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 08, 2017 2013035740901 Order Denying Respondents’ Motion for Summary Disposition Disciplinary Order 17-18
September 06, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller Disciplinary Decision
September 05, 2017 2016051925301 Order Granting Motion Regarding Witness Sequestration Disciplinary Order 17-16
September 05, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony Disciplinary Order 17-17
August 30, 2017 2016049252901 Peyton Nelson Jackson Disciplinary Decision - Default
August 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
August 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
August 07, 2017 2016048538901 Richard G. Cody Disciplinary Decision - Default
August 02, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
July 31, 2017 2015044823501 & 2015044823502 APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges Disciplinary Decision
July 31, 2017 2015044823501 Craig Scott Capital LLC, et al. Disciplinary Decision - Default
July 27, 2017 2013035345701 Order Denying Motion For Dismissal Disciplinary Order 17-15
July 18, 2017 2015048317802 Michael Banjany Disciplinary Decision - Default
July 14, 2017 2014042156101 William Morgan Ditty Disciplinary Decision
July 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
June 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
June 16, 2017 2013037709301 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 17-13
June 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01
June 02, 2017 2014039091903 Richard Lim Disciplinary Decision
June 02, 2017 2014039091903 Caldwell International Securities Corp. et al. Disciplinary Decision - Default
May 31, 2017 2015045846502 Robert Blake Ellender Disciplinary Decision - Default
May 30, 2017 2014039839101 APPEALED: Jim Jinkook Seol Disciplinary Decision
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
May 25, 2017 2012030422902 Legend Securities. Inc. Disciplinary Decision - Default
May 25, 2017 2015047154001 Case Management and Scheduling Order Disciplinary Order 17-23