For updates and guidance related to COVID-19 / Coronavirus, click here.
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.|
|June 12, 2018||2014043863001||Order Requiring the Department of Enforcement to File a Sworn Declaration||Disciplinary Order||18-18|
|May 03, 2018||2014039775501||Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses||Disciplinary Order||18-08|
|May 03, 2018||2014039775501||Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits||Disciplinary Order||18-09|
|May 02, 2018||2014041860801||Omnibus Order on Pre-Hearing Motions||Disciplinary Order||18-07|
|April 30, 2018||201404186800||APPEALED: Dennis A. Mehringer, Jr.||Disciplinary Decision|
|April 25, 2018||2015046971701||Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony||Disciplinary Order||18-04|
|April 24, 2018||2014041860801||Order Granting in Part and Denying in Part Renewed Motion to Compel.||Disciplinary Order||18-06|
|April 11, 2018||2014040761001||Amended Order Denying Respondent’s Motion for Partial Summary Disposition||Disciplinary Order||18-01|
|April 05, 2018||2015044600801||Gerard Chandler Gremillion||Disciplinary Decision|
|April 02, 2018||2015047069701||Order Granting in Part and Denying in Part Enforcement’s Motion In Limine and to Strike Portions of Respondent’s Pre-Hearing Brief and Related Evidence||Disciplinary Order||18-17|
|March 20, 2018||2015046971701||Order Granting Motion to Allow De Bene Esse Deposition||Disciplinary Order||18-11|
|March 14, 2018||2016052347901||APPEALED: Austin Wayne Morton||Disciplinary Decision|
|March 05, 2018||2015047154001||Order Denying Respondent’s Motion for Admission of Additional Exhibits||Disciplinary Order||18-10|
|February 27, 2018||2012032731802||APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley||Disciplinary Decision|
|February 27, 2018||2015045254501||APPEALED: Richard O. White||Disciplinary Decision|
|February 14, 2018||2016049420501||Second Order Rescheduling Initial Pre-Hearing Conference||Disciplinary Order||18-02|
|February 06, 2018||DFC170004||APPEALED: Dakota Securities International, Inc.||Expedited Decision|
|February 02, 2018||2015046759201||APPEALED: Todd B. Wyche||Disciplinary Decision|
|January 11, 2018||2015047069701||Case Management and Scheduling Order||Disciplinary Order||18-13|
|January 10, 2018||2014041860801||Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike||Disciplinary Order||18-05|
|January 10, 2018||2014042606902||Order Granting Enforcement’s Motion for Rule-Compliant Answer||Disciplinary Order||18-03|
|January 10, 2018||2014041862701||Case Management and Scheduling Order||Disciplinary Order||18-12|
|January 08, 2018||2014043869901||Jeffrey E. Krupnick||Disciplinary Decision|
|December 27, 2017||2015045456401||APPEALED: David O. Braeger||Disciplinary Decision|
|December 21, 2017||ARB160035||APPEALED: Keith Patrick Sequeira||Expedited Decision|