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 Decisionsort ascending Proceeding No. Title Type Order No.
Apr 4, 2012 20050007427 Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason Disciplinary Decision
Apr 2, 2012 2009019297801 Hearing Panel Decision in Department of Enforcement v. Dame Cisse Disciplinary Decision
Mar 30, 2012 2008015934801 Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky Disciplinary Decision
Mar 29, 2012 2010021303301 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Mar 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka Disciplinary Decision
Mar 14, 2012 2009018771602 Order Denying Respondent’s Motion to Present Expert Witness Disciplinary Order 12-01
Mar 9, 2012 20080117243 Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni Disciplinary Decision
Feb 23, 2012 2009018944001 Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II Disciplinary Decision
Jan 30, 2012 2007010902501 Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce Disciplinary Decision
Jan 25, 2012 2008014285801 Hearing Panel Decision in Department of Enforcement v. Paul James Marshall Disciplinary Decision
Dec 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Dec 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision
Dec 6, 2011 2009018819001 Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette Disciplinary Decision
Nov 22, 2011 20080138685 Hearing Panel Decision in Department of Enforcement v. Ron William Howell Disciplinary Decision
Nov 18, 2011 2007010580702 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 8, 2011 2008014621701 Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. Disciplinary Decision
Oct 29, 2011 2010021627601 Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman Disciplinary Decision
Oct 17, 2011 2009018068701 Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt Disciplinary Decision
Oct 13, 2011 2007010398802 Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis Disciplinary Decision
Oct 11, 2011 2007011915401 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 4, 2011 2007008935010 Hearing Panel Decision in Department of Enforcement v. David Trende Disciplinary Decision
Oct 3, 2011 20090195518 Hearing Panel Decision in Department of Enforcement v. Darrell Eugene Fox Disciplinary Decision
Sep 22, 2011 20090192254 Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision Disciplinary Order 11-09

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