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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.
June 16, 2015 2011025851501 APPEALED: KCD Financial, Inc.

Related Documents

Disciplinary Decision
June 08, 2015 ARB140066 Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
June 05, 2015 20140407790-01 Richard Francis Kenny, Jr. Disciplinary Decision
June 04, 2015 2011025444501 Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix

Related Documents

Disciplinary Order 15-10
May 21, 2015 2012032519101 APPEALED: Robert Earl Holaday

Related Documents

Disciplinary Decision
May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
May 04, 2015 2009016159110 Anthony Spagnolo, III Disciplinary Decision
May 04, 2015 2009016159111 Brian Sanders Disciplinary Decision
April 28, 2015 2012033351801 ; CALLED FOR REVIEW: Paolo Franca Iida

Related Documents

Disciplinary Decision
April 08, 2015 2010024522103 Order Denying Motion Pursuant to FINRA Rule 9234 Disciplinary Order 15-09
April 08, 2015 2011025622001 Order Denying Respondent's Motion for Leave to Permit Expert Testimony Disciplinary Order 15-08
April 02, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
April 02, 2015 2013036217601 Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 15-07
March 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash

Related Documents

Disciplinary Decision
March 30, 2015 2011025785602 Anthony Warren Thompson and TNP Securities, LLC Disciplinary Decision
March 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott

Related Documents

Disciplinary Decision
March 18, 2015 DFC140002 Order Granting Complainant's Motion to Dismiss Hearing Request Expedited Order EXP15-01
March 18, 2015 DFC140002 Order Granting Complainant’s Motion to Dismiss Hearing Request Disciplinary Order 15-01
March 17, 2015 2011027271901 Richard Blair Disciplinary Decision
March 12, 2015 FPI140011 Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky Expedited Decision, Rule 9550 Expedited Decisions
March 10, 2015 2011026788801 Keith Geary Disciplinary Decision
March 09, 2015 2012030724101 APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr.

Related Documents

Disciplinary Decision
February 23, 2015 2010024522103 Order Denying Respondents’ Motion Pursuant to Rule 9251 Disciplinary Order 15-02
February 13, 2015 2013036217601 Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony Disciplinary Order 15-03
February 03, 2015 2011025706401 Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony Disciplinary Order 15-04