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
Mar 22, 2005 C9B040069 Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger Disciplinary Decision
Jun 9, 2011 2008015270701 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Nov 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
Dec 28, 2001 CMS000015 Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. Disciplinary Decision
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Nov 5, 2013 2009019108901 Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris Disciplinary Decision
Sep 18, 2006 CAF030042 Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard Disciplinary Decision
Jun 14, 2012 2009019369302 Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng Disciplinary Decision
Jul 12, 2006 C8A050055 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik Disciplinary Decision
May 13, 2009 2007010306901 Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 Disciplinary Decision
Aug 6, 2010 2005001988201 Amended Hearing Panel Decision in Department of Enforcement v. Mark B. Beloyan and Tradespot Markets, Inc. Disciplinary Decision
May 31, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order
Aug 5, 2016 ARB160012 Fairbridge Capital Markets Expedited Decision
Apr 5, 2018 2015044600801 Gerard Chandler Gremillion Disciplinary Decision
Jan 4, 2013 FPI120005 Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein Expedited Decision, Rule 9550 Expedited Decisions
Apr 6, 2005 C9B040020 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision
Mar 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision
May 27, 2004 C8A030068 Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer Disciplinary Decision
Nov 14, 2018 2014041862701 APPEALED: Spencer Edwards, Inc. Disciplinary Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
May 30, 2008 2006005565401 Hearing Panel Decision in Department of Enforcement v. Michael L. Vines Disciplinary Decision
Nov 7, 2003 C10020090 Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante Disciplinary Decision
Mar 10, 2015 2011026788801 Keith Geary Disciplinary Decision
May 21, 1999 C3A980069 Amended Hearing Panel Decision in Department of Enforcement v. Michael A. Usher Disciplinary Decision

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