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
Apr 6, 2005 C9B040020 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 25, 2011 FPI100022 Hearning Panel Decision in Department of Enforcement v. Kent Sweat and Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Dec 8, 2016 DFC160001 McBarron Capital, LLC Expedited Decision
Oct 15, 2009 2007008358101 Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden Disciplinary Decision
Jan 16, 2004 CAF030008 Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone Disciplinary Decision
Apr 24, 2007 2005000127502 Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli Disciplinary Decision
May 3, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
Apr 27, 2016 2010020954501 APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan Disciplinary Decision
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Apr 1, 2004 CMS030181 In the Matter of Department of Market Regulation, Complainant, vs. Respondent Redacted Decision
Nov 8, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
Dec 15, 2006 C02050006 In the Matter of the Association of X Redacted Decision
Apr 18, 2011 EQS100001 Department of Member Regulation v. Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
May 3, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber Disciplinary Decision
Nov 18, 2016 ARB160035 Keith Patrick Sequeira Expedited Decision
Aug 28, 2000 C02990022 Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace Disciplinary Decision
Apr 20, 2007 2005002570601 Hearing Panel Decision in Department of Enforcement v. Paul Douglas Paratore Disciplinary Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
Apr 25, 2003 C06020003 Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms Disciplinary Decision
Jun 3, 2016 2013035211801 APPEALED: David A. Elgart Disciplinary Decision
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision

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