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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.
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
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 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 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
November 28, 2016 2013038770901 Ricky R. Moore Disciplinary Decision