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. |
|---|---|---|---|---|
| August 02, 2017 | 2014042690502 | Stephen Brown and James Goetz | Disciplinary Decision | |
| July 31, 2017 | 2015044823501 | Craig Scott Capital LLC, et al. | Disciplinary Decision - Default | |
| July 31, 2017 | 2015044823501 & 2015044823502 | APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges | Disciplinary Decision | |
| 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 |
| May 17, 2017 | 2012035284301 | APPEALED: Richard A. McCollam | Disciplinary Decision | |
| May 12, 2017 | 2013035130101 | APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone | Disciplinary Decision | |
| May 03, 2017 | 2014043001601 | APPEALED: Allen B. Holeman | Disciplinary Decision | |
| April 21, 2017 | 2012032019101 | Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. | Disciplinary Order | 17-12 |
| April 11, 2017 | 2014042524301 | Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions | Disciplinary Order | 17-10 |
| April 11, 2017 | 2014044985401 | Order Granting Respondent’s Request for an Order of Production. | Disciplinary Order | 17-11 |
| April 07, 2017 | 2015045601401 | Katherine Ann White | Disciplinary Decision | |
| April 07, 2017 | 2012035284301 | Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief. | Disciplinary Order | 17-09 |