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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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decision Proceeding No. Title Type Order No.
September 29, 2019 2016049321302 Order Granting Consent Motion to Sequester Disciplinary Order 19-28
August 23, 2019 2018056848101 APPEALED: Thomas Lee Johnson Disciplinary Decision
August 22, 2019 2016050938301 Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer Disciplinary Decision
August 15, 2019 FPI190001 - FPI190002 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. Expedited Decision
August 15, 2019 FPI190005 Myron K. Gruenberg Expedited Decision
August 07, 2019 2017052871401 APPEALED: William James Potter Disciplinary Decision
August 07, 2019 2016051615301 APPEALED: Partho S. Ghosh Disciplinary Decision
August 01, 2019 2015045312501 Supplemental Order Re: Denial of Second Motion to Stay Disciplinary Order 19-27
July 11, 2019 2017052760001 APPEALED: Nancy Kimball Mellon Disciplinary Decision
July 10, 2019 2015045312501 Order Re: Discovery Disciplinary Order 19-26
July 08, 2019 2017054405401 Order Denying Respondent’s Request for Issuance of Request for Docs Disciplinary Order 19-25
July 01, 2019 2015045312501 Order Est. Procedures Re: Treatment of SAR Disciplinary Order 19-24
June 25, 2019 2016051493704 Omnibus Order on Pre-Hearing Motions Disciplinary Order 19-23
June 19, 2019 2016050957901 Innovation Partners, Order Granting Respondents’ Rules 9252 and 9253 Motions Disciplinary Order 19-22
June 19, 2019 2016050957901 Innovation Partners, Order Granting Enf’s M for Leave for Expert Testimony Disciplinary Order 19-21
June 14, 2019 2015047005801 APPEALED: Brian Colin Doherty Disciplinary Decision
June 14, 2019 2016048393501 Shopoff, Order Denying in Part and Granting in Part R’s Motion to Compel Prod of Metadata Disciplinary Order 19-20
June 05, 2019 2017053428201 APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez Disciplinary Decision
June 05, 2019 2016052104101 APPEALED: Devin Lamarr Wicker 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