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. |
|---|---|---|---|---|
| July 14, 2009 | 2007010450601 | Amended Hearing Panel Decision in Department of Enforcement v. Dennis Brown | Disciplinary Decision | |
| July 06, 2009 | E8A2004072203 | Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba | Disciplinary Decision | |
| June 09, 2009 | 2008012026601 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin | Disciplinary Decision | |
| June 05, 2009 | 2007009082902 | Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton | Disciplinary Decision | |
| June 02, 2009 | 2005000324301 | Hearing Panel Decision in Department of Market Regulation v. Jerry William Burch | Disciplinary Decision | |
| May 15, 2009 | 2007007682501 | Hearing Panel Decision in Department of Enforcement v. Jereis Khawaja | Disciplinary Decision | |
| May 13, 2009 | 2007010306901 | Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2 | Disciplinary Decision | |
| May 12, 2009 | 2005000879302 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Legacy Trading Co., LLC and Mark Uselton | Disciplinary Decision | |
| May 12, 2009 | 2005000075703 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Midas Securities LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee and Rodney Preston Michel | Disciplinary Decision | |
| May 08, 2009 | 2005000835801 | Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier | Disciplinary Decision | |
| May 08, 2009 | 2007008370701 | Hearing Panel Decision in Department of Enforcement v. Scott R. Tischler | Disciplinary Decision | |
| May 06, 2009 | 2006005696601 | Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc. | Disciplinary Decision | |
| April 27, 2009 | 2007010236401 | Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King | Disciplinary Decision | |
| April 21, 2009 | 2007008128901 | Hearing Panel Decision in Department of Francis M. Evans | Disciplinary Decision | |
| April 17, 2009 | 2005003437102 | Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock | Disciplinary Decision | |
| March 19, 2009 | 2005003295801 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn | Disciplinary Decision | |
| February 10, 2009 | 2006005523401 | Hearing Panel Decision in Department of Enforcement v. Nathan Lorne | Disciplinary Decision | |
| January 29, 2009 | 2005003188901 | Amended Hearing Panel Decision in Department of Enforcement v. Richard G. Cody | Disciplinary Decision | |
| January 16, 2009 | E072005017201 | Hearing Panel Decision in Department of Enforcement v. John B. Busacca III | Disciplinary Decision | |
| December 19, 2008 | 2006003825001 | Hearing Panel Decision in Department of Enforcement v. Joseph William Hagan | Disciplinary Decision | |
| December 18, 2008 | 2006003738501 | Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick | Disciplinary Decision | |
| December 17, 2008 | 2006005318801 | Hearing Panel Decision in Department of Enforcement v. Kent M. Houston | Disciplinary Decision | |
| December 16, 2008 | EAF0400630001 | Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. | Disciplinary Decision | |
| December 15, 2008 | 2006006192901 | Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr. | Disciplinary Decision | |
| December 11, 2008 | 2006003834901 | Hearing Panel Decision in Department of Moustafa M. Zayed | Disciplinary Decision |