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Office of Hearing Officers
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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|July 01, 2019||2015045312501||Order Establishing Procedures Regarding Treatment of SAR Information||Disciplinary Order||19-24|
|June 25, 2019||2016051493704||Omnibus Order on Pre-Hearing Motions||Disciplinary Order||19-23|
|June 19, 2019||2016050957901||Order Granting Respondents’ Rules 9252 and 9253 Motions||Disciplinary Order||19-22|
|June 14, 2019||2016048393501||Order Denying in Part and Granting in Part Respondents’ Motion to Compel Production of Metadata||Disciplinary Order||19-20|
|June 14, 2019||2015047005801||APPEALED: Brian Colin Doherty||Disciplinary Decision|
|June 05, 2019||2017053428201||APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez||Disciplinary Decision|
|June 04, 2019||2016050137503||Order Denying Respondents’ Motion for More Definite Statement||Disciplinary Order||19-19|
|May 14, 2019||2017053382401||Order on Enforcement’s Objections to Respondents’ Proposed Witness List and Exhibits and Motion in Limine||Disciplinary Order||19-17|
|May 08, 2019||2016050938301||APPEALED: Michael J. Clarke||Disciplinary Decision|
|May 07, 2019||2016051493704||Order on Respondent’s Motion Pursuant to Rule 9253||Disciplinary Order||19-16|
|May 03, 2019||FPI190001, FPI190002||Order Denying Respondents’ Motion to Conduct Hearing in Person, Regulatory Operations v. Alpine and Scotsdale||Expedited Order||19-02|
|May 02, 2019||2015045312501||Order Granting Parties’ Motions for Leave to Permit Expert Testimony||Disciplinary Order||19-15|
|April 23, 2019||2015045312501||Order Directing Parties to Meet and Confer||Disciplinary Order||19-14|
|April 11, 2019||2016050025401||Frederick David Holloway||Disciplinary Decision|
|April 05, 2019||2016049565901||APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang||Disciplinary Decision|
|April 05, 2019||2016050137503||Order Regarding Respondents’ Motion For Extension Of Time To Answer||Disciplinary Order||19-13|
|April 01, 2019||2016048393501||Order Granting Motion for Leave to File First Amended Complaint and Index to the First Amended Complaint||Disciplinary Order||19-12|
|March 28, 2019||2016052503101||Order Denying Respondent’s Motion for Summary Disposition||Disciplinary Order||19-11|
|March 13, 2019||2016052503101||Order Granting in Part and Denying in Part Respondent’s Rule 9252 Request||Disciplinary Order||19-10|
|March 13, 2019||2017052760001||Order Regarding Pre-Hearing Submissions||Disciplinary Order||19-09|
|March 05, 2019||2013035345701||APPEALED: Titan Securities, Brad Brooks and Richard Demetriou||Disciplinary Decision|
|March 04, 2019||2016050883001||Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference||Disciplinary Order||19-08|
|March 04, 2019||2016050883001||Hayes, O. Governing PCI||Disciplinary Order||19-07|
|March 04, 2019||2015047005801||Order Granting Motion for Leave to Offer Telephone or VideoConference Testimony||Disciplinary Order||19-06|
|March 01, 2019||2016051493704||Order Granting in Part Enforcement’s Motion for Rule-Compliant Answer||Disciplinary Order||19-05|