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. |
|---|---|---|---|---|
| February 07, 2008 | E102004083704 | Hearing Panel Decision in Department of Enforcement v. Marc Winters | Disciplinary Decision | |
| February 07, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| February 06, 2008 | E8A2003084806 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| January 10, 2008 | 2005001085001 | Hearing Panel Decision in Department of Enforcement v. Warren K. Hansen | Disciplinary Decision | |
| December 19, 2007 | C10040052 | Hearing Panel Decision in Department of Enforcement v. Scott Mathis | Disciplinary Decision | |
| December 11, 2007 | 20050000720-02 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 07, 2007 | ARB070050 | Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect | Expedited Order | 07-41 |
| December 06, 2007 | 20070086505-01 | Order to Show Cause | Disciplinary Order | 07-40 |
| November 30, 2007 | E8A2005014902 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| November 28, 2007 | EAF0400300001 | Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel | Disciplinary Decision | |
| November 26, 2007 | 2005000323905 | Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing | Disciplinary Order | 07-39 |
| November 16, 2007 | E102004083703 | Hearing Panel Decision in Department of Enforcement v. Harvey M. Schwartz | Disciplinary Decision | |
| November 06, 2007 | 2006004494201 | Hearing Panel Decision in Department of Enforcement v. Todd William Cowle | Disciplinary Decision | |
| November 06, 2007 | 2006005936701 | Hearing Panel Decision in Department of Enforcement v. William D. Mattes, Sr. | Disciplinary Decision | |
| November 01, 2007 | ELI2004026701 | Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq | Disciplinary Decision | |
| October 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | Disciplinary Order | 07-38 |
| October 16, 2007 | 2005001919501 | Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 07-37 |
| October 15, 2007 | C11040006 | Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken | Disciplinary Decision | |
| September 27, 2007 | 2005001305701 | Hearing Panel Decision in Department of Enforcement v. Harvest Capital Investments, LLC and Dennis Cotto | Disciplinary Decision | |
| September 07, 2007 | 2006004240301 | Hearing Panel Decision in Department of Enforcement v. Trent A. Johnson | Disciplinary Decision | |
| August 16, 2007 | E112005002003 | Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents | Disciplinary Order | 07-36 |
| August 14, 2007 | 2005001819101 | Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. | Disciplinary Decision | |
| August 09, 2007 | 2005000323905 | Order Regarding Respondent 2's Motions for Official Notice | Disciplinary Order | 07-35 |
| August 07, 2007 | CAF040079 | Order Regarding Post-Hearing Briefs | Disciplinary Order | 07-34 |
| August 07, 2007 | 20060042305-01 | Scheduling Order | Disciplinary Order | 07-33 |