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
Aug 2, 2000 ARB000005 Non-Summary Suspension Proceeding ARB000005 Expedited Decision, Non-Summary Proceeding
Jun 28, 2016 2013038418201 Joseph N. Barnes, Sr. Disciplinary Decision
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision
Dec 1, 1999 C11970032 Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard Disciplinary Decision
May 3, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber Disciplinary Decision
Nov 8, 2011 2008014621701 Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. Disciplinary Decision
Nov 28, 2016 2013038770901 Ricky R. Moore Disciplinary Decision
Mar 14, 2002 ARB010032 Non-Summary Suspension Proceeding ARB010032 Expedited Decision, Non-Summary Proceeding
Jul 12, 2007 E9A2004048801 Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly Disciplinary Decision
Oct 20, 2016 SD-2071 PHX Financial, Inc. Statutory Disqualification, Approvals
Jan 14, 2005 C10040025 Hearing Panel Decision in Department of Enforcement vs. John Brigandi Disciplinary Decision
May 6, 2009 2006005696601 Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc. Disciplinary Decision
Dec 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker Disciplinary Decision
May 4, 2010 2007007989901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Feb 10, 2006 C07040042 Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske Disciplinary Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Sep 6, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller 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 9, 2011 2008015270701 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Aug 15, 2008 2005001729501 Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner Disciplinary Decision
Jan 23, 2014 2011029619301 Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo Disciplinary Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Jul 26, 2012 2009018076101 Hearing Panel Decision in Department of Enforcement v. Blair A. West Disciplinary Decision

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