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.sort descending 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
Sep 8, 2008 2006005523401 Order Granting Enforcement's Motion to Permit Counsel for Non-Party Witnesses to Appear at Hearing Disciplinary Order 08-13
Feb 10, 2009 2006005523401 Hearing Panel Decision in Department of Enforcement v. Nathan Lorne Disciplinary Decision
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

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