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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.
January 25, 2013 2009017798902 Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 Redacted Decision
January 18, 2013 2010023044101 Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci Disciplinary Decision
January 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker

Related Documents

Disciplinary Decision
January 04, 2013 FPI120005 Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein Expedited Decision, Rule 9550 Expedited Decisions
January 04, 2013 2010023349601 Hearing Panel Decision in Department of Enforcement v. Denise M. Olson

Related Documents

Disciplinary Decision
January 02, 2013 2009019108901 Order Denying Motion by Respondent 1 for an Extension of Time – Hearing

Related Documents

Disciplinary Order 13-01
December 17, 2012 2009020081301 Amended Hearing Panel Decision in Department of Enforcement v. William M. Somerindyke, Jr. and Respondent 2 Disciplinary Decision
December 06, 2012 FPI120012 Hearing Panel Decision in Department of Enforcement v. Steven Barbot Expedited Decision, Rule 9550 Expedited Decisions
November 30, 2012 20100248883-01 Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama Disciplinary Decision
November 19, 2012 2009018377601 Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock Disciplinary Decision
November 09, 2012 2010020846601 Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony Disciplinary Order 12-07
November 01, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay

Related Documents

Disciplinary Decision
October 25, 2012 2008016437801 Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III

Related Documents

Disciplinary Decision
October 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
October 23, 2012 2011026664301 Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer Disciplinary Order 12-06
October 22, 2012 2010025132201 Hearing Panel Decision in Department of Enforcement v. Amy Siesennop Disciplinary Decision
October 17, 2012 2010024320101 Order to Provide Verification in Support of Request for Continuance of Hearing Disciplinary Order 12-05
October 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
September 28, 2012 2009019837302 Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier

Related Documents

Disciplinary Decision
September 28, 2012 2008012925001 Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel

Related Documents

Disciplinary Decision
September 18, 2012 2008014015901 Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare Disciplinary Decision
August 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents Disciplinary Order 12-04
August 28, 2012 2008013863702 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
August 23, 2012 2008015617902 Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow Disciplinary Decision
August 02, 2012 20070094044 Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush

Related Documents

Disciplinary Decision