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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| December 22, 2014 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision | |
| December 10, 2014 | 2011026386001 | Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates | Disciplinary Order | 14-08 |
| 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 | Disciplinary Decision | |
| October 13, 2014 | 2010022977801 | Ameriprise Financial Services, Inc. and David B. Tysk | Disciplinary Decision | |
| September 30, 2014 | 2012032519101 | Order Denying Respondent’s Motion for Production of 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 | Disciplinary Decision | |
| July 08, 2014 | 2012032950101 | Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler | 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 | 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 | 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 | 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 | Disciplinary Decision | |
| April 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision |