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 ascending Type Order No.
Jun 28, 2006 ARB060005 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Jan 26, 2006 FPI050010 Decision in Department of Enforcement v. James J. Brazil Expedited Decision, Rule 9550 Expedited Decisions
Aug 2, 2016 FPI160006 Dawn Bennett Expedited Decision
Feb 29, 2016 2012034936005 APPEALED: David Joseph Escarcega Disciplinary Decision
Jun 3, 2016 2013035211801 APPEALED: David A. Elgart Disciplinary Decision
Sep 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Jan 2, 2019 2015043646501 APPEALED: CSSC Brokerage Services, Inc. Disciplinary Decision
Mar 17, 2017 2011029549201 Craig G. Langweiler Disciplinary Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Aug 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Apr 2, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Dec 1, 2017 2014039775501 Case Management and Scheduling Order Disciplinary Order 17-26
Dec 17, 2017 2014041860801 Case Management and Scheduling Order Disciplinary Order 17-27
Aug 16, 2016 2014039173301 Case Management and Scheduling Order Disciplinary Order 16-22
Jan 11, 2018 2015047069701 Case Management and Scheduling Order Disciplinary Order 18-13
Jan 10, 2018 2014041862701 Case Management and Scheduling Order Disciplinary Order 18-12
May 25, 2017 2015047154001 Case Management and Scheduling Order Disciplinary Order 17-23
Aug 9, 2017 2015044782401 Case Management and Scheduling Order Disciplinary Order 17-24
Aug 22, 2017 2015047303901 Case Management and Scheduling Order Disciplinary Order 17-25
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
Oct 1, 2015 2013035095301 Candace Jean Lee Disciplinary Decision
Dec 2, 2014 2012030570301 Calvin B. Grigsby Disciplinary Decision

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