Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Sep 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
Oct 6, 1999 DFC990003 Rule 9530 Suspension Proceeding DFC990003 Expedited Decision, Rule 9530 Suspension Decisions
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Apr 7, 2017 2015045601401 Katherine Ann White Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Dec 11, 2007 20050000720-02 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 8, 2013 20090207019-01 Hearing Panel Decision in Department of Enforcement v. Respondent. Redacted Decision
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
May 3, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision
Feb 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. Disciplinary Decision
Jun 16, 2015 2011025851501 APPEALED: KCD Financial, Inc. Disciplinary Decision
Jun 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
Dec 8, 2016 DFC160001 McBarron Capital, LLC Expedited Decision
Nov 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
May 4, 2015 2009016159110 Anthony Spagnolo, III Disciplinary Decision
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision

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