Office of Hearing Officers’ Decisions and Orders
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.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| August 09, 2024 | ARB240010 | Order Denying Respondent’s Fifth Motion for Continuance of Hearing | Expedited Order | EXP24-1 |
| August 06, 2024 | ARB240008 | John Lawrence Davis | Expedited Decision | |
| August 05, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Attach Appendix to Post-Hearing Brief | Disciplinary Order | 24-22 |
| July 08, 2024 | ARB240001 | Jason Malcom Pirnie | Expedited Decision | |
| July 01, 2024 | 2019064333401 | Order Granting Enforcement’s Motion to Permit Testimony by Videoconference or Telephone | Disciplinary Order | 24-21 |
| June 25, 2024 | 2021071094401 | APPEALED: John Pelletier | Disciplinary Decision | |
| June 17, 2024 | 2019064508802 | Order Setting Deadlines for Filing Proposed Corrections to Hearing Transcript | Disciplinary Order | 24-20 |
| June 13, 2024 | 2019064508802 | Order Governing Post-Hearing Briefing | Disciplinary Order | 24-19 |
| June 06, 2024 | 2021072167901 | Order Denying Respondent’s Motion for Leave to Present Expert Testimony | Disciplinary Order | 24-18 |
| May 29, 2024 | 2018059178401 | Austin R. Dutton | Disciplinary Decision - Default | |
| May 23, 2024 | 2021071137001 | Order Granting Department of Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-17 |
| May 21, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Designate Certain Witnesses as Adverse Witnesses | Disciplinary Order | 24-13 |
| May 21, 2024 | 2019064508802 | Order Granting, in Part, and Denying, in Part, Respondent’s Motion for Videoconference and/or Telephone Testimony of Certain Witnesses | Disciplinary Order | 24-16 |
| May 21, 2024 | 2019064508802 | Order Granting Motion for Sequestration | Disciplinary Order | 24-14 |
| May 21, 2024 | 2019064508802 | Order Granting and Denying, in Part, Respondent’s Motion to Modify the Case Management and Scheduling Order and for Reconsideration of Hearing Procedures for Witness Examinations | Disciplinary Order | 24-15 |
| May 20, 2024 | 2021070337501 | Order Granting Department of Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-12 |
| May 17, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Judicial Notice | Disciplinary Order | 24-10 |
| May 17, 2024 | 2019064508802 | Order Denying Enforcement’s Motion to Use Leading Questions | Disciplinary Order | 24-11 |
| May 15, 2024 | 2022073772701 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9251 | Disciplinary Order | 24-09 |
| April 30, 2024 | 2020066257302 | Order Granting Enforcement’s Objection to Respondent’s Proposed Witnesses | Disciplinary Order | 24-08 |
| March 28, 2024 | 2021070734301 | Beliveau Bays | Disciplinary Decision - Default | |
| March 22, 2024 | 2021071137001 | APPEALED: Charles Frederik Lek | Disciplinary Decision | |
| March 21, 2024 | 2021070337501 | APPEALED: Michael Venturino | Disciplinary Decision | |
| March 15, 2024 | 2018057297102 | Order Following Pre-Hearing Conference Regarding Respondent’s March 14, 2024 Email Communication Concerning Jury Summons | Disciplinary Order | 24-07 |
| March 15, 2024 | 2019062948102 | James Brett Stuart | Disciplinary Decision - Default |