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. |
|---|---|---|---|---|
| Aug 2, 2000 | C01990013 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Dec 8, 2017 | 2013039306601 | Michael Timothy Dolan | Disciplinary Decision | |
| May 21, 2015 | 2012032519101 | APPEALED: Robert Earl Holaday | Disciplinary Decision | |
| Nov 30, 2007 | E8A2005014902 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| Nov 19, 2013 | 2009017195204 | Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| Aug 16, 2006 | E8A2004065102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Jun 5, 2006 | CAF040052 | Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al. | Disciplinary Decision | |
| Mar 6, 2001 | C02000037 | Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper | Disciplinary Decision | |
| Aug 21, 1998 | CO5970035 | Hearing Panel Decision | Redacted Decision | |
| May 3, 2012 | 20060053785-02 | Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake | Disciplinary Decision | |
| Apr 7, 2017 | 2015045601401 | Katherine Ann White | Disciplinary Decision | |
| Aug 5, 2014 | 2011027402201 | CALLED FOR REVIEW: Raymond Thomas Clark | Disciplinary Decision | |
| Dec 10, 1999 | C10970145 | Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein | Disciplinary Decision | |
| Aug 19, 2003 | 03-01 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Sep 15, 2011 | 2010023719601 | Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney | Disciplinary Decision | |
| May 12, 2009 | 2005000075703 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Midas Securities LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee and Rodney Preston Michel | Disciplinary Decision | |
| Dec 3, 2003 | CMS030006 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. | Disciplinary Decision | |
| Dec 21, 2017 | ARB160035 | REMANDED: Keith Patrick Sequeira | Expedited Decision | |
| May 18, 2015 | 20110279263-01 | APPEALED: Matthew Joseph Sheerin | Disciplinary Decision | |
| Nov 4, 2016 | 2013038986001 | APPEALED: Richard A. Riemer, Jr. | Disciplinary Decision | |
| Dec 11, 2007 | 20050000720-02 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Nov 8, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision | |
| Aug 3, 2006 | E0120040071-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Apr 27, 2012 | 2008014969001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| May 3, 2017 | 2014043001601 | APPEALED: Allen B. Holeman | Disciplinary Decision |