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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.
March 30, 2015 2011025785602 Anthony Warren Thompson and TNP Securities, LLC Disciplinary Decision
March 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott

Related Documents

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.

Related Documents

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

Related Documents

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

Related Documents

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

Related Documents

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

Related Documents

Disciplinary Decision
October 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk

Related Documents

Disciplinary Decision
September 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents

Related Documents

Disciplinary Order 14-04
September 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision