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.sort descending Title Type Order No.
Mar 15, 2013 20080127674, 20080133768 Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris Disciplinary Decision
Sep 28, 2012 2008012925001 Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel Disciplinary Decision
Jul 28, 2011 2008012925001 Order Regarding Pending Motions and Pre-Hearing Issues Disciplinary Order 11-10
Dec 16, 2009 2008012955301 Order Denying Motion for More Definite Statement Disciplinary Order 09-05
Jan 22, 2010 2008013087201 Hearing Panel Decision in Department of Enforcement v. Bradford Orosey Disciplinary Decision
Jan 12, 2010 2008013391701 Hearing Panel Decision in Department of Enforcement v. Trent Tremayne Hughes Disciplinary Decision
Sep 14, 2009 2008013474501 Hearing Panel Decision in Department of Enforcement v. Daphne Easley Disciplinary Decision
Apr 30, 2010 2008013503101 Order Denying Respondent's Motions for Leave to Seek and Retain Counsel and to Adjourn and Retain Counsel Disciplinary Order 10-02
Aug 28, 2012 2008013863702 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 4, 2013 2008013864401 Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3 Disciplinary Decision
Nov 22, 2011 20080138685 Hearing Panel Decision in Department of Enforcement v. Ron William Howell Disciplinary Decision
Sep 18, 2012 2008014015901 Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare Disciplinary Decision
Jan 25, 2012 2008014285801 Hearing Panel Decision in Department of Enforcement v. Paul James Marshall Disciplinary Decision
Jan 28, 2011 2008014621701 Order Granting Enforcement’s Motion to Permit Certain Witnesses to Have Counsel Present Disciplinary Order 11-01
Nov 8, 2011 2008014621701 Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. Disciplinary Decision
Jul 12, 2010 2008014621701 Order Granting Respondent 2's Motion to File a Reply and Denying Respondent 2's Motion for More Definite Statement Disciplinary Order 10-04
Oct 8, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents Disciplinary Order 10-06
May 5, 2011 2008014712201 Hearing Panel Decision in Department of Enforcement v. Kirk L. Gravelle Disciplinary Decision
Nov 23, 2016 20080148227-02 Order Deferring Ruling on Joint Motion to Stay Proceedings. Disciplinary Order 16-31
Feb 16, 2016 20080148227-02 Order Denying Respondents’ Preclusion Motion Disciplinary Order 16-05
Dec 30, 2014 20080148227-02 Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement Disciplinary Order 14-09
Sep 21, 2015 20080148227-02 Order Granting Respondents’ Preclusion Motion Disciplinary Order 15-12
Jun 15, 2010 2008014873201 Hearing Panel Decision in Department of Enforcement v. Nicholas Michael Rubino Disciplinary Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 7, 2013 20080150419 Extended Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision

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