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 08, 2000 | C02990034 | Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green | Disciplinary Decision | |
| January 31, 2000 | C9A990007 | Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present | Disciplinary Order | 00-03 |
| January 18, 2000 | C02990052 | Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 00-02 |
| January 13, 2000 | C02990017 | Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi | Disciplinary Decision | |
| January 13, 2000 | C3A990050 | Hearing Panel Decision in Department of Enforcement v. Jim Newcomb | Disciplinary Decision | |
| January 04, 2000 | C10990121 | Order Denying Enforcement's Motion For Summary Disposition | Disciplinary Order | 00-01 |
| December 30, 1999 | CAF990018 | Order Denying Motion for Summary Disposition | Disciplinary Order | 99-21 |
| December 10, 1999 | C10970145 | Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein | Disciplinary Decision | |
| December 02, 1999 | CAF980013 | Hearing Panel Decision in Department of Enforcement v. Herman Epstein | Disciplinary Decision | |
| December 01, 1999 | C11970032 | Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard | Disciplinary Decision | |
| November 22, 1999 | C10990058 | Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan | Disciplinary Decision | |
| November 19, 1999 | C8A990017 | Hearing Panel Decision in Department of Enforcement v. David L. Foran | Disciplinary Decision | |
| November 18, 1999 | C8A990015 | Hearing Panel Decision | Redacted Decision | |
| October 18, 1999 | C07990013 | Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz | Disciplinary Decision | |
| October 18, 1999 | CMS920002 | Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order | Disciplinary Order | 99-20 |
| October 06, 1999 | DFC990003 | Rule 9530 Suspension Proceeding DFC990003 | Expedited Decision, Rule 9530 Suspension Decisions | |
| September 30, 1999 | CMS920002 | Order Directing Complainant to Comply with Rule 9251 | Disciplinary Order | 99-19 |
| September 27, 1999 | C02990022 | Order Denying Respondent's Request for Financial Assistance to Attend Hearing | Disciplinary Order | 99-17 |
| September 27, 1999 | CAF980002 | Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 | Disciplinary Order | 99-18 |
| September 23, 1999 | C02980034 | Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint | Disciplinary Order | 99-16 |
| September 21, 1999 | CAF980002 | Order Regarding Court Reporting Services for the Hearing | Disciplinary Order | 99-15 |
| September 17, 1999 | C3A980077 | Hearing Panel Decision in Department of Enforcement v. Richard F. Dambakly | Disciplinary Decision | |
| September 01, 1999 | C02980073 | Hearing Panel Decision in Department of Enforcement v. McLaughlin, Piven, Vogel Securities, Inc. and James Cecil McLaughlin | Disciplinary Decision | |
| August 27, 1999 | C02980024 | Order Granting Complainant's Motion to Strike | Disciplinary Order | 99-14 |
| August 18, 1999 | CAF980005 | Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller | Disciplinary Decision |