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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|June 03, 2021||2018058924502||APPEALED: Adam James Makkai||Disciplinary Decision|
|May 27, 2021||2017052701101||James W. Flower||Disciplinary Decision|
|May 20, 2021||2016048837401||Amended Order Regarding Review and Redaction of Exhibits||Disciplinary Order||21-09|
|May 19, 2021||2017052867301||APPEALED: Mercer Hicks III||Disciplinary Decision|
|May 19, 2021||2019064313901||Order Sustaining Respondent Paramveer Singh’s Objection to the Admission of CX-30 into Evidence||Disciplinary Order||21-08|
|May 18, 2021||2018058588501||APPEALED: Christopher Peter Tranchina||Disciplinary Decision|
|March 15, 2021||2016048837401||Order Converting Hearing to Video Conference if Necessary||Disciplinary Order||21-07|
|March 15, 2021||2016048837401||Order Granting Respondent’s Motion to Continue Hearing||Disciplinary Order||21-06|
|March 01, 2021||2019064313901||Order Denying Without Prejudice Respondent’s Motion for a Stay Pursuant to FINRA Rule 9222||Disciplinary Order||21-05|
|February 18, 2021||2015045257501||APPEALED: Ricky Alan Mantei||Disciplinary Decision|
|February 03, 2021||2019064416201||Travis Scott Hughes||Disciplinary Decision|
|February 02, 2021||2017053462401||Order Continuing In-Person Hearing||Disciplinary Order||21-04|
|January 29, 2021||2017052701101||Order Requiring Replacement of Certain Hearing Exhibits with More Legible Copies||Disciplinary Order||21-03|
|January 19, 2021||2018058588501||Order Regarding Enforcement’s Motion in Limine and Pre-Hearing Objections||Disciplinary Order||21-02|
|January 13, 2021||ARB200025||Giovanni Antonio Malatesta||Expedited Decision|
|January 07, 2021||2018058588501||Order Denying Respondent’s Motion to Postpone Hearing Dates||Disciplinary Order||21-01|
|December 07, 2020||2017052701101||Order Granting Enforcement’s Motion for Leave to Issue Post-Complaint Rule 8210 Request||Disciplinary Order||20-22|
|December 07, 2020||2017052701101||Order Converting Hearing and Final Pre-Hearing Conference to VideoConference and Amending Pre-Hearing Schedule||Disciplinary Order||20-23|
|November 18, 2020||2018056436001||Order Memorializing Rulings at Pre-Hearing Conference||Disciplinary Order||20-21|
|November 13, 2020||2018058924502||Order Granting Motion for Postponement||Disciplinary Order||20-20|
|October 30, 2020||2015047244701||Order on Behalf of Hearing Panel Accepting Offer of Settlement and Proposed Order of Acceptance Pursuant to FINRA Rule 9270(e)||Disciplinary Order||20-19|
|October 19, 2020||2015047244701||Order Requiring Enforcement to Transmit to Hearing Panel Any Offer of Settlement and Proposed Order of Acceptance Pursuant to FINRA Rule 9270(e)||Disciplinary Order||20-18|
|September 15, 2020||ARB200002||Michael Joseph Shimko, Jr.||Expedited Decision|
|September 04, 2020||2016048837401||Order Granting Request for Postponement and Denying Request for Change of Hearing Location||Disciplinary Order||20-17|
|August 25, 2020||2016049414401||Order Directing Respondent To File Answer Compliant With FINRA Rule 9215||Disciplinary Order||20-13|