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.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| June 14, 2023 | 2018057297102 | Order Denying Respondent’s Motion to Disqualify Enforcement Counsel | Disciplinary Order | 23-21 |
| June 12, 2023 | 2019061528001 | Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents Pursuant to FINRA Rule 9285 | Disciplinary Order | 23-20 |
| June 06, 2023 | ARB230003 | Trevor Michael Perry | Expedited Decision | |
| June 06, 2023 | 2021071137001 | Order Establishing Procedures Regarding Treatment of SAR Information | Disciplinary Order | 23-19 |
| June 06, 2023 | 2019061528001 | Order Denying Respondents’ Request for Oral Argument on Enforcement’s Pending Rule 9285 Motion for Conditions and Restrictions | Disciplinary Order | 23-18 |
| June 02, 2023 | 2021070337501 | Order Denying Respondent’s Motion in Limine | Disciplinary Order | 23-17 |
| May 26, 2023 | 2021070337501 | Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony | Disciplinary Order | 23-16 |
| May 16, 2023 | 2021072142202 | Roger L. Arnold | Disciplinary Decision - Default | |
| April 13, 2023 | ARB220023 | Timothy P. Henry | Expedited Decision | |
| March 28, 2023 | 97002201 | Allied Millennial Partners, LLC and Daniel Peter Solakian | Rule 9700 Decision | |
| March 28, 2023 | 2019061528001 | APPEALED: Spartan Capital Securities LLC, John D. Lowry, and Kim M. Monchick | Disciplinary Decision | |
| March 23, 2023 | 2018057297102 | Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates | Disciplinary Order | 23-15 |
| March 17, 2023 | 2019061942901 | Order Directing Respondent to File a Rule-Compliant Answer | Disciplinary Order | 23-14 |
| March 13, 2023 | 97002201 | Order Granting Motion to Dismiss and Decision | Expedited Order | EXP23-13 |
| March 13, 2023 | 2017055886402 | Order Regarding Cantone Respondents’ Motion for Clarification | Disciplinary Order | 23-12 |
| February 28, 2023 | 97002201 | Order Granting In Part and Denying In Part Enforcement’s Motion to Continue Hearing Date | Expedited Order | EXP23-10 |
| February 28, 2023 | 2021071137001 | Order Granting Enforcement’s Motion for Leave to Offer Expert Testimony |
Disciplinary Order | 23-11 |
| February 21, 2023 | 2017055886402 | Order Granting the Department of Enforcement’s Motion to Present Testimony by Videoconference or Telephone | Disciplinary Order | 23-07 |
| February 21, 2023 | 2017055886402 | Order Sustaining One of Respondents’ Objections to the Department of Enforcement’s Proposed Exhibits and Overruling Other Objections | Disciplinary Order | 23-08 |
| February 21, 2023 | 2017055886402 | Order Rejecting Respondents’ Pre-Hearing Objections to the Department of Enforcement’s Proposed Witnesses and Denying Respondent’s Motion in Limine | Disciplinary Order | 23-06 |
| February 21, 2023 | 2017055886402 | Order Denying the Department of Enforcement’s Objection to One of Respondents’ Witnesses, but Imposing Certain Requirements on Respondents | Disciplinary Order | 23-09 |
| February 09, 2023 | 2020066627202 | Order Regarding Pre-Hearing Objections and Motion in Limine | Disciplinary Order | 23-05 |
| February 08, 2023 | 2021070337501 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9253 | Disciplinary Order | 23-03 |
| February 08, 2023 | 2021071137001 | Order Denying Respondents’ Discovery Requests | Disciplinary Order | 23-04 |
| January 13, 2023 | 2020066627202 | Order Denying Respondent’s Motion for Summary Disposition | Disciplinary Order | 23-01 |