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. |
|---|---|---|---|---|
| September 29, 2014 | 2013037332701 | Dale Edward Para | Disciplinary Decision | |
| September 11, 2014 | 2013037604801 | Andre Podesser Aliance | Disciplinary Decision - Default | |
| September 10, 2014 | 2013039439301 | Ricky Eugene Bell | Disciplinary Decision - Default | |
| September 09, 2014 | 2011025617702 | Order Denying Respondents’ Motion to Permit Expert Testimony | Disciplinary Order | 14-05 |
| August 28, 2014 | 2013039558401 | Eric D. Kennedy | Disciplinary Decision - Default | |
| August 12, 2014 | 20100226015-01 | Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock | Disciplinary Decision | |
| August 11, 2014 | 2009019042402 | Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. | Disciplinary Decision | |
| August 07, 2014 | 2014039867601 | Mark Foster | Disciplinary Decision - Default | |
| August 05, 2014 | 2011027402201 | ; CALLED FOR REVIEW: Raymond Thomas Clark | Disciplinary Decision | |
| July 16, 2014 | 2012033128703 | Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information | Disciplinary Order | 14-02 |
| July 08, 2014 | 2009020465801 | Hearing Panel Decision in Department of Enforcement v. Keith D. Geary | Disciplinary Decision | |
| July 08, 2014 | 2012032950101 | Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler | Disciplinary Decision | |
| July 08, 2014 | 2012032117701 | Ramona C. Massimo | Disciplinary Decision - Default | |
| July 03, 2014 | 20110275168-01 | Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof | Disciplinary Decision | |
| June 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| June 24, 2014 | 2012031150702 | Anthony Clive Lazarus | Disciplinary Decision - Default | |
| June 17, 2014 | 2011026788801 | Order Denying Summary Disposition | Disciplinary Order | 14-01 |
| June 13, 2014 | 2010025350001 | Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith | Disciplinary Decision | |
| June 09, 2014 | 2013035581901 | Damien P. Alexander | Disciplinary Decision - Default | |
| May 27, 2014 | 2011028003001 | Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi | Disciplinary Decision | |
| May 27, 2014 | 2012033201402 | Joseph M. Keegan | Disciplinary Decision - Default | |
| May 21, 2014 | 2012033634301 | Barry Lee Engen | Disciplinary Decision - Default | |
| May 16, 2014 | 2010023935002 | Eugene C. Giaquinto | Disciplinary Decision - Default | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| May 14, 2014 | 2011026852001 | Brian H. Brunhaver | Disciplinary Decision - Default |