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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.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| July 23, 2025 | 2019064333401 | Order Proposing to Take Official Notice | Disciplinary Order | 25-12 |
| July 23, 2025 | 2022073425001 | Order Regarding Respondent's Motion For The Production Of Witness Statements | Disciplinary Order | 25-13 |
| July 09, 2025 | 2022075597101 | Order Granting Respondent’s Motion for Adjournment of the Hearing Dates | Disciplinary Order | 25-11 |
| July 01, 2025 | 2022075597101 | Order Granting Enforcement’s Consent Motion for Sequestration | Disciplinary Order | 25-10 |
| June 26, 2025 | 2024083063101 | Calvin Lee Gray | Disciplinary Decision - Default | |
| June 24, 2025 | 2023078835001 | Order Denying Motion for Reconsideration | Disciplinary Order | 25-09 |
| June 18, 2025 | 2023078835001 | Order Regarding Respondent’s Motion to Extend His Time to Answer | Disciplinary Order | 25-08 |
| June 17, 2025 | 2023079728601 | Ishmael Williams | Disciplinary Decision - Default | |
| June 12, 2025 | 2024083132901 | Santiago J. Torres | Disciplinary Decision - Default | |
| June 11, 2025 | 2022075597101 | Order Denying Respondents’ Motion to Compel Production of Witnesses’ Addresses | Disciplinary Order | 25-07 |
| June 02, 2025 | 2022075597101 | Order Denying Respondent’s Motion for Summary Disposition | Disciplinary Order | 25-06 |
| May 22, 2025 | 2022076589301 | Kevin John Herne | Disciplinary Decision - Default | |
| May 07, 2025 | ARB250005 | APPEALED: Michael Barrows and Eric Ludovico | Expedited Decision | |
| May 07, 2025 | PCDO230001 | Order Deferring Ruling on Respondent’s Motion for Dismissal, Motion to Strike, and Motion for a New Trial | Expedited Order | EXP25-04 |
| April 28, 2025 | 2022073425001 | Order Denying Respondent’s Motion for Order to Compel Discovery | Disciplinary Order | 25-05 |
| April 21, 2025 | 2021069373001 | APPEALED: David Wong | Disciplinary Decision | |
| April 03, 2025 | PCDO230001 | Order Granting Respondent Leave to File a Motion to Dismiss | Expedited Order | EXP25-03 |
| March 25, 2025 | ARB250001 | Order Dismissing Hearing Request and Deeming Notice of Suspension Final FINRA Action | Expedited Order | EXP25-02 |
| March 20, 2025 | 2023077022402 | Sam Jakobs | Disciplinary Decision - Default | |
| March 17, 2025 | 2022073425001 | Order Denying Respondent’s Motion to Stay Proceeding | Disciplinary Order | 25-04 |
| March 13, 2025 | 2022075977501 | Ben Jen and Ray Rohne | Disciplinary Decision - Default | |
| March 10, 2025 | ARB240021 | Robert James Tracy | Expedited Decision | |
| March 07, 2025 | 2020065599103 | Order Granting Motion by Witnesses to Appear with Counsel | Disciplinary Order | 25-03 |
| February 19, 2025 | ARB250005, ARB250007 | Order Consolidating Two Expedited Proceedings | Expedited Order | EXP25-01 |
| February 06, 2025 | 2020067734001 | APPEALED: James Iannazzo | Disciplinary Decision |