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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 23, 2019 2015045312501 Order Directing Parties To Meet And Confer Disciplinary Order 19-14
April 11, 2019 2016050025401 Frederick David Holloway Disciplinary Decision
April 01, 2019 2016048393501 Order Granting Motion For Leave To File First Amended Complaint And Index To The First Amended Complaint Disciplinary Order 19-12
April 01, 2019 2016050137503 Order Regarding Respondents’ Motion For Extension Of Time To Answer Disciplinary Order 19-13
March 28, 2019 2016052503101 Order Denying Respondent’s Motion For Summary Disposition Disciplinary Order 19-11
March 13, 2019 2016052503101 Order Granting In Part And Denying In Part Respondent’s Rule 9252 Request Disciplinary Order 19-10
March 13, 2019 2017052760001 Order Regarding Respondent’s Pre-hearing Submissions Disciplinary Order 19-09
March 05, 2019 2013035345701 APPEALED: Titan Securities, Brad Brooks and Richard Demetriou Disciplinary Decision
March 04, 2019 2015047005801 Doherty, O. Granting M to Offer Telephone/Video Testimony Disciplinary Order 19-06
March 04, 2019 2016050883001 Hayes, Notice of Rec of Answ, O. Setting IPHC Disciplinary Order 19-08
March 04, 2019 2016050883001 Hayes, O. Governing PCI Disciplinary Order 19-07
March 01, 2019 2016051493704 Reyes, O. Granting DOE’s M for Rule-Compliant Answ. Disciplinary Order 19-05
February 28, 2019 2016048393501 Shopoff, Order Req Cert of Compliance Under Rule 9910 Disciplinary Order 19-04
February 15, 2019 2015045312501 Supplemental Order Regarding Denial Of Motion For Stay Of Proceedings Disciplinary Order 19-18
February 07, 2019 ARB180031 Robert Jay Pincus Expedited Decision
January 30, 2019 2015047005801 Doherty, Order Denying/Granting DOE’s Summ Dis Motion/Strike Defense Disciplinary Order 19-03
January 29, 2019 2014042606902 APPEALED: Silver Leaf Partners, LLC Disciplinary Decision
January 29, 2019 2014043863001 APPEALED: Peter Orlando Disciplinary Decision
January 25, 2019 ARB180037 Order Denying Motion to Dismiss; Expedited Order EXP19‐01
January 09, 2019 2016050938301 Clarke, Order Granting DOE’s Motion to Amend Exhibit List Disciplinary Order 19-02
January 09, 2019 2016050938301 Clarke, Order Granting Motion Re: Sequestration Disciplinary Order 19-01
January 02, 2019 2015043646501 APPEALED: CSSC Brokerage Services, Inc. Disciplinary Decision
November 29, 2018 2014041860801 APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler Disciplinary Decision
November 23, 2018 2017052871401 Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 Disciplinary Order 18-21
November 14, 2018 2014041862701 APPEALED: Spencer Edwards, Inc. Disciplinary Decision