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. |
|---|---|---|---|---|
| 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 | |
| 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 |