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 15, 2008 | E112005002003 | Hearing Panel Decision in Department of Enforcement v. StoneGate Partners, LLC and Brian W. Bernier | Disciplinary Decision | |
| May 14, 2008 | 20060049953-01 | Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero | Disciplinary Decision | |
| May 02, 2008 | 2006004377701 | Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke | Disciplinary Decision | |
| April 30, 2008 | 2005000191701 | Hearing Panel Decision in Department of Market Regulation v. Paul M. Giarmoleo | Disciplinary Decision | |
| April 25, 2008 | CAF040079 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 23, 2008 | E102003025201 | Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng | Disciplinary Decision | |
| April 10, 2008 | 20060042305-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 04, 2008 | 2005003437102 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 08-07 |
| April 04, 2008 | 2005003437102 | Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing | Disciplinary Order | 08-08 |
| April 04, 2008 | 2005003437102 | Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense | Disciplinary Order | 08-06 |
| March 27, 2008 | C02050006 | Order Approving and Forwarding Contested Offer of Settlement | Disciplinary Order | 08-05 |
| March 18, 2008 | 2006004992601 | Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney | Disciplinary Decision | |
| March 18, 2008 | 2006005849101 | Order Denying Motion to Set Aside Default Decision | Disciplinary Order | 08-04 |
| February 29, 2008 | 20070077587 | Rulings on Pre-Hearing Motions and Notice of Hearing | Disciplinary Order | 08-03 |
| February 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | Disciplinary Order | 08-02 |
| February 21, 2008 | E0420030634-04 | Hearing Panel Decision in Department of Enforcement v. John M. Repine | Disciplinary Decision | |
| February 20, 2008 | 2006005005301 | Hearing Panel Decision in Department of Enforcement v. Shane A. Selewach | Disciplinary Decision | |
| February 15, 2008 | 2005003437102 | Order Denying Respondent's Motion to Compel Production of Documents | Disciplinary Order | 08-01 |
| February 07, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| February 07, 2008 | E102004083704 | Hearing Panel Decision in Department of Enforcement v. Marc Winters | Disciplinary Decision | |
| February 06, 2008 | E8A2003084806 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| January 10, 2008 | 2005001085001 | Hearing Panel Decision in Department of Enforcement v. Warren K. Hansen | Disciplinary Decision | |
| December 19, 2007 | C10040052 | Hearing Panel Decision in Department of Enforcement v. Scott Mathis | Disciplinary Decision | |
| December 11, 2007 | 20050000720-02 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 07, 2007 | ARB070050 | Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect | Expedited Order | 07-41 |