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. |
|---|---|---|---|---|
| Oct 23, 2015 | 2013038136101 | Andrew Lyman Quinn, | Disciplinary Decision | |
| May 4, 2015 | 2009016159110 | Anthony Spagnolo, III | Disciplinary Decision | |
| Mar 30, 2015 | 2011025785602 | Anthony Warren Thompson and TNP Securities, LLC | Disciplinary Decision | |
| Dec 18, 2015 | 2012034393801 | APPEALED: Aon D. Miller | Disciplinary Decision | |
| Jun 26, 2015 | 2011030072301 | Audra Lynn Lalley | Disciplinary Decision | |
| Mar 14, 2018 | 2016052347901 | APPEALED: Austin Wayne Morton | Disciplinary Decision | |
| Sep 20, 2016 | 2015044960501 | APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim | Disciplinary Decision | |
| Dec 22, 2014 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision | |
| Aug 24, 2016 | 20100226911-02 | Bharminder Singh | Disciplinary Decision | |
| Aug 7, 2018 | 2016050924601 | APPEALED: Bradley C. Reifler | Disciplinary Decision | |
| Mar 23, 2016 | 2010024522103 | APPEALED: Brett Ian Friedberg | Disciplinary Decision | |
| Jun 30, 2015 | 2012033128703 | APPEALED: Brian Michael White | Disciplinary Decision | |
| May 4, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| Jun 18, 2018 | 2016047565702 | APPEALED: Bruce Martin Zipper and Dakota Securities International, Inc. | Disciplinary Decision | |
| Sep 6, 2017 | 2014040476901 | APPEALED: C.L. King and Gregg Alan Miller | Disciplinary Decision | |
| Dec 2, 2014 | 2012030570301 | Calvin B. Grigsby | Disciplinary Decision | |
| Oct 1, 2015 | 2013035095301 | Candace Jean Lee | Disciplinary Decision | |
| May 12, 2017 | 2013035130101 | APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone | Disciplinary Decision | |
| May 26, 2017 | 2014040295201 | Carolina Financial Securities, LLC, and Bruce Victor Roberts | Disciplinary Decision | |
| Jan 11, 2018 | 2015047069701 | Case Management and Scheduling Order | Disciplinary Order | 18-13 |
| Jan 10, 2018 | 2014041862701 | Case Management and Scheduling Order | Disciplinary Order | 18-12 |
| May 25, 2017 | 2015047154001 | Case Management and Scheduling Order | Disciplinary Order | 17-23 |
| Aug 9, 2017 | 2015044782401 | Case Management and Scheduling Order | Disciplinary Order | 17-24 |
| Aug 22, 2017 | 2015047303901 | Case Management and Scheduling Order | Disciplinary Order | 17-25 |
| Aug 16, 2016 | 2014039173301 | Case Management and Scheduling Order | Disciplinary Order | 16-22 |