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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.
February 14, 2014 2012032997201 Hearing Panel Decision in Department of Enforcement v. Stephen Grivas

Related Documents

Disciplinary Decision
February 07, 2014 2009017899801 Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson

Related Documents

Disciplinary Decision
January 28, 2014 2011026664301 Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. Disciplinary Decision
January 24, 2014 2010023218601 Order Denying Respondent’s Discovery Motions. Disciplinary Order 14-03
January 23, 2014 2011029619301 Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo

Related Documents

Disciplinary Decision
January 21, 2014 2011029227701 Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee Disciplinary Decision
December 31, 2013 2008011675301 Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero Disciplinary Decision
December 27, 2013 2011025506901 Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach Disciplinary Decision
December 17, 2013 20110269351 Hearing Panel Decision in Department of Market Regulation v. John Cherry III

Related Documents

Disciplinary Decision
December 12, 2013 20090209629-01 Hearing Panel Decision in Department of Enforcement v. Jason Blum Disciplinary Decision
December 10, 2013 2011026874301 Hearing Panel Decision in Department of Enforcement v. William L. Tatro Disciplinary Decision
November 19, 2013 2009017195204 Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc.

Related Documents

Disciplinary Decision
November 08, 2013 20090207019-01 Hearing Panel Decision in Department of Enforcement v. Respondent. Redacted Decision
November 05, 2013 2009019108901 Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris

Related Documents

Disciplinary Decision
October 15, 2013 2010024917601 Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta Disciplinary Decision
October 07, 2013 20080150419 Extended Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
September 27, 2013 20120321124-01 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Disciplinary Decision
September 27, 2013 2011025591601 Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith. Disciplinary Decision
September 19, 2013 2009016317701 Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel

Related Documents

Disciplinary Decision
September 19, 2013 2011025957702 Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen

Related Documents

Disciplinary Decision
August 13, 2013 2009016159102 Amended Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
July 18, 2013 2010024271001 Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes Disciplinary Decision
June 28, 2013 2009018818101 Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia Disciplinary Decision
June 20, 2013 2009016034101 Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey.

Related Documents

Disciplinary Decision
June 18, 2013 FPI130001 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Expedited Decision, Rule 9550 Expedited Decisions