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. |
|---|---|---|---|---|
| May 14, 2014 | 2011026852001 | Brian H. Brunhaver | Disciplinary Decision - Default | |
| May 08, 2014 | 2012031147601 | Karen Lee Chafe | Disciplinary Decision - Default | |
| May 08, 2014 | 2012031142101 | Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. | Disciplinary Decision | |
| May 06, 2014 | 2010025181001 | Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard | Disciplinary Decision | |
| May 02, 2014 | 2012034046801 | Angelo Barcelo III | Disciplinary Decision - Default | |
| April 30, 2014 | 2012031746301 | James Kenneth Ard | Disciplinary Decision - Default | |
| April 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| April 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| April 23, 2014 | 2012034568401 | Gabriel N. Smith | Disciplinary Decision - Default | |
| April 17, 2014 | 2011029545902 | Jaime Andre Diaz | Disciplinary Decision - Default | |
| April 15, 2014 | 2013035801101 | John F. Wolle | Disciplinary Decision - Default | |
| March 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| March 18, 2014 | 2012032731701 | Clark Johnston | Disciplinary Decision - Default | |
| March 11, 2014 | 2012035180501 | Steven Yi | Disciplinary Decision - Default | |
| March 06, 2014 | 2011029681602 | Daniel G. Sharp | Disciplinary Decision - Default | |
| February 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| February 07, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| February 05, 2014 | 2012031023301 | Timothy Moran | Disciplinary Decision - Default | |
| February 04, 2014 | 2012033956001 | Darinn Dwight Kim | Disciplinary Decision - Default | |
| January 28, 2014 | 2011026664301 | Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. | Disciplinary Decision | |
| January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | Disciplinary Order | 14-03 |
| January 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| January 23, 2014 | 2011029262201 | John J. Misulia | Disciplinary Decision - Default | |
| January 21, 2014 | 2011029227701 | Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee | Disciplinary Decision | |
| January 15, 2014 | 2011027363401 | John A. Kowske | Disciplinary Decision - Default |