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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.
November 21, 2017 2013037522501 Order Adding Additional Exhibit into Evidentiary Record Disciplinary Order 17-21
November 13, 2017 2013035345701 Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List Disciplinary Order 17-20
November 13, 2017 2015047154001 Order Denying Respondent’s Amended Motion to Grant Expert Testimony Disciplinary Order 17-19
November 08, 2017 2014041985401 APPEALED: James Larkin Powers Disciplinary Decision
November 08, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
November 06, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
October 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
October 03, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
October 02, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
September 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision
September 08, 2017 2013035740901 Order Denying Respondents’ Motion for Summary Disposition Disciplinary Order 17-18
September 06, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller Disciplinary Decision
September 05, 2017 2016051925301 Order Granting Motion Regarding Witness Sequestration Disciplinary Order 17-16
September 05, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony Disciplinary Order 17-17
August 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
August 22, 2017 2015047303901 Case Management and Scheduling Order Disciplinary Order 17-25
August 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
August 09, 2017 2015044782401 Case Management and Scheduling Order Disciplinary Order 17-24
August 02, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
July 31, 2017 2015044823501 & 2015044823502 APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges Disciplinary Decision
July 27, 2017 2013035345701 Order Denying Motion For Dismissal Disciplinary Order 17-15
July 14, 2017 2014042156101 William Morgan Ditty Disciplinary Decision
July 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
June 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
June 16, 2017 2013037709301 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 17-13