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
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary Decision
Dec 2, 2014 2012030570301 Calvin B. Grigsby Disciplinary Decision
Sep 19, 2013 2009016317701 Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel Disciplinary Decision
Jul 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
Jan 3, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Dec 6, 2008 20070094345 John E. Mullins and Kathleen M. Mullins Disciplinary Decision
Jun 26, 2015 2011030072301 Audra Lynn Lalley Disciplinary Decision
Oct 26, 2006 CAF040058 Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou Disciplinary Decision
Aug 2, 2000 ARB000005 Non-Summary Suspension Proceeding ARB000005 Expedited Decision, Non-Summary Proceeding
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision
Apr 5, 2006 DFC050011 Decision in NASD Treasurer v. Lee Fisher Expedited Decision, Rule 9550 Expedited Decisions
Dec 13, 2016 2014040501801 Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer Disciplinary Decision
Mar 2, 2005 ARB040037 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Sep 7, 2005 C01040025 Hearing Panel Decision in Department of Enforcement vs. Jimmie Lee Griffith Disciplinary Decision
Dec 22, 2014 2012034389202 APPEALED: Bernard G. McGee Disciplinary Decision
Sep 19, 2013 2011025957702 Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen Disciplinary Decision
Jul 14, 2017 2014042156101 William Morgan Ditty Disciplinary Decision
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
Jan 3, 2001 C10000037 Hearing Panel Decision in Department of Enforcement v. George M. Goritz Disciplinary Decision
Jul 27, 2007 E8A2002109804 Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza Disciplinary Decision
Nov 18, 2011 2007010580702 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 29, 2012 2010021303301 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Jun 28, 2016 2013038418201 Joseph N. Barnes, Sr. Disciplinary Decision
Jul 2, 2012 20070082049 Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane Disciplinary Decision

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