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 Decisionsort ascending Proceeding No. Title Type Order No.
Mar 3, 2011 2008012169101 Hearing Panel Decision in Department of Enforcement v. AIS Financial, Inc. Disciplinary Decision
Feb 8, 2011 2006007105101 Order Denying Respondent’s Motion for Summary Disposition Disciplinary Order 11-02
Jan 28, 2011 2008014621701 Order Granting Enforcement’s Motion to Permit Certain Witnesses to Have Counsel Present Disciplinary Order 11-01
Jan 26, 2011 2006004122402 Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre Disciplinary Decision
Jan 19, 2011 2008011684001 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 7, 2011 20080121376 Hearing Panel Decision in Department of Market Regulation v. Gregory Richard Imbruce Disciplinary Decision
Jan 4, 2011 20060052598-01 CALLED FOR REVIEW: Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett Disciplinary Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Dec 6, 2010 20050007427 Respondent Firm and Respondent 2 Disciplinary Order 10-07
Nov 3, 2010 2008016036901 Hearing Panel Decision in Department of Enforcement v. Thomas J. Charles, Jr. Disciplinary Decision
Oct 28, 2010 2006006259501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 21, 2010 2007009181101 Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II Disciplinary Decision
Oct 18, 2010 2006005786501 Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie Disciplinary Decision
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 8, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents Disciplinary Order 10-06
Oct 6, 2010 FPI100008 Hearning Panel Decision in Department of Member Regulation v. Sharemaster Expedited Decision, Rule 9550 Expedited Decisions
Sep 20, 2010 2005000171202 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Sep 17, 2010 FPI100016 Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Aug 19, 2010 2008012531501 Hearing Panel Decision in Department of Enforcement v. Kevin Scott Pound Disciplinary Decision
Aug 11, 2010 E9B2003033701 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 6, 2010 2005001988201 Amended Hearing Panel Decision in Department of Enforcement v. Mark B. Beloyan and Tradespot Markets, Inc. Disciplinary Decision
Jul 12, 2010 2008014621701 Order Granting Respondent 2's Motion to File a Reply and Denying Respondent 2's Motion for More Definite Statement Disciplinary Order 10-04
Jun 15, 2010 2008014873201 Hearing Panel Decision in Department of Enforcement v. Nicholas Michael Rubino Disciplinary Decision
Jun 11, 2010 2007007792902 Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw Disciplinary Decision
May 28, 2010 200011592201 Order Denying Respondents' Motion for Leave to Offer Expert Testimony Disciplinary Order 10-03

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