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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|April 07, 2017||2012035284301||Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief.||Disciplinary Order||17-09|
|April 07, 2017||2015045601401||Katherine Ann White||Disciplinary Decision|
|March 21, 2017||2014038847602||Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017.||Disciplinary Order||17-08|
|March 21, 2017||2013035817701||Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits.||Disciplinary Order||17-07|
|March 21, 2017||2013035865303||APPEALED: Spencer Edwards, Inc. and Gordon Dihle||Disciplinary Decision|
|March 21, 2017||2014038847602||Order Denying Respondent’s Motion to Compel Discovery.||Disciplinary Order||17-06|
|March 17, 2017||2011029549201||Craig G. Langweiler||Disciplinary Decision|
|March 16, 2017||ARB160047||J. Thaddeus McGaffey||Expedited Decision|
|March 16, 2017||2015044921601||Order Denying Respondent’s Motion for Leave to Present Expert Testimony||Disciplinary Order||17-05|
|March 08, 2017||2015044921601||Order Denying Respondent’s Discovery Motion.||Disciplinary Order||17-04|
|March 03, 2017||2014039285401||APPEALED: Southeast, N.C., Inc. and Frank Harmon Black||Disciplinary Decision|
|February 24, 2017||2014042059701||Order Denying Respondent’s Motion for Permission to Offer Expert Testimony.||Disciplinary Order||17-03|
|February 09, 2017||2013035344201||Red River Securities, LLC and Brian Keith Hardwick||Disciplinary Decision|
|February 07, 2017||2014042291901||Order Denying Respondents’ Motion for Summary Disposition.||Disciplinary Order||17-02|
|January 30, 2017||2013037401001||Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence||Disciplinary Order||17-01|
|January 26, 2017||2012030738501||APPEALED: J.W. Korth and Company||Disciplinary Decision|
|January 11, 2017||2013037097602||Jeffery A. Vaughn||Disciplinary Decision|
|December 28, 2016||2014042690502||Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests.||Disciplinary Order||16-34|
|December 16, 2016||2014040876001||APPEALED: Kenneth J. Mathieson||Disciplinary Decision|
|December 14, 2016||2012033832501||APPEALED: Matthew D. Rubin||Disciplinary Decision|
|December 14, 2016||2015044823501||Order Denying Respondent Beyn’s Motion for Additional Discovery.||Disciplinary Order||16-33|
|December 13, 2016||2014040501801||Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer||Disciplinary Decision|
|December 12, 2016||2013036653301||Vincent Au||Disciplinary Decision|
|December 08, 2016||DFC160001||McBarron Capital, LLC||Expedited Decision|
|December 01, 2016||ARB160019||Michael David Schwartz||Expedited Decision|