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. |
|---|---|---|---|---|
| Dec 22, 2015 | 2014040968501 | Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing | Disciplinary Order | 15-15 |
| Dec 18, 2015 | ARB150039 | Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) | Expedited Order | EXP15-02 |
| Dec 18, 2015 | 2012034393801 | APPEALED: Aon D. Miller | Disciplinary Decision | |
| Dec 3, 2015 | ARB150048 | Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action | Expedited Order | EXP15-03 |
| Dec 1, 2015 | 2010025087302 | APPEALED: Thaddeus J. North | Disciplinary Decision | |
| Nov 18, 2015 | 2014040651301 | Yaron Reuven | Disciplinary Decision | |
| Nov 6, 2015 | 2014041319201 | APPEALED: Miguel Ortiz | Disciplinary Decision | |
| Oct 29, 2015 | 2011025444501 | APPEALED: Wood (Arthur W.) Company | Disciplinary Decision | |
| Oct 23, 2015 | 2013038136101 | Andrew Lyman Quinn, | Disciplinary Decision | |
| Oct 22, 2015 | 201203564701 | Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 15-14 |
| Oct 22, 2015 | 20100215720-01 | eBX, LLC | Disciplinary Decision | |
| Oct 2, 2015 | 2013036799501 | APPEALED: Michael Casas | Disciplinary Decision | |
| Oct 2, 2015 | 2011025679201 | MSC – BD, LLC and Paul J. McIntyre | Disciplinary Decision | |
| Oct 1, 2015 | 2013035344201 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 15-13 |
| Oct 1, 2015 | 2013035095301 | Candace Jean Lee | Disciplinary Decision | |
| Sep 21, 2015 | 20080148227-02 | Order Granting Respondents’ Preclusion Motion | Disciplinary Order | 15-12 |
| Sep 15, 2015 | 2012033508702 | APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus | Disciplinary Decision | |
| Aug 27, 2015 | 2012034934301 | Wedbush Securities Inc. | Disciplinary Decision | |
| Aug 13, 2015 | 2011025622001 | SWS Financial Service, Inc. | Disciplinary Decision | |
| Aug 7, 2015 | 20090208031-02 | Paul Charles Dotson | Disciplinary Decision | |
| Aug 6, 2015 | 2013036217601 | Kenneth Brownlee | Disciplinary Decision | |
| Jul 23, 2015 | 2012030527503 | APPEALED: Thaddeus James North | Disciplinary Decision | |
| Jul 17, 2015 | 2012034936101 | APPEALED: Jeffrey D. Noard | Disciplinary Decision | |
| Jul 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| Jun 30, 2015 | 2012033128703 | APPEALED: Brian Michael White | Disciplinary Decision |