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 04, 2015 | 2009016159110 | Anthony Spagnolo, III | Disciplinary Decision | |
| May 04, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| April 28, 2015 | 2012033351801 | ; CALLED FOR REVIEW: Paolo Franca Iida | Disciplinary Decision | |
| April 08, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | Disciplinary Order | 15-08 |
| April 08, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | Disciplinary Order | 15-09 |
| April 02, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 15-07 |
| April 02, 2015 | 2012034045101 | Charles H. Melvin, Jr. | Disciplinary Decision | |
| March 31, 2015 | 2011027666902 | APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash | Disciplinary Decision | |
| March 30, 2015 | 2011025785602 | Anthony Warren Thompson and TNP Securities, LLC | Disciplinary Decision | |
| March 30, 2015 | 2011025675501 | APPEALED: Kimberly Springsteen-Abbott | Disciplinary Decision | |
| March 18, 2015 | DFC140002 | Order Granting Complainant’s Motion to Dismiss Hearing Request | Disciplinary Order | 15-01 |
| March 18, 2015 | DFC140002 | Order Granting Complainant's Motion to Dismiss Hearing Request | Expedited Order | EXP15-01 |
| March 17, 2015 | 2011027271901 | Richard Blair | Disciplinary Decision | |
| March 12, 2015 | FPI140011 | Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 10, 2015 | 2011026788801 | Keith Geary | Disciplinary Decision | |
| March 09, 2015 | 2012030724101 | APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr. | Disciplinary Decision | |
| February 23, 2015 | 2010024522103 | Order Denying Respondents’ Motion Pursuant to Rule 9251 | Disciplinary Order | 15-02 |
| February 13, 2015 | 2013036217601 | Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony | Disciplinary Order | 15-03 |
| February 03, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | Disciplinary Order | 15-04 |
| January 27, 2015 | 2012034936005 | Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion | Disciplinary Order | 15-05 |
| January 20, 2015 | 2011028647101 | John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler | Disciplinary Decision | |
| January 09, 2015 | 20120334673-01 | Department of Enforcement v. John Thomas Financial, Inc. | Disciplinary Decision | |
| December 30, 2014 | 20080148227-02 | Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement | Disciplinary Order | 14-09 |
| December 30, 2014 | 2009020941801 | APPEALED: Lek Securities Corporation and Samuel Frederik Lek | Disciplinary Decision | |
| December 22, 2014 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision |