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 16, 2009 | E072005017201 | Hearing Panel Decision in Department of Enforcement v. John B. Busacca III | Disciplinary Decision | |
| December 19, 2008 | 2006003825001 | Hearing Panel Decision in Department of Enforcement v. Joseph William Hagan | Disciplinary Decision | |
| December 18, 2008 | 2006003738501 | Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick | Disciplinary Decision | |
| December 17, 2008 | 2006005318801 | Hearing Panel Decision in Department of Enforcement v. Kent M. Houston | Disciplinary Decision | |
| December 16, 2008 | EAF0400630001 | Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. | Disciplinary Decision | |
| December 15, 2008 | 2006006192901 | Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr. | Disciplinary Decision | |
| December 11, 2008 | 2006003834901 | Hearing Panel Decision in Department of Moustafa M. Zayed | Disciplinary Decision | |
| December 06, 2008 | 20070094345 | John E. Mullins and Kathleen M. Mullins | Disciplinary Decision | |
| November 13, 2008 | 2007009702901 | Hearing Panel Decision in Department of Enforcement v. Edward D. Crary, Jr. | Disciplinary Decision | |
| October 31, 2008 | 20070094454 | Hearing Panel Decision in Department of Enforcement v. Sam Aubrey Foreman, Jr. | Disciplinary Decision | |
| October 14, 2008 | 2006006890801 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin | Disciplinary Decision | |
| October 01, 2008 | 2006003995001 | Hearing Panel Decision in Department of Enforcement v. Eddmon Mark Hodge | Disciplinary Decision | |
| September 18, 2008 | 2007008812801 | Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman | Disciplinary Decision | |
| September 08, 2008 | 2006005523401 | Order Granting Enforcement's Motion to Permit Counsel for Non-Party Witnesses to Appear at Hearing | Disciplinary Order | 08-13 |
| August 27, 2008 | 2005003188901 | Order Denying Respondent's Motion to Compel Production of Documents | Disciplinary Order | 08-12 |
| August 20, 2008 | 2006007101701 | Hearing Panel Decision in Department of Enforcement v. Flavio G. Varone | Disciplinary Decision | |
| August 19, 2008 | 2006006705601 | Hearing Panel Decision in Department of Enforcement v. John M. E. Saad | Disciplinary Decision | |
| August 15, 2008 | 2005001729501 | Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner | Disciplinary Decision | |
| August 08, 2008 | E3A20030495-01 | Order Denying Respondent's Motion to Dismiss the Complaint | Disciplinary Order | 08-11 |
| June 20, 2008 | 20070077587 | Hearing Panel Decision in Department of Enforcement v. Matthew S. Kaplan | Disciplinary Decision | |
| June 18, 2008 | 2005001919501 | Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan | Disciplinary Decision | |
| June 12, 2008 | 20070094345 and 20070111775 | Order Denying Respondent 2's Motion to Dismiss | Disciplinary Order | 08-09 |
| June 12, 2008 | 2005001798201 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 08-10 |
| May 30, 2008 | 2006005565401 | Hearing Panel Decision in Department of Enforcement v. Michael L. Vines | Disciplinary Decision | |
| May 29, 2008 | 2005000323905 | Hearing Panel Decision in Department of Market Regulation v. Stephen Ira Golden and Richard F. Kresge | Disciplinary Decision |