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. Titlesort descending Type Order No.
Mar 9, 2015 2012030724101 APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr. Disciplinary Decision
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Oct 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
Nov 6, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
Dec 8, 2010 2007007151101 Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
May 6, 1999 CAF980080 Hearing Panel Decision Redacted Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Apr 1, 2002 CMS000157 Hearing Panel Decision as to Respondent Redacted Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision

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