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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 16, 2017||2015044921601||Order Denying Respondent’s Motion for Leave to Present Expert Testimony||Disciplinary Order||17-05|
|March 08, 2017||2015044921601||Order Denying Respondent’s Discovery Motion.||Disciplinary Order||17-04|
|March 03, 2017||2014039285401||APPEALED: Southeast, N.C., Inc. and Frank Harmon Black||Disciplinary Decision|
|February 24, 2017||2014042059701||Order Denying Respondent’s Motion for Permission to Offer Expert Testimony.||Disciplinary Order||17-03|
|February 09, 2017||2013035344201||Red River Securities, LLC and Brian Keith Hardwick||Disciplinary Decision|
|February 07, 2017||2014042291901||Order Denying Respondents’ Motion for Summary Disposition.||Disciplinary Order||17-02|
|January 30, 2017||2013037401001||Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence||Disciplinary Order||17-01|
|January 26, 2017||2012030738501||APPEALED: J.W. Korth and Company||Disciplinary Decision|
|January 11, 2017||2013037097602||Jeffery A. Vaughn||Disciplinary Decision|
|December 28, 2016||2014042690502||Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests.||Disciplinary Order||16-34|
|December 16, 2016||2014040876001||APPEALED: Kenneth J. Mathieson||Disciplinary Decision|
|December 14, 2016||2012033832501||APPEALED: Matthew D. Rubin||Disciplinary Decision|
|December 14, 2016||2015044823501||Order Denying Respondent Beyn’s Motion for Additional Discovery.||Disciplinary Order||16-33|
|December 13, 2016||2014040501801||Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer||Disciplinary Decision|
|December 12, 2016||2013036653301||Vincent Au||Disciplinary Decision|
|December 08, 2016||DFC160001||McBarron Capital, LLC||Expedited Decision|
|December 01, 2016||ARB160019||Michael David Schwartz||Expedited Decision|
|November 28, 2016||2013038770901||Ricky R. Moore||Disciplinary Decision|
|November 23, 2016||20080148227-02||Order Deferring Ruling on Joint Motion to Stay Proceedings.||Disciplinary Order||16-31|
|November 18, 2016||ARB160035||REMANDED: Keith Patrick Sequeira||Expedited Decision|
|November 14, 2016||2014040476901||Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information.||Disciplinary Order||16-30|
|November 11, 2016||2013035533701||APPEALED: Meyers Associates, L.P.||Disciplinary Decision|
|November 04, 2016||2014039839101||Order Granting Enforcement’s Motion for Partial Summary Disposition.||Disciplinary Order||16-29|
|November 04, 2016||2013038986001||APPEALED: Richard A. Riemer, Jr.||Disciplinary Decision|
|October 31, 2016||2014042524301||Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement.||Disciplinary Order||16-28|