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Office of Hearing Officers’ Decisions and Orders

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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
July 21, 2023 2021071137001 Order Governing the Use of Leading Questions to Former Employees of Respondent Lek Securities Corp. Disciplinary Order 23-24
July 19, 2023 2021071137001 Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280 Disciplinary Order 23-23
July 17, 2023 2021071137001 Order Deferring Ruling on Lek Securities Corp. and Charles Lek’s Motion in Limine to Exclude Certain Evidence Disciplinary Order 23-22
June 14, 2023 2018057297102 Order Denying Respondent’s Motion to Disqualify Enforcement Counsel Disciplinary Order 23-21
June 12, 2023 2019061528001 Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondent Pursuant to FINRA Rule 9285 Disciplinary Order 23-20
June 06, 2023 2021071137001 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 23-19
June 06, 2023 2019061528001 Order Denying Respondents’ Request for Oral Argument on Enforcement’s Pending Rule 9285 Motion Disciplinary Order 23-18
June 02, 2023 2021070337501 Order Denying Respondent’s Motion in Limine Disciplinary Order 23-17
May 26, 2023 2021070337501 Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony Disciplinary Order 23-16
April 13, 2023 ARB220023 Henry, Timothy P. Expedited Decision
March 28, 2023 97002201 Allied Millennial Partners, LLC and Daniel Peter Solakian Rule 9700 Decision
March 28, 2023 2019061528001 APPEALED: Spartan Capital Securities LLC, John D. Lowry, and Kim M. Monchick Disciplinary Decision
March 23, 2023 2018057297102 Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates Disciplinary Order 23-15
March 17, 2023 2019061942901 Order Directing Respondent to File a Rule-Compliant Answer Disciplinary Order 23-14
March 13, 2023 2017055886402 Order Regarding Motion for Clarification Disciplinary Order 23-12
March 13, 2023 97002201 Order Granting Motion to Dismiss and Decision Expedited Order EXP23-13
February 28, 2023 97002201 Order Granting In Part and Denying In Part Enforcement’s Motion to Continue Hearing Date Expedited Order EXP23-10
February 28, 2023 2021071137001 Order Granting Enforcement’s Motion for Leave to Offer Expert Testimony
Disciplinary Order 23-11
February 21, 2023 2017055886402 Order Rejecting Respondents’ Pre-Hearing Objections to Enforcement’s Witnesses and Denying Motion in Limine Disciplinary Order 23-06
February 21, 2023 2017055886402 Order Denying Enforcement’s Objection to Respondents’ Witness and Imposing Requirements on Respondent Disciplinary Order 23-09
February 21, 2023 2017055886402 Order Granting Department of Enforcement’s Motion to Present Testimony by Videoconference or Telephone Disciplinary Order 23-07
February 21, 2023 2017055886402 Order Sustaining One of Respondents’ Objections to Enforcement’s Exhibits and Overruling Other Objections Disciplinary Order 23-08
February 09, 2023 2020066627202 Order Regarding Pre-Hearing Objections and Motion in Limine Disciplinary Order 23-05
February 08, 2023 2021071137001 Order Denying Respondents’ Discovery Requests Disciplinary Order 23-04
February 03, 2023 2021070337501 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9253 Disciplinary Order 23-03