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. |
|---|---|---|---|---|
| Jun 10, 2016 | 2011030293503 | APPEALED: Richard Gomez | Disciplinary Decision | |
| Jun 3, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| Jun 3, 2016 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc. and William H. Murphy | Disciplinary Decision | |
| May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | Disciplinary Order | 16-18 |
| May 20, 2016 | 2013038333001 | Order Denying Respondent’s Motion for Request for Documents and Information | Disciplinary Order | 16-17 |
| May 2, 2016 | 2014040968501 | APPEALED: Ahmed Gadelkareem | Disciplinary Decision | |
| Apr 27, 2016 | 2010020954501 | APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan | Disciplinary Decision | |
| Apr 18, 2016 | 2011027007901 | APPEALED: Shashishekhar Doni | Disciplinary Decision | |
| Apr 4, 2016 | 20120320803-01 | APPEALED: Peter J. Auzers and Shiva Naby | Disciplinary Decision | |
| Mar 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | Disciplinary Order | 16-15 |
| Mar 25, 2016 | 2015044379701 | Order Denying Rule 9252 Request | Disciplinary Order | 16-14 |
| Mar 23, 2016 | 2010024522103 | APPEALED: Brett Ian Friedberg | Disciplinary Decision | |
| Mar 18, 2016 | 2012034719701 | APPEALED: Paul E. Taboada | Disciplinary Decision | |
| Mar 11, 2016 | 2013038418201 | Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents. | Disciplinary Order | 16-12 |
| Mar 10, 2016 | 2012031496501 | Order Denying Respondents’ Motion for Partial Summary Disposition. | Disciplinary Order | 16-11 |
| Mar 4, 2016 | 2014040501801 | Order Denying Respondents’ Motion for Summary Disposition | Disciplinary Order | 16-09 |
| Mar 4, 2016 | 2013036836801 | Order Denying Respondent’s Rule 9252 Request | Disciplinary Order | 16-10 |
| Mar 3, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | Disciplinary Order | 16-13 |
| Feb 29, 2016 | 2014043020901 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement | Disciplinary Order | 16-07 |
| Feb 29, 2016 | 2012034936005 | APPEALED: David Joseph Escarcega | Disciplinary Decision | |
| Feb 26, 2016 | 2014041724601 | Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel | Disciplinary Order | 16-16 |
| Feb 25, 2016 | 2014043020901 | Order Denying Respondent’s Motion to Compel Production of Documents | Disciplinary Order | 16-08 |
| Feb 22, 2016 | 2014040501801 | Order Denying Motion for Permission to Present Expert Testimony | Disciplinary Order | 16-06 |
| Feb 16, 2016 | 20080148227-02 | Order Denying Respondents’ Preclusion Motion | Disciplinary Order | 16-05 |
| Feb 12, 2016 | 2013036678201 | Tracy Chen | Disciplinary Decision |