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
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Jun 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider Disciplinary Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Jan 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
Feb 6, 2008 E8A2003084806 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Jan 14, 2005 C10040025 Hearing Panel Decision in Department of Enforcement vs. John Brigandi Disciplinary Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Jan 23, 2014 2011029619301 Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo Disciplinary Decision
Sep 3, 2003 CAF010011 Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander Disciplinary Decision
Aug 5, 2016 ARB160012 Fairbridge Capital Markets Expedited Decision
Aug 10, 2006 C07050029 Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano Disciplinary Decision
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Jan 21, 2005 CMS040069 Hearing Panel Decision in Department of Enforcement vs. Nicholas R. Sciascia Disciplinary Decision
Mar 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision
Feb 7, 2014 2009017899801 Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson Disciplinary Decision
Nov 19, 1999 C8A990017 Hearing Panel Decision in Department of Enforcement v. David L. Foran Disciplinary Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Oct 15, 2001 CMS000142 Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa Disciplinary Decision
Jul 26, 2012 2009018076101 Hearing Panel Decision in Department of Enforcement v. Blair A. West Disciplinary Decision

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