Office of Hearing Officers | FINRA.org

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.

Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
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 22, 2017 2014041724602 Eric Joseph Miller Disciplinary Decision - Default
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
February 03, 2017 2012034242501 Collard, Araiz & Further Lane Securities Disciplinary Decision - Default
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
January 10, 2017 2015045532002 Samuel McClain Disciplinary Decision - Default
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 2015044823501 Order Denying Respondent Beyn’s Motion for Additional Discovery. Disciplinary Order 16-33
December 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
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 06, 2016 2015047559201 Michael Lavolpe Disciplinary Decision - Default
December 06, 2016 2014043420401 Bo Li Disciplinary Decision - Default
December 06, 2016 2012034139101 Christopher Ariola Disciplinary Decision - Default
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