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.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| March 18, 2010 | 2007007377801 | Hearing Panel Decision in Department of Enforcement v. Noble B. Trenham | Disciplinary Decision | |
| March 16, 2010 | 2007011250901 | Hearing Panel Decision in Department of Enforcement v. Angela Dionne Reed | Disciplinary Decision | |
| March 05, 2010 | E052005007501 | Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc. | Disciplinary Decision | |
| February 25, 2010 | 20080121376 | Order Denying Motion to Dismiss | Disciplinary Order | 10-05 |
| January 22, 2010 | 2008013087201 | Hearing Panel Decision in Department of Enforcement v. Bradford Orosey | Disciplinary Decision | |
| January 12, 2010 | 2008013391701 | Hearing Panel Decision in Department of Enforcement v. Trent Tremayne Hughes | Disciplinary Decision | |
| December 30, 2009 | 2007009472201 | Hearing Panel Decision in Department of Enforcement v. Warren William Wall | Disciplinary Decision | |
| December 18, 2009 | 2006006046401 | Hearing Panel Decision in Department of Enforcement v. James Richard Willard, III | Disciplinary Decision | |
| December 16, 2009 | 2008012955301 | Order Denying Motion for More Definite Statement | Disciplinary Order | 09-05 |
| December 03, 2009 | 2006007544401 | Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien | Disciplinary Decision | |
| December 01, 2009 | 2007009848801 | Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco | Disciplinary Decision | |
| November 24, 2009 | 2006006259501 | Order Denying Respondent's Motion to Compel Production of List of Withheld Documents | Disciplinary Order | 09-04 |
| November 11, 2009 | 2007007255603 | Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits | Disciplinary Order | 09-03 |
| October 16, 2009 | 2006005977901 | Hearing Panel Decision in Department of Enforcement v. Kale E. Evans | Disciplinary Decision | |
| October 15, 2009 | 2007008358101 | Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden | Disciplinary Decision | |
| October 14, 2009 | 2007009461301 | Order Denying Respondent's Motion to Compel Production of Witness Statements | Disciplinary Order | 09-02 |
| October 12, 2009 | 2009017496501 | Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott | Disciplinary Decision | |
| October 05, 2009 | 20080120960 | Hearing Panel Decision in Department of Enforcement v. Rebecca A. Reichman | Disciplinary Decision | |
| October 01, 2009 | 20070094253 | Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia | Disciplinary Decision | |
| September 22, 2009 | 2005001502703 | Hearing Panel Decision in Department of Enforcement v. Ronald E. Hardy, Jr. | Disciplinary Decision | |
| September 22, 2009 | E3A20050037-02 | Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino | Disciplinary Decision | |
| September 14, 2009 | 2008013474501 | Hearing Panel Decision in Department of Enforcement v. Daphne Easley | Disciplinary Decision | |
| August 31, 2009 | 2006003672401 | Hearing Panel Decision in Department of Enforcement v. Patrick F. Harte, Jr. | Disciplinary Decision | |
| August 25, 2009 | 20070094345, 20070111775 | Hearing Panel Decision in Department of Enforcement v. John Edward Mullins and Kathleen Maria Mullins | Disciplinary Decision | |
| July 29, 2009 | ARB090054 | Order Dismissing Proceeding for Failure to State a Defense | Expedited Order | 09-01 |