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. |
|---|---|---|---|---|
| Jun 3, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| Feb 29, 2016 | 2012034936005 | APPEALED: David Joseph Escarcega | Disciplinary Decision | |
| Aug 2, 2016 | FPI160006 | Dawn Bennett | Expedited Decision | |
| Jan 26, 2006 | FPI050010 | Decision in Department of Enforcement v. James J. Brazil | Expedited Decision, Rule 9550 Expedited Decisions | |
| Sep 26, 2005 | ARB040051 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jun 28, 2006 | ARB060005 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| Sep 15, 2006 | FPI060008 | Decision in Department of Market Regulation v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision | |
| Apr 5, 2006 | DFC050011 | Decision in NASD Treasurer v. Lee Fisher | Expedited Decision, Rule 9550 Expedited Decisions | |
| Apr 30, 2018 | 201404186800 | APPEALED: Dennis A. Mehringer, Jr. | Disciplinary Decision | |
| Jan 9, 2015 | 20120334673-01 | Department of Enforcement v. John Thomas Financial, Inc. | Disciplinary Decision | |
| Dec 2, 1998 | C8A980012 | Department of Enforcement, Complainant v. Respondent | Redacted Decision | |
| Apr 18, 2011 | EQS100001 | Department of Member Regulation v. Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| Oct 5, 2016 | FPI160009 | Donald Shelby Toomer | Expedited Decision | |
| Oct 22, 2015 | 20100215720-01 | eBX, LLC | Disciplinary Decision | |
| Nov 8, 2017 | 2014040809501 | Eddie Basora, Jr. | Disciplinary Decision | |
| Jul 31, 2017 | 2015044823501 & 2015044823502 | APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges | Disciplinary Decision | |
| Dec 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| May 31, 2012 | 2007011413501 | Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy | Disciplinary Decision | |
| Apr 4, 2012 | 20050007427 | Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason | Disciplinary Decision | |
| Jun 11, 2010 | 2007007792902 | Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw | Disciplinary Decision | |
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Aug 11, 2014 | 2009019042402 | Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. | Disciplinary Decision | |
| Apr 17, 2009 | 2005003437102 | Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock | Disciplinary Decision | |
| Dec 16, 2008 | EAF0400630001 | Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. | 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 |