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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.
June 18, 2013 FPI130001 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Expedited Decision, Rule 9550 Expedited Decisions
June 12, 2013 2011025780101 Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents Disciplinary Order 13-05
June 11, 2013 2010024062601 Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen Disciplinary Decision
June 03, 2013 2009019042402 Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez Disciplinary Order 13-04
May 30, 2013 2010024889501 Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP

Related Documents

Disciplinary Decision
May 02, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. Disciplinary Order 13-06
May 02, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents Disciplinary Order 13-03
April 15, 2013 2011030192201 Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III

Related Documents

Disciplinary Decision
April 04, 2013 20070094013 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
March 21, 2013 2010024837301 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision
March 21, 2013 2009017527501 Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson

Related Documents

Disciplinary Decision
March 15, 2013 2010021621201 Hearing Panel Decision in Department of Enforcement v. Michael Pino

Related Documents

Disciplinary Decision
March 15, 2013 20080127674, 20080133768 Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris Disciplinary Decision
March 13, 2013 2011026874301 Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense Disciplinary Order 13-02
March 12, 2013 2011025674101 Hearing Panel Decision in Department of Enforcement v. Shlomi S. Eplboim

Related Documents

Disciplinary Decision
March 04, 2013 2008013864401 Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3 Disciplinary Decision
February 26, 2013 2010024320101 Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler Disciplinary Decision
February 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc.

Related Documents

Disciplinary Decision
February 19, 2013 2011029152401 Hearing Panel Decision in Department of Enforcement v. William B. Smith Disciplinary Decision
January 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
January 18, 2013 2010023044101 Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci Disciplinary Decision
January 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker

Related Documents

Disciplinary Decision
January 04, 2013 FPI120005 Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein Expedited Decision, Rule 9550 Expedited Decisions
January 04, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson

Related Documents

Disciplinary Decision
January 02, 2013 2009019108901 Order Denying Motion by Respondent 1 for an Extension of Time – Hearing

Related Documents

Disciplinary Order 13-01