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.
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
May 21, 2010 2007011489301 Hearing Panel Decision in Department of Enforcement v. Ryan A. Leopold Disciplinary Decision
May 19, 2010 2007011937001 Hearing Panel Decision in Department of Enforcement v. Howard Braff Disciplinary Decision
May 10, 2010 2007009981201 Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker Disciplinary Decision
May 6, 2010 2005003610701 Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm Disciplinary Decision
May 4, 2010 2007007989901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 30, 2010 2008013503101 Order Denying Respondent's Motions for Leave to Seek and Retain Counsel and to Adjourn and Retain Counsel Disciplinary Order 10-02
Apr 20, 2010 2006003916901 Hearing Panel Decision in Department of Enforcement v. Richard Michael Bowers Disciplinary Decision
Apr 14, 2010 2007009403801 Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson Disciplinary Decision
Apr 8, 2010 200500224102 Order Limiting the Dissemination of Personal, Confidential Information Disciplinary Order 10-01
Mar 22, 2010 2006005178801 Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis Disciplinary Decision
Mar 18, 2010 2007007377801 Hearing Panel Decision in Department of Enforcement v. Noble B. Trenham Disciplinary Decision
Mar 16, 2010 2007011250901 Hearing Panel Decision in Department of Enforcement v. Angela Dionne Reed Disciplinary Decision
Mar 5, 2010 E052005007501 Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc. Disciplinary Decision
Feb 25, 2010 20080121376 Order Denying Motion to Dismiss Disciplinary Order 10-05
Jan 22, 2010 2008013087201 Hearing Panel Decision in Department of Enforcement v. Bradford Orosey Disciplinary Decision
Jan 12, 2010 2008013391701 Hearing Panel Decision in Department of Enforcement v. Trent Tremayne Hughes Disciplinary Decision
Dec 30, 2009 2007009472201 Hearing Panel Decision in Department of Enforcement v. Warren William Wall Disciplinary Decision
Dec 18, 2009 2006006046401 Hearing Panel Decision in Department of Enforcement v. James Richard Willard, III Disciplinary Decision
Dec 16, 2009 2008012955301 Order Denying Motion for More Definite Statement Disciplinary Order 09-05
Dec 3, 2009 2006007544401 Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien Disciplinary Decision
Dec 1, 2009 2007009848801 Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco Disciplinary Decision
Nov 24, 2009 2006006259501 Order Denying Respondent's Motion to Compel Production of List of Withheld Documents Disciplinary Order 09-04
Nov 11, 2009 2007007255603 Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits Disciplinary Order 09-03
Oct 16, 2009 2006005977901 Hearing Panel Decision in Department of Enforcement v. Kale E. Evans Disciplinary Decision

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