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. |
|---|---|---|---|---|
| January 30, 2012 | 2007010902501 | Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce | Disciplinary Decision | |
| January 25, 2012 | 2008014285801 | Hearing Panel Decision in Department of Enforcement v. Paul James Marshall | Disciplinary Decision | |
| December 30, 2011 | 2005002244102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 30, 2011 | 2010021916601 | Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen | Disciplinary Decision | |
| December 19, 2011 | 2007010158001 | Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. | Disciplinary Decision | |
| December 13, 2011 | 2008011762801 | Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet | Disciplinary Decision | |
| December 06, 2011 | 2009018819001 | Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette | Disciplinary Decision | |
| November 22, 2011 | 20080138685 | Hearing Panel Decision in Department of Enforcement v. Ron William Howell | Disciplinary Decision | |
| November 18, 2011 | 2007010580702 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| November 08, 2011 | 2008014621701 | Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. | Disciplinary Decision | |
| October 29, 2011 | 2010021627601 | Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman | Disciplinary Decision | |
| October 17, 2011 | 2009018068701 | Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt | Disciplinary Decision | |
| October 13, 2011 | 2007010398802 | Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis | Disciplinary Decision | |
| October 11, 2011 | 2007011915401 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 04, 2011 | 2007008935010 | Hearing Panel Decision in Department of Enforcement v. David Trende | Disciplinary Decision | |
| October 03, 2011 | 20090195518 | Hearing Panel Decision in Department of Enforcement v. Darrell Eugene Fox | Disciplinary Decision | |
| September 22, 2011 | 20090192254 | Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision | Disciplinary Order | 11-09 |
| September 19, 2011 | 2009019637001 | Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Thomas Thanh Doan | Disciplinary Decision | |
| September 15, 2011 | 2010023719601 | Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney | Disciplinary Decision | |
| September 07, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Stay of Hearing | Disciplinary Order | 11-08 |
| September 01, 2011 | 20070072538-03 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Max International Broker-Dealer, Corp. | Disciplinary Decision | |
| July 28, 2011 | 2008012925001 | Order Regarding Pending Motions and Pre-Hearing Issues | Disciplinary Order | 11-10 |
| June 24, 2011 | 2008011725901 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| June 13, 2011 | 2008011701203 | Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc. | Disciplinary Decision | |
| June 09, 2011 | 2008015270701 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision |