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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.
March 04, 2019 2016050883001 Hayes, O. Governing PCI Disciplinary Order 19-07
March 04, 2019 2015047005801 Doherty, O. Granting M to Offer Telephone/Video Testimony Disciplinary Order 19-06
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 Re: Denial of Motion for Stay 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
November 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
November 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
October 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion Disciplinary Order 18-16
October 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
October 29, 2018 FPI180004 Jessica Bower Blake Expedited Decision
October 17, 2018 2015044782401 APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd. Disciplinary Decision
October 08, 2018 2016048912703 Order Denying Bruce Meyers’ Motion to Compel Disciplinary Order 18-15
September 14, 2018 2014039775501 James Randall Clay Disciplinary Decision
September 10, 2018 FPI180002 APPEALED: TMR Bayhead Securities Disciplinary Decision