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. |
|---|---|---|---|---|
| December 08, 2017 | 2014040347701 | Craig Gary Langweiler | Disciplinary Decision - Default | |
| December 08, 2017 | 2013039306601 | Michael Timothy Dolan | Disciplinary Decision | |
| November 21, 2017 | 2013037522501 | Order Adding Additional Exhibit into Evidentiary Record | Disciplinary Order | 17-21 |
| November 15, 2017 | 2015045951303 | Vladimir Tingue | Disciplinary Decision - Default | |
| November 13, 2017 | 2015047154001 | Order Denying Respondent’s Amended Motion to Grant Expert Testimony | Disciplinary Order | 17-19 |
| November 13, 2017 | 2013035345701 | Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List | Disciplinary Order | 17-20 |
| November 08, 2017 | 2014041985401 | APPEALED: James Larkin Powers | Disciplinary Decision | |
| November 08, 2017 | 2014040809501 | Eddie Basora, Jr. | Disciplinary Decision | |
| November 06, 2017 | 2015048048801 | Hank M. Werner and Legend Securities, Inc. | Disciplinary Decision | |
| November 06, 2017 | 2015048048801 | Werner, Stanton, & Legend Securities, Inc. | Disciplinary Decision - Default | |
| November 02, 2017 | 2015047828802 | Demitrios Hallas | Disciplinary Decision - Default | |
| October 25, 2017 | 2014042291901 | APPEALED: Gopi K. Vungarala | Disciplinary Decision | |
| October 06, 2017 | 2016049603001 | Christopher Schaeffer | Disciplinary Decision - Default | |
| October 03, 2017 | ARB170022 | Craig Arnold Sorenson | Expedited Decision | |
| October 02, 2017 | 2013037401001 | APPEALED: Stanley Clayton Niekras | Disciplinary Decision | |
| September 26, 2017 | 2012031748203 | William Norris Jordan | Disciplinary Decision | |
| September 18, 2017 | 2014040873501 | Cecil E. Nivens | Disciplinary Decision - Default | |
| 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 |