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. |
|---|---|---|---|---|
| February 03, 2015 | 2014041664201 | Michael J. Baker |
Disciplinary Decision - Default | |
| February 03, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | Disciplinary Order | 15-04 |
| January 28, 2015 | 2013038988301 | Jonathan A. Francis | Disciplinary Decision - Default | |
| January 27, 2015 | 2012034936005 | Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion | Disciplinary Order | 15-05 |
| January 20, 2015 | 2011028647101 | John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler | Disciplinary Decision | |
| January 16, 2015 | 2012034431401 | Anthony J. DeBlase | Disciplinary Decision - Default | |
| January 09, 2015 | 20120334673-01 | Department of Enforcement v. John Thomas Financial, Inc. | Disciplinary Decision | |
| December 30, 2014 | 2009020941801 | APPEALED: Lek Securities Corporation and Samuel Frederik Lek | Disciplinary Decision | |
| December 30, 2014 | 20080148227-02 | Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement | Disciplinary Order | 14-09 |
| December 29, 2014 | 2012033239202 | Marcus C. Rodriguez | Disciplinary Decision - Default | |
| December 22, 2014 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision | |
| December 16, 2014 | 2012033920601 | Brian Michael Seifert | Disciplinary Decision - Default | |
| December 10, 2014 | 2011026386001 | Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates | Disciplinary Order | 14-08 |
| December 08, 2014 | 2011030781201 | Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer | Disciplinary Order | 14-07 |
| December 02, 2014 | 2012030570301 | Calvin B. Grigsby | Disciplinary Decision | |
| December 01, 2014 | 2011025676501 | Order Granting, In Part, Motion for More Definite Statement | Disciplinary Order | 14-06 |
| November 13, 2014 | 2013037833101 | Sean J. Lee | Disciplinary Decision - Default | |
| November 07, 2014 | 2013036238801 | William C. Mays | Disciplinary Decision - Default | |
| November 03, 2014 | 20110273503 | Richard A. McGuire | Disciplinary Decision | |
| October 30, 2014 | 2011030166801 | Joseph Brandon Westphal | Disciplinary Decision - Default | |
| October 29, 2014 | 2014039764901 | Gregory J. Oelerich | Disciplinary Decision - Default | |
| October 13, 2014 | 2010022977801 | Ameriprise Financial Services, Inc. and David B. Tysk | Disciplinary Decision | |
| October 08, 2014 | 2012034042001 | August D. Wojtkiewicz | Disciplinary Decision - Default | |
| October 06, 2014 | 2012032922101 | George W. Hoffman | Disciplinary Decision - Default | |
| September 30, 2014 | 2012032519101 | Order Denying Respondent’s Motion for Production of Documents | Disciplinary Order | 14-04 |