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. |
|---|---|---|---|---|
| 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 | |
| Jun 29, 2015 | 20110263957-01 | Jack Lawrence Howard | Disciplinary Decision | |
| Jun 26, 2015 | 2011030072301 | Audra Lynn Lalley | Disciplinary Decision | |
| Jun 24, 2015 | 20070092503-01 | Robin Maranda Oscher | Disciplinary Decision | |
| Jun 16, 2015 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision | |
| Jun 8, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jun 5, 2015 | 20140407790-01 | Richard Francis Kenny, Jr. | Disciplinary Decision | |
| Jun 4, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | Disciplinary Order | 15-10 |
| May 21, 2015 | 2012032519101 | APPEALED: Robert Earl Holaday | Disciplinary Decision | |
| May 18, 2015 | 20110279263-01 | APPEALED: Matthew Joseph Sheerin | Disciplinary Decision | |
| May 4, 2015 | 2009016159110 | Anthony Spagnolo, III | Disciplinary Decision | |
| May 4, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| Apr 28, 2015 | 2012033351801 | CALLED FOR REVIEW: Paolo Franca Iida | Disciplinary Decision | |
| Apr 8, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | Disciplinary Order | 15-09 |
| Apr 8, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | Disciplinary Order | 15-08 |
| Apr 2, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 15-07 |