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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|February 05, 2020||2018059545201||APPEALED: Robert Juan Escobio||Disciplinary Decision|
|December 19, 2019||2017055608101||APPEALED: Kapil Maheshwari||Disciplinary Decision|
|December 17, 2019||2016051493704||APPEALED: Jorge A. Reyes||Disciplinary Decision|
|November 11, 2019||ARB190024||Jonathan R. Lake||Expedited Decision|
|November 06, 2019||2018059510201||Case Management and Scheduling Order||Disciplinary Order||19-29|
|November 01, 2019||FPI190006||KJM Securities||Expedited Decision|
|September 19, 2019||2016049321302||Order Granting Consent Motion to Sequester||Disciplinary Order||19-28|
|September 12, 2019||2018059545201||Case Management and Scheduling Order||Disciplinary Order||19-30|
|August 23, 2019||2018056848101||APPEALED: Thomas Lee Johnson||Disciplinary Decision|
|August 22, 2019||2017053382401||Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer||Disciplinary Decision|
|August 15, 2019||FPI190005||Myron K. Gruenberg||Expedited Decision|
|August 15, 2019||FPI190001 - FPI190002||Alpine Securities Corp. and Scottsdale Capital Advisors Corp.||Expedited Decision|
|August 07, 2019||2017052871401||APPEALED: William James Potter||Disciplinary Decision|
|August 07, 2019||2016051615301||APPEALED: Partho S. Ghosh||Disciplinary Decision|
|August 01, 2019||2015045312501||Supplemental Order Re: Denial of Second Motion to Stay||Disciplinary Order||19-27|
|July 11, 2019||2017052760001||APPEALED: Nancy Kimball Mellon||Disciplinary Decision|
|July 10, 2019||2015045312501||Order Regarding Discovery||Disciplinary Order||19-26|
|July 08, 2019||2017054405401||Order Denying Respondent William Kielczewshi’s Request for the Issuance of a Request for Documents||Disciplinary Order||19-25|
|July 01, 2019||2015045312501||Order Establishing Procedures Regarding Treatment of SAR Information||Disciplinary Order||19-24|
|June 25, 2019||2016051493704||Omnibus Order on Pre-Hearing Motions||Disciplinary Order||19-23|
|June 19, 2019||2016050957901||Order Granting Respondents’ Rules 9252 and 9253 Motions||Disciplinary Order||19-22|
|June 14, 2019||2016048393501||Order Denying in Part and Granting in Part Respondents’ Motion to Compel Production of Metadata||Disciplinary Order||19-20|
|June 14, 2019||2015047005801||APPEALED: Brian Colin Doherty||Disciplinary Decision|
|June 05, 2019||2017053428201||APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez||Disciplinary Decision|
|June 04, 2019||2016050137503||Order Denying Respondents’ Motion for More Definite Statement||Disciplinary Order||19-19|