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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.|
|March 01, 2019||2016051493704||Order Granting in Part Enforcement’s Motion for Rule-Compliant Answer||Disciplinary Order||19-05|
|February 28, 2019||2016048393501||Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference and Requiring Certificate of Compliance with FINRA Rule 9910||Disciplinary Order||19-04|
|February 15, 2019||2015045312501||Supplemental Order Regarding Denial of Motion for Stay of Proceedings||Disciplinary Order||19-18|
|January 30, 2019||2015047005801||Order Denying Enforcement’s Motion for Summary Disposition and Granting in Part and Denying in Part Motion to Strike Affirmative Defense||Disciplinary Order||19-03|
|January 29, 2019||2014042606902||APPEALED: Silver Leaf Partners, LLC||Disciplinary Decision|
|January 29, 2019||2014043863001||APPEALED: Peter Orlando||Disciplinary Decision|
|January 25, 2019||ARB180037||Order Denying Motion to Dismiss;||Expedited Order||EXP19‐01|
|January 09, 2019||2016050938301||Order Granting Department of Enforcement’s Unopposed Motion Regarding Sequestration||Disciplinary Order||19-01|
|January 09, 2019||2016050938301||Order Granting Department of Enforcement’s Motion For Leave to Amend its Exhibit List||Disciplinary Order||19-02|
|January 02, 2019||2015043646501||APPEALED: CSSC Brokerage Services, Inc.||Disciplinary Decision|
|November 29, 2018||2014041860801||APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler||Disciplinary Decision|
|November 23, 2018||2017052871401||Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253||Disciplinary Order||18-21|
|November 14, 2018||2014041862701||APPEALED: Spencer Edwards, Inc.||Disciplinary Decision|
|November 13, 2018||2016050205901||APPEALED: Charles A. Laverty||Disciplinary Decision|
|November 12, 2018||2015047303901||APPEALED: Kyle P. Harrington and Linda C. Milberger||Disciplinary Decision|
|October 31, 2018||2016050025401||Order Granting in Part Enforcement’s Pre-Hearing Motion||Disciplinary Order||18-16|
|October 30, 2018||2015046971701||Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.)||Disciplinary Decision|
|October 29, 2018||FPI180004||Jessica Bower Blake||Expedited Decision|
|October 17, 2018||2015044782401||APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd.||Disciplinary Decision|
|October 08, 2018||2016048912703||Order Denying Bruce Meyers’ Motion to Compel||Disciplinary Order||18-15|
|September 14, 2018||2014039775501||James Randall Clay||Disciplinary Decision|
|September 10, 2018||FPI180002||APPEALED: TMR Bayhead Securities||Disciplinary Decision|
|August 21, 2018||2016050938301||Order Permitting Parties to Serve Pleadings||Disciplinary Order||18-20|
|August 07, 2018||2016050924601||APPEALED: Bradley C. Reifler||Disciplinary Decision|
|August 01, 2018||2016050025401||Order Granting Motion for Leave to File Second Amended Complaint||Disciplinary Order||18-14|