DFC160001 McBarron Capital, LLC Expedited Decision
Mar 21, 2013 2009017527501 Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson Disciplinary Decision
Apr 26, 2001 ARB000026 Non-Summary Suspension Proceeding ARB000026 Expedited Decision, Non-Summary Proceeding
Aug 9, 2006 E9A2004001901 Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth Disciplinary Decision
Aug 10, 2005 ARB050014 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
Jun 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
May 21, 2010 2007011489301 Hearing Panel Decision in Department of Enforcement v. Ryan A. Leopold Disciplinary Decision
Aug 19, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Disciplinary Decision
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
May 3, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision
May 10, 2004 C9B030045 Hearing Panel Decision in Department of Enforcement v. Michael O'Hare Disciplinary Decision
Dec 6, 2008 20070094345 John E. Mullins and Kathleen M. Mullins Disciplinary Decision
Jun 16, 2015 2011025851501 APPEALED: KCD Financial, Inc. Disciplinary Decision
Sep 17, 2010 FPI100016 Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Jan 3, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Oct 12, 2004 C10030030 Hearing Panel Decision as to Respondent Redacted Decision

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