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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|January 31, 2020||2018059510201||Order Governing Post-Hearing Briefing||Disciplinary Order||20-03|
|January 21, 2020||2017054405401||Order Regarding Filing Transcript Of Voice Message||Disciplinary Order||20-01|
|January 21, 2020||2017054405401||Order Governing Withdrawal Of Certain Admitted Exhibits That Were Admitted||Disciplinary Order||20-02|
|December 20, 2019||2016048921102||Order Granting Motion to Withhold From Production Documents Outside the Scope of This Proceeding||Disciplinary Order||19-37|
|December 19, 2019||2017055608101||APPEALED: Kapil Maheshwari||Disciplinary Decision|
|December 17, 2019||2016051493704||APPEALED: Jorge A. Reyes||Disciplinary Decision|
|December 05, 2019||2015045257501||Order Granting Motion to Withhold Certain Emails||Disciplinary Order||19-36|
|November 29, 2019||2017054405401||Order Granting Enforcement’s Motion in Limine||Disciplinary Order||19-35|
|November 11, 2019||ARB190024||Jonathan R. Lake||Expedited Decision|
|November 06, 2019||2018059510201||Case Management and Scheduling Order||Disciplinary Order||19-29|
|November 01, 2019||FPI190006||KJM Securities||Expedited Decision|
|October 04, 2019||FPI190006||Order Permitting Parties To Oppose Or Otherwise Comment Upon The Hearing Officer’s Proposal To Take Official Notice||Expedited Order||EXP19-03|
|October 02, 2019||2016048837401||Order Establishing Procedures Regarding Treatment of SAR Information||Disciplinary Order||19-34|
|September 19, 2019||2016049321302||Order Granting Consent Motion to Sequester||Disciplinary Order||19-28|
|September 12, 2019||2018059545201||Case Management and Scheduling Order||Disciplinary Order||19-30|
|September 03, 2019||2016048393501||Order Requiring Certification of Compliance with FINRA Rule 9910||Disciplinary Order||19-33|
|August 23, 2019||2015045312501||Order Following Pre-Hearing Conference||Disciplinary Order||19-32|
|August 23, 2019||2018056848101||APPEALED: Thomas Lee Johnson||Disciplinary Decision|
|August 22, 2019||2017053382401||Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer||Disciplinary Decision|
|August 15, 2019||FPI190001 - FPI190002||Alpine Securities Corp. and Scottsdale Capital Advisors Corp.||Expedited Decision|
|August 15, 2019||FPI190005||Myron K. Gruenberg||Expedited Decision|
|August 07, 2019||2016051615301||APPEALED: Partho S. Ghosh||Disciplinary Decision|
|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|