Office of Hearing Officers’ Decisions and Orders
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. |
|---|---|---|---|---|
| August 05, 2016 | ARB160012 | Fairbridge Capital Markets | Expedited Decision | |
| August 04, 2016 | FPI160002 | Robert DePalo | Expedited Decision | |
| August 02, 2016 | FPI160006 | Dawn Bennett | Expedited Decision | |
| July 28, 2016 | 2013035817701 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 16-19 |
| 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 | |
| July 08, 2016 | 2013038398401 | Winston Wade Turner | Disciplinary Decision - Default | |
| June 28, 2016 | 2013038418201 | Joseph N. Barnes, Sr. | Disciplinary Decision | |
| June 17, 2016 | 2014040437703 | Anthony Ogbonna | Disciplinary Decision - Default | |
| June 10, 2016 | 2011030293503 | APPEALED: Richard Gomez | Disciplinary Decision | |
| June 09, 2016 | 2015044444801 | Glenn R. King | Disciplinary Decision - Default | |
| June 07, 2016 | 2015045409001 | Harvey B. Vaughn, Jr. | Disciplinary Decision - Default | |
| June 06, 2016 | 2013037857001 | David C. Cannata | Disciplinary Decision - Default | |
| 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 13, 2016 | 2015044145201 | Carlton I. Phelps | Disciplinary Decision - Default | |
| May 09, 2016 | 2015047966701 | Eric Kuchel | Disciplinary Decision - Default | |
| May 04, 2016 | 2014041252402 | Kevin A. Busto |
Disciplinary Decision - Default | |
| May 02, 2016 | 2014040968501 | APPEALED: Ahmed Gadelkareem | Disciplinary Decision | |
| April 28, 2016 | 2013036874901 | David Michael Miller | Disciplinary Decision - Default | |
| April 27, 2016 | 2010020954501 | APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan | Disciplinary Decision | |
| April 19, 2016 | 2014042547601 | Michel Lavelanet | Disciplinary Decision - Default |