Skip to main content

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.
April 07, 2022 FPI210010 Expedited Hearing Panel Decision - Department of Enforcement v. Alpine Securities Corporation Expedited Decision
March 25, 2022 2018057274302 APPEALED: Hearing Panel Decision - Department of Enforcement v. Jason L. DiPaola Disciplinary Decision
March 22, 2022 2019061232601 APPEALED: Extended Hearing Panel Decision - Department of Enforcement v. Alpine Securities Corporation Disciplinary Decision
March 08, 2022 2019064813801 Supplemental Order Regarding Denial of Respondents’ Request for Postponement Disciplinary Order 22-06
March 02, 2022 2019060648701 Order Denying Respondent’s Motion to Dismiss Disciplinary Order 22-05
February 10, 2022 2018058537302 Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative Disciplinary Order 22-04
January 31, 2022 2016048837401 Craig Stanton Norton Disciplinary Decision
January 21, 2022 2020067814802 Order Directing Respondent to File Answer Compliant With FINRA Rule 9215 Disciplinary Order 22-03
January 13, 2022 2018058537302 Order Denying Respondent’s Motion to Postpone Hearing Dates Disciplinary Order 22-02
January 12, 2022 2018057235801 Omnibus Order on Pre-Hearing Motions and Objections Disciplinary Order 22-01
January 03, 2022 ARB210015 Jeanette S. Stofleth Expedited Decision
December 30, 2021 FPI210005 Darryl Matthew Cohen Expedited Decision
December 14, 2021 2019061528001 Order Denying Respondents’ Motion For a More Definite Statement Disciplinary Order 21-15
November 10, 2021 2018057274302 Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine Disciplinary Order 21-14
October 29, 2021 2018057235801 Order Granting in Part Respondent’s Motion for Continuance Disciplinary Order 21-13
October 28, 2021 2019061232601 Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek Disciplinary Order 21-12
October 21, 2021 ARB210010 Derek Rudolf D’Alonzo Expedited Decision
October 12, 2021 2016048837401 Order Granting Enforcement’s Request to Correct the Hearing Transcript Disciplinary Order 21-11
September 07, 2021 2017053462401 APPEALED: Robert Henderson Disciplinary Decision
August 24, 2021 FPI210005 Amended Order setting Hearing and Other Deadlines Expedited Order EXP21-02
August 17, 2021 ARB210008 Leslie George Markus, Jr. Expedited Decision
August 17, 2021 ARB210003 Expedited Proceeding - Department of Enforcement v. Henrique David Lucena Expedited Decision
July 29, 2021 ARB210008 Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits Expedited Order EXP21-01
July 23, 2021 ARB210004 Gary J. Helbling Expedited Decision
July 23, 2021 2018056436001 Integrity Brokerage Services, Inc. and Joshua Helmle Disciplinary Decision