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.

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.
September 30, 2024 2023078168101 Tavic O. Francis Disciplinary Decision - Default
September 20, 2024 2018056490310 Thomas J. Baumann Disciplinary Decision - Default
September 13, 2024 2023077591501 Gary F. Harpe Disciplinary Decision - Default
September 10, 2024 2022076149301 Order Granting, in Part, and Denying, in Part, Enforcement’s Motion to Permit Videoconference Testimony Disciplinary Order 24-25
August 28, 2024 202006607903 APPEALED: Jose L. Centeno Disciplinary Decision
August 23, 2024 2018056490311 Stephen James Sullivan Disciplinary Decision - Default
August 16, 2024 2018060128401 Michael Charles Grande Disciplinary Decision - Default
August 15, 2024 2018057297102 APPEALED: Mark Sam Kolta Disciplinary Decision
August 14, 2024 2022073772701 Order Deferring Ruling on Enforcement’s Objections to Exhibits and Witnesses Disciplinary Order 24-23
August 14, 2024 2022073772701 Order Granting Enforcement’s Consent Motion for Witness Sequestration Disciplinary Order 24-24
August 09, 2024 ARB240010 Order Denying Respondent’s Fifth Motion for Continuance of Hearing Expedited Order EXP24-1
August 06, 2024 ARB240008 John Lawrence Davis Expedited Decision
August 05, 2024 2019064508802 Order Denying Respondent’s Motion to Attach Appendix to Post-Hearing Brief Disciplinary Order 24-22
July 08, 2024 ARB240001 Jason Malcom Pirnie Expedited Decision
July 01, 2024 2019064333401 Order Granting Enforcement’s Motion to Permit Testimony by Videoconference or Telephone Disciplinary Order 24-21
June 25, 2024 2021071094401 APPEALED: John Pelletier Disciplinary Decision
June 17, 2024 2019064508802 Order Setting Deadlines for Filing Proposed Corrections to Hearing Transcript Disciplinary Order 24-20
June 13, 2024 2019064508802 Order Governing Post-Hearing Briefing Disciplinary Order 24-19
June 06, 2024 2021072167901 Order Denying Respondent’s Motion for Leave to Present Expert Testimony Disciplinary Order 24-18
May 23, 2024 2021071137001 Order Granting Department of Enforcement’s Motion for Interim Conditions and Restrictions Disciplinary Order 24-17
May 21, 2024 2019064508802 Order Denying Respondent’s Motion to Designate Certain Witnesses as Adverse Witnesses Disciplinary Order 24-13
May 21, 2024 2019064508802 Order Granting, in Part, and Denying, in Part, Respondent’s Motion for Videoconference and/or Telephone Testimony of Certain Witnesses Disciplinary Order 24-16
May 21, 2024 2019064508802 Order Granting Motion for Sequestration Disciplinary Order 24-14
May 21, 2024 2019064508802 Order Granting and Denying, in Part, Respondent’s Motion to Modify the Case Management and Scheduling Order and for Reconsideration of Hearing Procedures for Witness Examinations Disciplinary Order 24-15
May 20, 2024 2021070337501 Order Granting Department of Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions Disciplinary Order 24-12