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. |
|---|---|---|---|---|
| January 14, 2014 | 2012033364501 | Richard D. Jameison | Disciplinary Decision - Default | |
| December 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| December 27, 2013 | 2011025506901 | Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach | Disciplinary Decision | |
| December 17, 2013 | 20110269351 | Hearing Panel Decision in Department of Market Regulation v. John Cherry III | Disciplinary Decision | |
| December 12, 2013 | 20090209629-01 | Hearing Panel Decision in Department of Enforcement v. Jason Blum | Disciplinary Decision | |
| December 10, 2013 | 2011026874301 | Hearing Panel Decision in Department of Enforcement v. William L. Tatro | Disciplinary Decision | |
| November 19, 2013 | 2009017195204 | Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| November 08, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision | |
| November 05, 2013 | 2009019108901 | Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris | Disciplinary Decision | |
| October 15, 2013 | 2010024917601 | Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta | Disciplinary Decision | |
| October 07, 2013 | 20080150419 | Extended Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| September 27, 2013 | 20120321124-01 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Disciplinary Decision | |
| September 27, 2013 | 2011025591601 | Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith. | Disciplinary Decision | |
| September 19, 2013 | 2009016317701 | Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 19, 2013 | 2011025957702 | Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen | Disciplinary Decision | |
| August 13, 2013 | 2009016159102 | Amended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| July 18, 2013 | 2010024271001 | Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes | Disciplinary Decision | |
| June 28, 2013 | 2009018818101 | Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia | Disciplinary Decision | |
| June 20, 2013 | 2009016034101 | Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. | Disciplinary Decision | |
| June 18, 2013 | FPI130001 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 12, 2013 | 2011025780101 | Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents | Disciplinary Order | 13-05 |
| June 11, 2013 | 2010024062601 | Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen | Disciplinary Decision | |
| June 03, 2013 | 2009019042402 | Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez | Disciplinary Order | 13-04 |
| May 30, 2013 | 2010024889501 | Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP | Disciplinary Decision | |
| May 02, 2013 | 2009017529101 | Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. | Disciplinary Order | 13-06 |