Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 28, 1999 ARB980029 Non-Summary Suspension Proceeding ARB980029 Expedited Decision, Non-Summary Proceeding
Nov 19, 2012 2009018377601 Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock Disciplinary Decision
Sep 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
Oct 3, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
Apr 6, 2005 C9B040020 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 26, 2006 FPI050010 Decision in Department of Enforcement v. James J. Brazil Expedited Decision, Rule 9550 Expedited Decisions
Aug 24, 2016 20100226911-02 Bharminder Singh Disciplinary 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
Aug 19, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Disciplinary Decision
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
Oct 12, 2004 C10030030 Hearing Panel Decision as to Respondent Redacted Decision
Dec 15, 2006 C02050006 In the Matter of the Association of X Redacted Decision
Apr 5, 2006 DFC050011 Decision in NASD Treasurer v. Lee Fisher Expedited Decision, Rule 9550 Expedited Decisions
Aug 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Apr 18, 2011 EQS100001 Department of Member Regulation v. Intermountain Financial Services, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Aug 11, 2004 C07030065 In the Matter of Department of Enforcement, Complainant vs. Respondent 1 and Respondent 2 Redacted Decision
Feb 28, 2007 2005001514501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Mar 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision
Apr 25, 2008 CAF040079 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 6, 2004 CLI030013 Hearing Panel Decision as to Respondent 1, 2, and 3 Redacted Decision
Sep 30, 2003 FPI030003 Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise Expedited Decision, Rule 9540 Suspension Decisions

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