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 03, 2015 | 2013037144301 | Nahuel Rodriguez | Disciplinary Decision - Default | |
| December 01, 2015 | 2010025087302 | APPEALED: Thaddeus J. North | Disciplinary Decision | |
| November 18, 2015 | 2014040651301 | Yaron Reuven | Disciplinary Decision | |
| November 06, 2015 | 2014041319201 | APPEALED: Miguel Ortiz | Disciplinary Decision | |
| October 29, 2015 | 2011025444501 | APPEALED: Wood (Arthur W.) Company | Disciplinary Decision | |
| October 23, 2015 | 2013038136101 | Andrew Lyman Quinn, | Disciplinary Decision | |
| October 22, 2015 | 20100215720-01 | eBX, LLC | Disciplinary Decision | |
| October 22, 2015 | 2012030564701 | Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 15-14 |
| October 08, 2015 | 2013037128401 | Gregory Barton | Disciplinary Decision - Default | |
| October 02, 2015 | 2013036799501 | APPEALED: Michael Casas | Disciplinary Decision | |
| October 02, 2015 | 2011025679201 | MSC – BD, LLC and Paul J. McIntyre | Disciplinary Decision | |
| October 01, 2015 | 2013035344201 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 15-13 |
| October 01, 2015 | 2013035095301 | Candace Jean Lee | Disciplinary Decision | |
| September 28, 2015 | 2013035618602 | Andre Mitchell | Disciplinary Decision - Default | |
| September 21, 2015 | 20080148227-02 | Order Granting Respondents’ Preclusion Motion | Disciplinary Order | 15-12 |
| September 16, 2015 | 2013035928002 | Otis Treat Bradley | Disciplinary Decision - Default | |
| September 15, 2015 | 2012033508702 | APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus | Disciplinary Decision | |
| September 04, 2015 | 2013037815302 | Frederick Juri Kotowitz | Disciplinary Decision - Default | |
| August 27, 2015 | 2012034934301 | Wedbush Securities Inc. | Disciplinary Decision | |
| August 19, 2015 | 2012030670603 | Jordon S. Trice | Disciplinary Decision - Default | |
| August 17, 2015 | 2012030373701 | John Joseph Vaughan | Disciplinary Decision - Default | |
| August 16, 2015 | 2013036799902 | Gaby Delisme | Disciplinary Decision - Default | |
| August 13, 2015 | 2011025622001 | SWS Financial Service, Inc. | Disciplinary Decision | |
| August 07, 2015 | 20090208031-02 | Paul Charles Dotson | Disciplinary Decision | |
| August 06, 2015 | 2013036217601 | Kenneth Brownlee | Disciplinary Decision |