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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.
December 03, 2015 ARB150048 Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action Expedited Order EXP15-03
December 01, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
November 18, 2015 2014040651301 Yaron Reuven Disciplinary Decision
November 06, 2015 2014041319201 APPEALED: Miguel Ortiz

Related Documents

Disciplinary Decision
October 29, 2015 2011025444501 APPEALED: Wood (Arthur W.) Company

Related Documents

Disciplinary Decision
October 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision
October 22, 2015 201203564701 Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 15-14
October 22, 2015 20100215720-01 eBX, LLC Disciplinary Decision
October 02, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
October 02, 2015 2013036799501 APPEALED: Michael Casas

Related Documents

Disciplinary Decision
October 01, 2015 2013035095301 Candace Jean Lee Disciplinary Decision
October 01, 2015 2013035344201 Protective Order Governing Personal Confidential Information Disciplinary Order 15-13
September 21, 2015 20080148227-02 Order Granting Respondents’ Preclusion Motion Disciplinary Order 15-12
September 15, 2015 2012033508702 APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus Disciplinary Decision
August 27, 2015 2012034934301 Wedbush Securities Inc. Disciplinary Decision
August 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
August 07, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
August 06, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
July 23, 2015 2012030527503 APPEALED: Thaddeus James North

Related Documents

Disciplinary Decision
July 17, 2015 2012034936101 APPEALED: Jeffrey D. Noard

Related Documents

Disciplinary Decision
July 10, 2015 2009017440201 APPEALED: Louis Ottimo

Related Documents

Disciplinary Decision
June 30, 2015 2012033128703 APPEALED: Brian Michael White Disciplinary Decision
June 29, 2015 20110263957-01 Jack Lawrence Howard Disciplinary Decision
June 26, 2015 2011030072301 Audra Lynn Lalley Disciplinary Decision
June 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision