Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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
Oct 5, 2016 FPI160009 Donald Shelby Toomer Expedited Decision
Mar 17, 2015 2011027271901 Richard Blair Disciplinary Decision
May 21, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai Disciplinary Decision
Oct 22, 2015 20100215720-01 eBX, LLC Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Aug 12, 2014 20100226015-01 Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock Disciplinary Decision
Apr 19, 2004 C05030023 In the Matter of Department of Enforcement, Complainant vs. Respondent Redacted Decision
Apr 2, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
Dec 20, 2005 FPI050008 Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh Expedited Decision, Rule 9550 Expedited Decisions
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Oct 1, 2015 2013035095301 Candace Jean Lee Disciplinary Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Oct 11, 2011 2007011915401 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
Jul 3, 2014 20110275168-01 Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof Disciplinary Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Apr 1, 2004 CMS030181 In the Matter of Department of Market Regulation, Complainant, vs. Respondent Redacted Decision
Mar 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott Disciplinary Decision
Aug 2, 2005 ARB050016 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Feb 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
Oct 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Mar 23, 2016 2010024522103 APPEALED: Brett Ian Friedberg Disciplinary Decision
Jul 8, 2014 2012032950101 Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler Disciplinary Decision
Dec 6, 2012 FPI120012 Hearing Panel Decision in Department of Enforcement v. Steven Barbot Expedited Decision, Rule 9550 Expedited Decisions

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