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
Feb 12, 2016 2013036678201 Tracy Chen Disciplinary Decision
Jul 31, 2017 2015044823501 & 2015044823502 APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges Disciplinary Decision
Apr 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 25, 2011 FPI100022 Hearning Panel Decision in Department of Enforcement v. Kent Sweat and Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Jun 14, 2018 2014039174202 APPEALED: Steven E. Larson Disciplinary Decision
Nov 29, 2004 C02040016 Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes Disciplinary Decision
Aug 24, 2016 20100226911-02 Bharminder Singh Disciplinary Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Sep 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
Feb 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. Disciplinary Decision
Dec 7, 2005 C3A050003 Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley Disciplinary Decision
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary Decision
May 8, 2009 2005000835801 Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier Disciplinary Decision
Dec 20, 2005 FPI050008 Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh Expedited Decision, Rule 9550 Expedited Decisions
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
Aug 2, 2005 ARB050016 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Apr 18, 2011 EQS100001 Department of Member Regulation v. Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Jul 27, 2007 E8A2002109804 Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza Disciplinary Decision
Jun 13, 2018 2016049085401 APPEALED: Robert Charles McNamara Disciplinary Decision
Nov 30, 2004 C9B030076 Hearing Panel Decision in Department of Enforcement v. Raghavan Sathianathan Disciplinary Decision
Aug 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Jul 19, 2001 C8A000059 Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson Disciplinary Decision

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