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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.|
|September 08, 2017||2013035740901||Order Denying Respondents’ Motion for Summary Disposition||Disciplinary Order||17-18|
|September 06, 2017||2014040476901||APPEALED: C.L. King and Gregg Alan Miller||Disciplinary Decision|
|September 05, 2017||2016051925301||Order Granting Motion to Permit Witness Counsel to be Present During Testimony||Disciplinary Order||17-17|
|September 05, 2017||2016051925301||Order Granting Motion Regarding Witness Sequestration||Disciplinary Order||17-16|
|August 25, 2017||ARB170007||Timothy S. Fannin||Expedited Decision|
|August 22, 2017||2015047303901||Case Management and Scheduling Order||Disciplinary Order||17-25|
|August 16, 2017||2014043020901||Matthew J. Dodds||Disciplinary Decision|
|August 09, 2017||2015044782401||Case Management and Scheduling Order||Disciplinary Order||17-24|
|August 02, 2017||2014042690502||Stephen Brown and James Goetz||Disciplinary Decision|
|July 31, 2017||2015044823501 & 2015044823502||APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges||Disciplinary Decision|
|July 27, 2017||2013035345701||Order Denying Motion For Dismissal||Disciplinary Order||17-15|
|July 14, 2017||2014042156101||William Morgan Ditty||Disciplinary Decision|
|July 10, 2017||2015044489701||Kory Penland Keath||Disciplinary Decision|
|June 20, 2017||2014041724601||APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz||Disciplinary Decision|
|June 16, 2017||2013037709301||Order Establishing Procedures Regarding Treatment of SAR Information||Disciplinary Order||17-13|
|June 12, 2017||DFC170003||Order Dismissing Request for Hearing||Expedited Order||17-01|
|June 02, 2017||2014039091903||Richard Lim||Disciplinary Decision|
|May 30, 2017||2014039839101||APPEALED: Jim Jinkook Seol||Disciplinary Decision|
|May 26, 2017||2014040295201||Carolina Financial Securities, LLC, and Bruce Victor Roberts||Disciplinary Decision|
|May 25, 2017||2015047154001||Case Management and Scheduling Order||Disciplinary Order||17-23|
|May 17, 2017||2012035284301||APPEALED: Richard A. McCollam||Disciplinary Decision|
|May 12, 2017||2013035130101||APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone||Disciplinary Decision|
|May 03, 2017||2014043001601||APPEALED: Allen B. Holeman||Disciplinary Decision|
|April 21, 2017||2012032019101||Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252.||Disciplinary Order||17-12|
|April 11, 2017||2014042524301||Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions||Disciplinary Order||17-10|