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. |
|---|---|---|---|---|
| November 24, 2009 | 2006006259501 | Order Denying Respondent's Motion to Compel Production of List of Withheld Documents | Disciplinary Order | 09-04 |
| November 11, 2009 | 2007007255603 | Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits | Disciplinary Order | 09-03 |
| October 16, 2009 | 2006005977901 | Hearing Panel Decision in Department of Enforcement v. Kale E. Evans | Disciplinary Decision | |
| October 15, 2009 | 2007008358101 | Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden | Disciplinary Decision | |
| October 14, 2009 | 2007009461301 | Order Denying Respondent's Motion to Compel Production of Witness Statements | Disciplinary Order | 09-02 |
| October 12, 2009 | 2009017496501 | Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott | Disciplinary Decision | |
| October 05, 2009 | 20080120960 | Hearing Panel Decision in Department of Enforcement v. Rebecca A. Reichman | Disciplinary Decision | |
| October 01, 2009 | 20070094253 | Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia | Disciplinary Decision | |
| September 22, 2009 | 2005001502703 | Hearing Panel Decision in Department of Enforcement v. Ronald E. Hardy, Jr. | Disciplinary Decision | |
| September 22, 2009 | E3A20050037-02 | Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino | Disciplinary Decision | |
| September 14, 2009 | 2008013474501 | Hearing Panel Decision in Department of Enforcement v. Daphne Easley | Disciplinary Decision | |
| August 31, 2009 | 2006003672401 | Hearing Panel Decision in Department of Enforcement v. Patrick F. Harte, Jr. | Disciplinary Decision | |
| August 25, 2009 | 20070094345, 20070111775 | Hearing Panel Decision in Department of Enforcement v. John Edward Mullins and Kathleen Maria Mullins | Disciplinary Decision | |
| July 29, 2009 | ARB090054 | Order Dismissing Proceeding for Failure to State a Defense | Expedited Order | 09-01 |
| 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 |