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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|July 28, 2016||20120342425-01||Order Concerning Parties’ Motion for Leave to Present Expert Testimony||Disciplinary Order||16-20|
|July 25, 2016||FR160001||Merriman Capital Inc.||Expedited Decision|
|July 11, 2016||FPI160004||Fairbridge Capital Markets||Expedited Decision|
|June 28, 2016||2013038418201||Joseph N. Barnes, Sr.||Disciplinary Decision|
|June 10, 2016||2011030293503||APPEALED: Richard Gomez||Disciplinary Decision|
|June 03, 2016||2013035211801||APPEALED: David A. Elgart||Disciplinary Decision|
|June 03, 2016||2012030731802||APPEALED: William H. Murphy & Co., Inc. and William H. Murphy||Disciplinary Decision|
|May 24, 2016||2014043020901||Order Ruling on Witness Objections||Disciplinary Order||16-18|
|May 20, 2016||2013038333001||Order Denying Respondent’s Motion for Request for Documents and Information||Disciplinary Order||16-17|
|May 02, 2016||2014040968501||APPEALED: Ahmed Gadelkareem||Disciplinary Decision|
|April 27, 2016||2010020954501||APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan||Disciplinary Decision|
|April 18, 2016||2011027007901||APPEALED: Shashishekhar Doni||Disciplinary Decision|
|April 04, 2016||20120320803-01||APPEALED: Peter J. Auzers and Shiva Naby||Disciplinary Decision|
|March 30, 2016||2013036681701||Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery.||Disciplinary Order||16-15|
|March 25, 2016||2015044379701||Order Denying Rule 9252 Request||Disciplinary Order||16-14|
|March 23, 2016||2010024522103||APPEALED: Brett Ian Friedberg||Disciplinary Decision|
|March 18, 2016||2012034719701||APPEALED: Paul E. Taboada||Disciplinary Decision|
|March 11, 2016||2013038418201||Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents.||Disciplinary Order||16-12|
|March 10, 2016||2012031496501||Order Denying Respondents’ Motion for Partial Summary Disposition.||Disciplinary Order||16-11|
|March 04, 2016||2013036836801||Order Denying Respondent’s Rule 9252 Request||Disciplinary Order||16-10|
|March 04, 2016||2014040501801||Order Denying Respondents’ Motion for Summary Disposition||Disciplinary Order||16-09|
|March 03, 2016||2014040968501||Omnibus Order on Pre-Hearing Motions||Disciplinary Order||16-13|
|February 29, 2016||2014043020901||Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement||Disciplinary Order||16-07|
|February 29, 2016||2012034936005||APPEALED: David Joseph Escarcega||Disciplinary Decision|
|February 26, 2016||2014041724601||Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel||Disciplinary Order||16-16|