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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.
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy

Related Documents

Disciplinary Decision
May 10, 2012 2009017918001 Hearing Panel Decision in Department of Enforcement v. John D. Rausch Disciplinary Decision
May 03, 2012 20060053785-02 Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake

Related Documents

Disciplinary Decision
April 27, 2012 2008014969001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
April 05, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery

Related Documents

Disciplinary Order 12-02
April 04, 2012 20050007427 Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason Disciplinary Decision
April 02, 2012 2009019297801 Hearing Panel Decision in Department of Enforcement v. Dame Cisse Disciplinary Decision
March 30, 2012 2008015934801 Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky

Related Documents

Disciplinary Decision
March 29, 2012 2010021303301 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak

Related Documents

Disciplinary Decision
March 22, 2012 2009017439601 Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka

Related Documents

Disciplinary Decision
March 14, 2012 2009018771602 Order Denying Respondent’s Motion to Present Expert Witness

Related Documents

Disciplinary Order 12-01
March 09, 2012 20080117243 Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni Disciplinary Decision
February 23, 2012 2009018944001 Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II Disciplinary Decision
January 30, 2012 2007010902501 Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce

Related Documents

Disciplinary Decision
January 25, 2012 2008014285801 Hearing Panel Decision in Department of Enforcement v. Paul James Marshall Disciplinary Decision
December 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
December 30, 2011 2010021916601 Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen

Related Documents

Disciplinary Decision
December 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc.

Related Documents

Disciplinary Decision
December 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet

Related Documents

Disciplinary Decision
December 06, 2011 2009018819001 Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette Disciplinary Decision
November 22, 2011 20080138685 Hearing Panel Decision in Department of Enforcement v. Ron William Howell Disciplinary Decision
November 18, 2011 2007010580702 Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
November 08, 2011 2008014621701 Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr.

Related Documents

Disciplinary Decision
October 29, 2011 2010021627601 Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman Disciplinary Decision
October 17, 2011 2009018068701 Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt

Related Documents

Disciplinary Decision