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 06, 2016 | 2013037857001 | David C. Cannata | Disciplinary Decision - Default | |
| June 03, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| June 03, 2016 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc. and William H. Murphy | Disciplinary Decision | |
| May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | Disciplinary Order | 16-18 |
| May 20, 2016 | 2013038333001 | Order Denying Respondent’s Motion for Request for Documents and Information | Disciplinary Order | 16-17 |
| May 13, 2016 | 2015044145201 | Carlton I. Phelps | Disciplinary Decision - Default | |
| May 09, 2016 | 2015047966701 | Eric Kuchel | Disciplinary Decision - Default | |
| May 04, 2016 | 2014041252402 | Kevin A. Busto |
Disciplinary Decision - Default | |
| May 02, 2016 | 2014040968501 | APPEALED: Ahmed Gadelkareem | Disciplinary Decision | |
| April 28, 2016 | 2013036874901 | David Michael Miller | Disciplinary Decision - Default | |
| April 27, 2016 | 2010020954501 | APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan | Disciplinary Decision | |
| April 19, 2016 | 2014042547601 | Michel Lavelanet | Disciplinary Decision - Default | |
| April 19, 2016 | 20130367071 | James Van Doren | Disciplinary Decision - Default | |
| April 18, 2016 | 2014041884602 | Alan Cashaw, Jr. | Disciplinary Decision - Default | |
| April 18, 2016 | 2011027007901 | APPEALED: Shashishekhar Doni | Disciplinary Decision | |
| April 04, 2016 | 20120320803-01 | APPEALED: Peter J. Auzers and Shiva Naby | Disciplinary Decision | |
| March 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | Disciplinary Order | 16-15 |
| March 29, 2016 | 2015047104201 | Fred Perelman | Disciplinary Decision - Default | |
| March 25, 2016 | 2015044379701 | Order Denying Rule 9252 Request | Disciplinary Order | 16-14 |
| March 23, 2016 | 2010024522103 | APPEALED: Brett Ian Friedberg | Disciplinary Decision | |
| March 18, 2016 | 2012034719701 | APPEALED: Paul E. Taboada | Disciplinary Decision | |
| March 11, 2016 | 2013038418201 | Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents. | Disciplinary Order | 16-12 |
| March 10, 2016 | 2012031496501 | Order Denying Respondents’ Motion for Partial Summary Disposition. | Disciplinary Order | 16-11 |
| March 08, 2016 | 2013035517601 | Richard J. Fusari | Disciplinary Decision - Default | |
| March 04, 2016 | 2014040501801 | Order Denying Respondents’ Motion for Summary Disposition | Disciplinary Order | 16-09 |