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. |
|---|---|---|---|---|
| June 15, 2010 | 2008014873201 | Hearing Panel Decision in Department of Enforcement v. Nicholas Michael Rubino | Disciplinary Decision | |
| June 11, 2010 | 2007007792902 | Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw | Disciplinary Decision | |
| May 28, 2010 | 200011592201 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | Disciplinary Order | 10-03 |
| May 21, 2010 | 20070094468 | Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor | Disciplinary Decision | |
| May 21, 2010 | 2007011489301 | Hearing Panel Decision in Department of Enforcement v. Ryan A. Leopold | Disciplinary Decision | |
| May 19, 2010 | 2007011937001 | Hearing Panel Decision in Department of Enforcement v. Howard Braff | Disciplinary Decision | |
| May 10, 2010 | 2007009981201 | Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker | Disciplinary Decision | |
| May 06, 2010 | 2005003610701 | Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm | Disciplinary Decision | |
| May 04, 2010 | 2007007989901 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 30, 2010 | 2008013503101 | Order Denying Respondent's Motions for Leave to Seek and Retain Counsel and to Adjourn and Retain Counsel | Disciplinary Order | 10-02 |
| April 20, 2010 | 2006003916901 | Hearing Panel Decision in Department of Enforcement v. Richard Michael Bowers | Disciplinary Decision | |
| April 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| April 08, 2010 | 200500224102 | Order Limiting the Dissemination of Personal, Confidential Information | Disciplinary Order | 10-01 |
| March 22, 2010 | 2006005178801 | Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis | Disciplinary Decision | |
| 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 |