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 15, 2011 | 2010023719601 | Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney | Disciplinary Decision | |
| September 07, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Stay of Hearing | Disciplinary Order | 11-08 |
| September 01, 2011 | 20070072538-03 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Max International Broker-Dealer, Corp. | Disciplinary Decision | |
| July 28, 2011 | 2008012925001 | Order Regarding Pending Motions and Pre-Hearing Issues | Disciplinary Order | 11-10 |
| June 24, 2011 | 2008011725901 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| June 13, 2011 | 2008011701203 | Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc. | Disciplinary Decision | |
| June 09, 2011 | 2008015270701 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| June 08, 2011 | 2007010398802 | Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part | Disciplinary Order | 11-11 |
| June 01, 2011 | 2010021196801 | Order Regarding Respondent’s Motion to Stay | Disciplinary Order | 11-07 |
| May 18, 2011 | 2007010580702 | Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony | Disciplinary Order | 11-06 |
| May 16, 2011 | 2007011413501 | Order Denying Respondents’ Motion to Exclude Certain Portions of the Expert Report of HGF and to Preclude His Expert Testimony on the Issue of Suitability | Disciplinary Order | 11-05 |
| May 05, 2011 | 2008014712201 | Hearing Panel Decision in Department of Enforcement v. Kirk L. Gravelle | Disciplinary Decision | |
| April 25, 2011 | 2009017775601 | Hearing Panel Decision in Department of Enforcement v. Meyers Associates, LP | Disciplinary Decision | |
| April 25, 2011 | 2007008239001 | ; CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume | Disciplinary Decision | |
| April 18, 2011 | EQS100001 | Department of Member Regulation v. Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 30, 2011 | 2008011719501 | Hearing Panel Decision in Department of Enforcement v. Tina Newman | Disciplinary Decision | |
| March 28, 2011 | 2006004666601 | Hearing Panel Decision in Department of Enforcement v. Ryan J. Kirkpatrick | Disciplinary Decision | |
| March 25, 2011 | FPI100022 | Hearning Panel Decision in Department of Enforcement v. Kent Sweat and Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 24, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Leave to Offer Expert Testimony | Disciplinary Order | 11-04 |
| March 18, 2011 | 2007011413501 | Order Denying the Respondents’ Motion to Compel Production of Documents; for Production of a List of Withheld Documents; and to Extend Deadlines and Hearing Dates | Disciplinary Order | 11-03 |
| March 08, 2011 | 2009016551301 | Hearing Panel Decision in Department of Enforcement v. Freddy A. Medina | Disciplinary Decision | |
| March 03, 2011 | 2008012169101 | Hearing Panel Decision in Department of Enforcement v. AIS Financial, Inc. | Disciplinary Decision | |
| February 08, 2011 | 2006007105101 | Order Denying Respondent’s Motion for Summary Disposition | Disciplinary Order | 11-02 |
| January 28, 2011 | 2008014621701 | Order Granting Enforcement’s Motion to Permit Certain Witnesses to Have Counsel Present | Disciplinary Order | 11-01 |
| January 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision |