For updates and guidance related to COVID-19 / Coronavirus, click here.
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.|
|February 06, 2018||DFC170004||APPEALED: Dakota Securities International, Inc.||Expedited Decision|
|February 02, 2018||2015046759201||APPEALED: Todd B. Wyche||Disciplinary Decision|
|January 11, 2018||2015047069701||Case Management and Scheduling Order||Disciplinary Order||18-13|
|January 10, 2018||2014041862701||Case Management and Scheduling Order||Disciplinary Order||18-12|
|January 10, 2018||2014041860801||Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike||Disciplinary Order||18-05|
|January 10, 2018||2014042606902||Order Granting Enforcement’s Motion for Rule-Compliant Answer||Disciplinary Order||18-03|
|January 08, 2018||2014043869901||Jeffrey E. Krupnick||Disciplinary Decision|
|December 27, 2017||2015045456401||APPEALED: David O. Braeger||Disciplinary Decision|
|December 21, 2017||ARB160035||APPEALED: Keith Patrick Sequeira||Expedited Decision|
|December 20, 2017||2016047565702||Order Regarding Motion for Order Directing Zipper to File a Proper Answer||Disciplinary Order||17-22|
|December 17, 2017||2014041860801||Case Management and Scheduling Order||Disciplinary Order||17-27|
|December 15, 2017||2013037522501||APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian||Disciplinary Decision|
|December 14, 2017||ARB170025||Matthew Grady||Expedited Decision|
|December 08, 2017||2013039306601||Michael Timothy Dolan||Disciplinary Decision|
|December 01, 2017||2014039775501||Case Management and Scheduling Order||Disciplinary Order||17-26|
|November 21, 2017||2013037522501||Order Adding Additional Exhibit into Evidentiary Record||Disciplinary Order||17-21|
|November 13, 2017||2015047154001||Order Denying Respondent’s Amended Motion to Grant Expert Testimony||Disciplinary Order||17-19|
|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 08, 2017||2014040809501||Eddie Basora, Jr.||Disciplinary Decision|
|November 08, 2017||2014041985401||APPEALED: James Larkin Powers||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|