Office of Hearing Officers | FINRA.org

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.

Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.

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 14, 2026 RF260002 Spartan Capital Securities, LLC Expedited Decision
June 29, 2026 RF260001 Reid & Rudiger LLC Expedited Decision
June 22, 2026 2025084675801 James Fredrick Tighe Disciplinary Decision - Default
June 17, 2026 2020066757804 Brian J. Pavelko Disciplinary Decision
June 15, 2026 2022073425001 Order Granting the Department of Enforcement’s Motion Pursuant to FINRA Rule 9285 Disciplinary Order 26-19
June 10, 2026 2025084815701 Tory A. Duggins Disciplinary Decision - Default
June 10, 2026 2021071714201 Order Denying Respondents’ Motion for Adjournment of Initial Pre-Hearing Conference Disciplinary Order 26-18
June 01, 2026 2018056490335 Order Denying Respondents Stapleton’s and Darvish’s Motions to Sever Disciplinary Order 26-17
June 01, 2026 ARB260004 Order Granting Unopposed Motion to Dismiss Proceeding Without Prejudice Expedited Order EXP26-03
May 12, 2026 2022073425001 APPEALED: James Lukezic Disciplinary Decision
May 07, 2026 2022077443302 APPEALED: Sebastian G. Bongiovanni Disciplinary Decision
May 07, 2026 202277443302 Amended Order Denying Respondent’s Motion to Supplement the Record Disciplinary Order 26-15
May 07, 2026 2022077443302 Order Denying Respondent’s Second Motion to Supplement the Record Disciplinary Order 26-16
May 06, 2026 2023080111701 Order Denying Respondent’s Emergency Motion for Recusal of the Hearing Officer and All FINRA Adjudicators Due to Structural Bias Under FINRA Rule 8320 Disciplinary Order 26-14
May 06, 2026 2023080111701 Order Denying Respondent’s Motion to Dismiss on Constitutional Grounds and Demand for Trial by Jury Disciplinary Order 26-13
May 04, 2026 2022075185901 Order Denying Respondent’s Motion to Stay Disciplinary Order 26-12
April 21, 2026 ARB250022 Serge Suleimani Expedited Decision
April 21, 2026 ARB260004 Order Instructing Enforcement to Verify Whether there Is a Pending Motion to Vacate Expedited Order EXP26-02
April 20, 2026 2022075185901 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 26-11
April 15, 2026 2023079069001 Order Establishing Deadline for Amended Answer Disciplinary Order 26-10
April 13, 2026 2018056490315 Shadi T. Barakat Disciplinary Decision
March 30, 2026 2018056490335 Case Management and Scheduling Order Disciplinary Order 26-09
March 27, 2026 2022075597101 APPEALED: John Lowry and Kim Monchik Disciplinary Decision
March 27, 2026 ARB260002 Order (1) Granting in Part and Denying in Part Enforcement’s Motion to Continue Pre-Hearing Deadlines and Hearing Date, and (2) Scheduling Pre-Hearing Conference Expedited Order EXP26-01
March 27, 2026 2020066757804 Order Denying Respondent’s Motion to Appear by Videoconference Disciplinary Order 26-08