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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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
March 22, 2022 2019061232601 APPEALED: Alpine Securities Corporation Disciplinary Decision
March 08, 2022 2019064813801 Supplemental Order Regarding Denial of Respondents’ Request for Postponement Disciplinary Order 22-06
March 03, 2022 2019060753502 Jason A. Wilk Disciplinary Decision - Default
March 02, 2022 2019060648701 Order Denying Respondent’s Motion to Dismiss Disciplinary Order 22-05
February 10, 2022 2018058537302 Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative Disciplinary Order 22-04
February 03, 2022 2021069496201 Lauren N. Scheible Disciplinary Decision - Default
January 31, 2022 2016048837401 Craig Stanton Norton Disciplinary Decision
January 31, 2022 2020065349803 Alon Zak Disciplinary Decision - Default
January 21, 2022 2020067814802 Order Directing Respondent to File Answer Compliant With FINRA Rule 9215 Disciplinary Order 22-03
January 13, 2022 2018058537302 Order Denying Respondent’s Motion to Postpone Hearing Dates Disciplinary Order 22-02
January 12, 2022 2018057235801 Omnibus Order on Pre-Hearing Motions and Objections Disciplinary Order 22-01
January 04, 2022 2018058611601 Joseph J. Weinrich Disciplinary Decision - Default
January 03, 2022 ARB210015 Jeanette S. Stofleth Expedited Decision
December 30, 2021 FPI210005 Darryl Matthew Cohen Expedited Decision
December 14, 2021 2019061528001 Order Denying Respondents’ Motion For a More Definite Statement Disciplinary Order 21-15
November 19, 2021 2019061941101 Michael J. Giovannelli Disciplinary Decision - Default
November 10, 2021 2018057274302 Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine Disciplinary Order 21-14
October 29, 2021 2018058798802 Blair Olsen Disciplinary Decision - Default
October 29, 2021 2018057235801 Order Granting in Part Respondent’s Motion for Continuance Disciplinary Order 21-13
October 28, 2021 2019061232601 Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek Disciplinary Order 21-12
October 21, 2021 ARB210010 Derek Rudolf D’Alonzo Expedited Decision
October 12, 2021 2016048837401 Order Granting Enforcement’s Request to Correct the Hearing Transcript Disciplinary Order 21-11
September 22, 2021 2020065292102 Elizabeth A. Sollars Disciplinary Decision - Default
September 07, 2021 2019062347102 Adam G. Belardino Disciplinary Decision - Default
September 07, 2021 2017053462401 APPEALED: Robert Henderson Disciplinary Decision