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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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decision Proceeding No. Title Type Order No.
December 06, 2012 FPI120012 Hearing Panel Decision in Department of Enforcement v. Steven Barbot Expedited Decision, Rule 9550 Expedited Decisions
November 30, 2012 20100248883-01 Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama Disciplinary Decision
November 19, 2012 2009018377601 Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock Disciplinary Decision
November 09, 2012 2010020846601 Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony Disciplinary Order 12-07
November 01, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay

Related Documents

Disciplinary Decision
October 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III

Related Documents

Disciplinary Decision
October 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
October 23, 2012 2011026664301 Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer Disciplinary Order 12-06
October 22, 2012 2010025132201 Hearing Panel Decision in Department of Enforcement v. Amy Siesennop Disciplinary Decision
October 17, 2012 2010024320101 Order to Provide Verification in Support of Request for Continuance of Hearing Disciplinary Order 12-05
October 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
September 28, 2012 2008012925001 Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel

Related Documents

Disciplinary Decision
September 28, 2012 2009019837302 Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier

Related Documents

Disciplinary Decision
September 18, 2012 2008014015901 Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare Disciplinary Decision
August 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents Disciplinary Order 12-04
August 28, 2012 2008013863702 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
August 23, 2012 2008015617902 Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow Disciplinary Decision
August 02, 2012 20070094044 Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush

Related Documents

Disciplinary Decision
July 26, 2012 2009018076101 Hearing Panel Decision in Department of Enforcement v. Blair A. West

Related Documents

Disciplinary Decision
July 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions
July 09, 2012 20100214065-01 Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre Disciplinary Decision
July 06, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses

Related Documents

Disciplinary Order 12-03
July 02, 2012 20070082049 Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane

Related Documents

Disciplinary Decision
June 14, 2012 2009019369302 Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng

Related Documents

Disciplinary Decision
June 08, 2012 2007008724701 Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson Disciplinary Decision