Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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.
Jun 28, 2013 2009018818101 Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia Disciplinary Decision 2009018818101
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision C02010041
Sep 13, 2002 C06010025 Hearing Panel Decision in Department of Enforcement v. Arlie R. Horn, Jr. and Lindsay A. Byrum Disciplinary Decision C06010025
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision 2011028003001
Dec 15, 2003 C01020027 Hearing Panel Decision in Department of Enforcement v. Aurangzeb Rashid Pirzada Disciplinary Decision C01020027
Feb 17, 2000 C10990024 Hearing Panel Decision in Department of Enforcement v. Averell Golub Disciplinary Decision C10990024
Sep 18, 2008 2007008812801 Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman Disciplinary Decision 2007008812801
Dec 10, 2003 C3A030001 Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino Disciplinary Decision C3A030001
Jul 26, 2012 2009018076101 Hearing Panel Decision in Department of Enforcement v. Blair A. West Disciplinary Decision 2009018076101
Sep 28, 2012 2009019837302 Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier Disciplinary Decision 2009019837302
Mar 25, 2002 C8A010063 Hearing Panel Decision in Department of Enforcement v. Bobby R. Turner, Jr. Disciplinary Decision C8A010063
Jan 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger Disciplinary Decision C8A020014
Mar 30, 2004 C01030030 Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler Disciplinary Decision C01030030
Jan 22, 2010 2008013087201 Hearing Panel Decision in Department of Enforcement v. Bradford Orosey Disciplinary Decision 2008013087201
Oct 7, 2002 C01010018 Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh Disciplinary Decision C01010018
Mar 18, 2008 2006004992601 Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney Disciplinary Decision 2006004992601
Aug 6, 2003 C9B020052 Hearing Panel Decision in Department of Enforcement v. Brian J. Clark Disciplinary Decision C9B020052
Jul 12, 2007 E9A2004048801 Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly Disciplinary Decision E9A2004048801
Jul 8, 2003 C01020025 Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen Disciplinary Decision C01020025
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision 2007010158001
Mar 21, 2013 2010024837301 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision 2010024837301
Jun 24, 2011 2008011725901 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision 2008011725901
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision C3B980006
Jun 19, 2007 20050025930 Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard Disciplinary Decision 20050025930
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision CMS030006

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