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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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. |
|---|---|---|---|---|
| August 17, 2021 | ARB210008 | Leslie George Markus, Jr. | Expedited Decision | |
| August 17, 2021 | ARB210003 | Henrique David Lucena | Expedited Decision | |
| August 09, 2021 | 2018060379701 | Frank V. Sapareto | Disciplinary Decision - Default | |
| July 29, 2021 | ARB210008 | Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits | Expedited Order | EXP21-01 |
| July 26, 2021 | 2020068395801 | Hugues Guirand | Disciplinary Decision - Default | |
| July 23, 2021 | 2018056436001 | Integrity Brokerage Services, Inc. and Joshua Helmle | Disciplinary Decision | |
| July 23, 2021 | ARB210004 | Gary J. Helbling | Expedited Decision | |
| July 22, 2021 | 2019064313901 | Paramveer Singh | Disciplinary Decision | |
| July 08, 2021 | 2019061187102 | Ji Jun Yang | Disciplinary Decision - Default | |
| July 07, 2021 | 2021070337401 | Kishan Parikh | Disciplinary Decision - Default | |
| July 01, 2021 | 2016048837401 | Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses | Disciplinary Order | 21-10 |
| June 29, 2021 | 2019063570502 | APPEALED: Matthew R. Logan | Disciplinary Decision | |
| June 03, 2021 | 2018058924502 | APPEALED: Adam James Makkai | Disciplinary Decision | |
| May 27, 2021 | 2017052701101 | James W. Flower | Disciplinary Decision | |
| May 20, 2021 | 2016048837401 | Amended Order Regarding Review and Redaction of Exhibits | Disciplinary Order | 21-09 |
| May 19, 2021 | 2017052867301 | APPEALED: Mercer Hicks III | Disciplinary Decision | |
| May 19, 2021 | 2019064313901 | Order Sustaining Respondent Paramveer Singh’s Objection to the Admission of CX-30 into Evidence | Disciplinary Order | 21-08 |
| May 18, 2021 | 2018058588501 | APPEALED: Christopher Peter Tranchina | Disciplinary Decision | |
| April 27, 2021 | 2020065128501 | Wilfredo Felix | Disciplinary Decision - Default | |
| March 31, 2021 | 2020066608501 | Gregory J. Mancuso | Disciplinary Decision - Default | |
| March 26, 2021 | 2017056627801 | Charles T. Stevens | Disciplinary Decision - Default | |
| March 15, 2021 | 2016048837401 | Order Granting Respondents’ Motion to Continue Hearing | Disciplinary Order | 21-06 |
| March 15, 2021 | 2016048837401 | Order Converting Hearing to Video Conference if Necessary | Disciplinary Order | 21-07 |
| March 01, 2021 | 2019064313901 | Order Denying Without Prejudice Respondent’s Motion for a Stay Pursuant to FINRA Rule 9222 | Disciplinary Order | 21-05 |
| February 18, 2021 | 2015045257501 | APPEALED: Ricky Alan Mantei | Disciplinary Decision |