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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 08, 2014 2011030781201 Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer Disciplinary Order 14-07
December 02, 2014 2012030570301 Calvin B. Grigsby Disciplinary Decision
December 01, 2014 2011025676501 Order Granting, In Part, Motion for More Definite Statement Disciplinary Order 14-06
November 03, 2014 20110273503 Richard A. McGuire

Related Documents

Disciplinary Decision
October 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk

Related Documents

Disciplinary Decision
September 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents

Related Documents

Disciplinary Order 14-04
September 29, 2014 2013037332701 Dale Edward Para Disciplinary Decision
September 09, 2014 2011025617702 Order Denying Respondents’ Motion to Permit Expert Testimony Disciplinary Order 14-05
August 12, 2014 20100226015-01 Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock Disciplinary Decision
August 11, 2014 2009019042402 Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. Disciplinary Decision
August 05, 2014 2011027402201 ; CALLED FOR REVIEW: Raymond Thomas Clark Disciplinary Decision
July 16, 2014 2012033128703 Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information Disciplinary Order 14-02
July 08, 2014 2009020465801 Hearing Panel Decision in Department of Enforcement v. Keith D. Geary

Related Documents

Disciplinary Decision
July 08, 2014 2012032950101 Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler

Related Documents

Disciplinary Decision
July 03, 2014 20110275168-01 Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof Disciplinary Decision
June 25, 2014 2012034211301 Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed

Related Documents

Disciplinary Decision
June 17, 2014 2011026788801 Order Denying Summary Disposition Disciplinary Order 14-01
June 13, 2014 2010025350001 Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith

Related Documents

Disciplinary Decision
May 27, 2014 2011028003001 Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi Disciplinary Decision
May 16, 2014 2011028502101 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak

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Disciplinary Decision
May 08, 2014 2012031142101 Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. Disciplinary Decision
May 06, 2014 2010025181001 Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard

Related Documents

Disciplinary Decision
April 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley

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Disciplinary Decision
April 23, 2014 2011027993301 Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune

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Disciplinary Decision
March 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari

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Disciplinary Decision