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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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
August 07, 2019 2017052871401 APPEALED: William James Potter Disciplinary Decision
August 06, 2019 2016049321302 Order Granting Respondent Forte’s Supplemental Motion for Leave to Offer Expert Testimony Disciplinary Order 19-31
August 01, 2019 2015045312501 Supplemental Order Re: Denial of Second Motion to Stay Disciplinary Order 19-27
August 01, 2019 2017054889201 James A. Paquette Disciplinary Decision - Default
July 11, 2019 2017052760001 APPEALED: Nancy Kimball Mellon Disciplinary Decision
July 10, 2019 2015045312501 Order Regarding Discovery Disciplinary Order 19-26
July 08, 2019 2017054405401 Order Denying Respondent William Kielczewshi’s Request for the Issuance of a Request for Documents Disciplinary Order 19-25
July 03, 2019 2017053982801 Vincent J. Storms Disciplinary Decision - Default
July 01, 2019 2015045312501 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 19-24
June 25, 2019 2016051493704 Omnibus Order on Pre-Hearing Motions Disciplinary Order 19-23
June 19, 2019 2016050957901 Order Granting Respondents’ Rules 9252 and 9253 Motions Disciplinary Order 19-22
June 14, 2019 2016048393501 Order Denying in Part and Granting in Part Respondents’ Motion to Compel Production of Metadata Disciplinary Order 19-20
June 14, 2019 2015047005801 APPEALED: Brian Colin Doherty Disciplinary Decision
June 05, 2019 2017053428201 APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez Disciplinary Decision
June 04, 2019 2016050137503 Order Denying Respondents’ Motion for More Definite Statement Disciplinary Order 19-19
May 28, 2019 2016048912703 Windsor Street Capital, et al. Disciplinary Decision - Default
May 14, 2019 2017053382401 Order on Enforcement’s Objections to Respondents’ Proposed Witness List and Exhibits and Motion in Limine Disciplinary Order 19-17
May 13, 2019 2017056071301 Stephen C. Carver Disciplinary Decision - Default
May 08, 2019 2016050938301 APPEALED: Michael J. Clarke Disciplinary Decision
May 07, 2019 2016051493704 Order on Respondent’s Motion Pursuant to Rule 9253 Disciplinary Order 19-16
May 03, 2019 FPI190001, FPI190002 Order Denying Respondents’ Motion to Conduct Hearing in Person, Regulatory Operations v. Alpine and Scotsdale Expedited Order EXP19-02
May 02, 2019 2015045312501 Order Granting Parties’ Motions for Leave to Permit Expert Testimony Disciplinary Order 19-15
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 05, 2019 2016050137503 Order Regarding Respondents’ Motion For Extension Of Time To Answer Disciplinary Order 19-13