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.
Jun 8, 2012 2007008724701 Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson Disciplinary Decision
Sep 18, 2008 2007008812801 Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman Disciplinary Decision
Oct 4, 2011 2007008935010 Hearing Panel Decision in Department of Enforcement v. David Trende Disciplinary Decision
Jun 5, 2009 2007009082902 Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton Disciplinary Decision
Oct 21, 2010 2007009181101 Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II Disciplinary Decision
Jun 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision
Apr 4, 2013 20070094013 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 14, 2010 2007009403801 Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson Disciplinary Decision
Aug 2, 2012 20070094044 Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush Disciplinary Decision
Oct 1, 2009 20070094253 Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia Disciplinary Decision
Dec 6, 2008 20070094345 John E. Mullins and Kathleen M. Mullins Disciplinary Decision
Jun 12, 2008 20070094345 and 20070111775 Order Denying Respondent 2's Motion to Dismiss Disciplinary Order 08-09
Aug 25, 2009 20070094345, 20070111775 Hearing Panel Decision in Department of Enforcement v. John Edward Mullins and Kathleen Maria Mullins Disciplinary Decision
Oct 31, 2008 20070094454 Hearing Panel Decision in Department of Enforcement v. Sam Aubrey Foreman, Jr. Disciplinary Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Oct 8, 2010 2007009461301 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 14, 2009 2007009461301 Order Denying Respondent's Motion to Compel Production of Witness Statements Disciplinary Order 09-02
Dec 30, 2009 2007009472201 Hearing Panel Decision in Department of Enforcement v. Warren William Wall Disciplinary Decision
Nov 13, 2008 2007009702901 Hearing Panel Decision in Department of Enforcement v. Edward D. Crary, Jr. Disciplinary Decision
Dec 1, 2009 2007009848801 Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco Disciplinary Decision
May 10, 2010 2007009981201 Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Apr 27, 2009 2007010236401 Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King Disciplinary Decision
May 13, 2009 2007010306901 Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 Disciplinary Decision
Oct 13, 2011 2007010398802 Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis Disciplinary Decision

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