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. Titlesort descending 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

Pages