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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|March 30, 2015||2011025785602||Anthony Warren Thompson and TNP Securities, LLC||Disciplinary Decision|
|March 30, 2015||2011025675501||APPEALED: Kimberly Springsteen-Abbott||Disciplinary Decision|
|March 18, 2015||DFC140002||Order Granting Complainant's Motion to Dismiss Hearing Request||Expedited Order||EXP15-01|
|March 18, 2015||DFC140002||Order Granting Complainant’s Motion to Dismiss Hearing Request||Disciplinary Order||15-01|
|March 17, 2015||2011027271901||Richard Blair||Disciplinary Decision|
|March 12, 2015||FPI140011||Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky||Expedited Decision, Rule 9550 Expedited Decisions|
|March 10, 2015||2011026788801||Keith Geary||Disciplinary Decision|
|March 09, 2015||2012030724101||APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr.||Disciplinary Decision|
|February 23, 2015||2010024522103||Order Denying Respondents’ Motion Pursuant to Rule 9251||Disciplinary Order||15-02|
|February 13, 2015||2013036217601||Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony||Disciplinary Order||15-03|
|February 03, 2015||2011025706401||Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony||Disciplinary Order||15-04|
|January 27, 2015||2012034936005||Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion||Disciplinary Order||15-05|
|January 20, 2015||2011028647101||John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler||Disciplinary Decision|
|January 09, 2015||20120334673-01||Department of Enforcement v. John Thomas Financial, Inc.||Disciplinary Decision|
|December 30, 2014||2009020941801||APPEALED: Lek Securities Corporation and Samuel Frederik Lek||Disciplinary Decision|
|December 30, 2014||20080148227-02||Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement||Disciplinary Order||14-09|
|December 22, 2014||2012034389202||APPEALED: Bernard G. McGee||Disciplinary Decision|
|December 10, 2014||2011026386001||Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates||Disciplinary Order||14-08|
|December 08, 2014||2011030781201||Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer||Disciplinary Order||14-07|
|December 02, 2014||2012030570301||Calvin B. Grigsby||Disciplinary Decision|
|December 01, 2014||2011025676501||Order Granting, In Part, Motion for More Definite Statement||Disciplinary Order||14-06|
|November 03, 2014||20110273503||Richard A. McGuire||Disciplinary Decision|
|October 13, 2014||2010022977801||Ameriprise Financial Services, Inc. and David B. Tysk||Disciplinary Decision|
|September 30, 2014||2012032519101||Order Denying Respondent’s Motion for Production of Documents||Disciplinary Order||14-04|
|September 29, 2014||2013037332701||Dale Edward Para||Disciplinary Decision|