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.sort descending
Dec 12, 2006 E8A20050252 Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin Disciplinary Decision
Jun 10, 2016 2011030293503 APPEALED: Richard Gomez Disciplinary Decision
Jan 4, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson Disciplinary Decision
May 25, 2004 C8A030078 Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger Disciplinary Decision
Aug 27, 2015 2012034934301 Wedbush Securities Inc. Disciplinary Decision
Jan 4, 2011 20060052598-01 CALLED FOR REVIEW: Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett Disciplinary Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
Dec 7, 2001 C01000037 Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams Disciplinary Decision
Nov 28, 2007 EAF0400300001 Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
Jan 7, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy Disciplinary Decision
Jun 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase Disciplinary Decision
Dec 15, 2006 2005000315901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Jan 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker Disciplinary Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Jun 4, 2004 CMS020247 Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa Disciplinary Decision
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Dec 20, 2002 C3A020013 Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr. Disciplinary Decision
Apr 28, 2015 2012033351801 CALLED FOR REVIEW: Paolo Franca Iida Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Jan 19, 2011 2008011684001 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision

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