Office of Hearing Officers’ Decisions and Orders
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. |
|---|---|---|---|---|
| April 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| March 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| February 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| February 07, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| January 28, 2014 | 2011026664301 | Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. | Disciplinary Decision | |
| January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | Disciplinary Order | 14-03 |
| January 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| January 21, 2014 | 2011029227701 | Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee | Disciplinary Decision | |
| December 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| December 27, 2013 | 2011025506901 | Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach | Disciplinary Decision | |
| December 17, 2013 | 20110269351 | Hearing Panel Decision in Department of Market Regulation v. John Cherry III | Disciplinary Decision | |
| December 12, 2013 | 20090209629-01 | Hearing Panel Decision in Department of Enforcement v. Jason Blum | Disciplinary Decision | |
| December 10, 2013 | 2011026874301 | Hearing Panel Decision in Department of Enforcement v. William L. Tatro | Disciplinary Decision | |
| November 19, 2013 | 2009017195204 | Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| November 08, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision | |
| November 05, 2013 | 2009019108901 | Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris | Disciplinary Decision | |
| October 15, 2013 | 2010024917601 | Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta | Disciplinary Decision | |
| October 07, 2013 | 20080150419 | Extended Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| September 27, 2013 | 20120321124-01 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Disciplinary Decision | |
| September 27, 2013 | 2011025591601 | Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith. | Disciplinary Decision | |
| September 19, 2013 | 2009016317701 | Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 19, 2013 | 2011025957702 | Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen | Disciplinary Decision | |
| August 13, 2013 | 2009016159102 | Amended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| July 18, 2013 | 2010024271001 | Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes | Disciplinary Decision | |
| June 28, 2013 | 2009018818101 | Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia | Disciplinary Decision |