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
Oct 15, 2009 2007008358101 Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden Disciplinary Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Mar 21, 2013 2009017527501 Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson Disciplinary Decision
Aug 12, 2014 20100226015-01 Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock Disciplinary Decision
Aug 24, 2016 20100226911-02 Bharminder Singh Disciplinary Decision
Apr 26, 2001 ARB000026 Non-Summary Suspension Proceeding ARB000026 Expedited Decision, Non-Summary Proceeding
Sep 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
Apr 19, 2004 C05030023 In the Matter of Department of Enforcement, Complainant vs. Respondent Redacted Decision
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
Apr 2, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
Jan 8, 2018 2014043869901 Jeffrey E. Krupnick Disciplinary Decision
Dec 11, 2008 2006003834901 Hearing Panel Decision in Department of Moustafa M. Zayed Disciplinary Decision
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary 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
Jan 3, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Oct 22, 2015 20100215720-01 eBX, LLC Disciplinary Decision
Jul 27, 2007 E8A2002109804 Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza Disciplinary Decision
Jul 3, 2014 20110275168-01 Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof Disciplinary Decision
Aug 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Aug 2, 2000 ARB000005 Non-Summary Suspension Proceeding ARB000005 Expedited Decision, Non-Summary Proceeding
Oct 26, 2006 CAF040058 Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou Disciplinary Decision
Apr 1, 2004 CMS030181 In the Matter of Department of Market Regulation, Complainant, vs. Respondent Redacted Decision
Apr 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley Disciplinary Decision
Mar 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott Disciplinary Decision
Feb 2, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision

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