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
May 6, 2010 2005003610701 Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm Disciplinary Decision
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions
Dec 18, 2008 2006003738501 Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick Disciplinary Decision
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Mar 3, 2006 CAF030014 CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 17, 2015 2012034936101 APPEALED: Jeffrey D. Noard Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Jan 19, 2011 2008011684001 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 16, 2006 E8A2004065102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Jan 15, 2016 2012033362101 APPEALED: Thomas Edmund Connors Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Jan 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
May 10, 2010 2007009981201 Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker Disciplinary Decision
Oct 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III Disciplinary Decision
Dec 16, 2008 EAF0400630001 Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Mar 7, 2006 CLG050048 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Jul 23, 2015 2012030527503 APPEALED: Thaddeus James North Disciplinary Decision
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Oct 6, 2010 FPI100008 Hearning Panel Decision in Department of Member Regulation v. Sharemaster Expedited Decision, Rule 9550 Expedited Decisions
Oct 16, 2009 2006005977901 Hearing Panel Decision in Department of Enforcement v. Kale E. Evans Disciplinary Decision
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding

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