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. |
|---|---|---|---|---|
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Aug 7, 2007 | 20060042305-01 | Scheduling Order | Disciplinary Order | 07-33 |
| Apr 10, 2008 | 20060042305-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Sep 7, 2007 | 2006004240301 | Hearing Panel Decision in Department of Enforcement v. Trent A. Johnson | Disciplinary Decision | |
| May 2, 2008 | 2006004377701 | Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke | Disciplinary Decision | |
| Apr 9, 2007 | 2006004493301 | Hearing Panel Decision in Department of Enforcement v. Mark S. Ritchey | Disciplinary Decision | |
| Nov 6, 2007 | 2006004494201 | Hearing Panel Decision in Department of Enforcement v. Todd William Cowle | Disciplinary Decision | |
| Jun 13, 2007 | 2006004494201 | Order Quashing Post-Complaint Rule 8210 Request for Information | Disciplinary Order | 07-23 |
| Mar 28, 2011 | 2006004666601 | Hearing Panel Decision in Department of Enforcement v. Ryan J. Kirkpatrick | Disciplinary Decision | |
| Mar 18, 2008 | 2006004992601 | Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney | Disciplinary Decision | |
| May 14, 2008 | 20060049953-01 | Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero | Disciplinary Decision | |
| Feb 20, 2008 | 2006005005301 | Hearing Panel Decision in Department of Enforcement v. Shane A. Selewach | Disciplinary Decision | |
| Aug 2, 2007 | 20060050165-01 | Order Establishing Pre-Hearing and Hearing Schedule and Procedures | Disciplinary Order | 07-32 |
| Mar 22, 2010 | 2006005178801 | Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis | Disciplinary Decision | |
| Jan 4, 2011 | 20060052598-01 | CALLED FOR REVIEW: Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett | Disciplinary Decision | |
| Dec 17, 2008 | 2006005318801 | Hearing Panel Decision in Department of Enforcement v. Kent M. Houston | Disciplinary Decision | |
| May 3, 2012 | 20060053785-02 | Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake | Disciplinary Decision | |
| Feb 10, 2009 | 2006005523401 | Hearing Panel Decision in Department of Enforcement v. Nathan Lorne | Disciplinary Decision | |
| Sep 8, 2008 | 2006005523401 | Order Granting Enforcement's Motion to Permit Counsel for Non-Party Witnesses to Appear at Hearing | Disciplinary Order | 08-13 |
| May 30, 2008 | 2006005565401 | Hearing Panel Decision in Department of Enforcement v. Michael L. Vines | Disciplinary Decision | |
| May 6, 2009 | 2006005696601 | Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc. | Disciplinary Decision | |
| Oct 18, 2010 | 2006005786501 | Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie | Disciplinary Decision | |
| Mar 18, 2008 | 2006005849101 | Order Denying Motion to Set Aside Default Decision | Disciplinary Order | 08-04 |
| Nov 6, 2007 | 2006005936701 | Hearing Panel Decision in Department of Enforcement v. William D. Mattes, Sr. | Disciplinary Decision | |
| Oct 16, 2009 | 2006005977901 | Hearing Panel Decision in Department of Enforcement v. Kale E. Evans | Disciplinary Decision |