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.sort descending
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
May 21, 2003 C07010099 Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai Disciplinary Decision
May 3, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Decision
Aug 5, 2014 2011027402201 CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision
Jun 2, 2017 2014039091903 Richard Lim Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Jun 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. 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
Aug 6, 2004 CMS030257 Hearing Panel Decision as to Respondent Redacted Decision
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Dec 11, 2007 20050000720-02 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka Disciplinary Decision
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Dec 16, 2016 2014040876001 APPEALED: Kenneth J. Mathieson Disciplinary Decision
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision
Aug 19, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Disciplinary Decision
Jan 9, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
Sep 19, 2006 C07050042 Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears Disciplinary Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Nov 19, 2012 2009018377601 Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock Disciplinary Decision
Jul 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
May 10, 2004 C9B030045 Hearing Panel Decision in Department of Enforcement v. Michael O'Hare Disciplinary Decision

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