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 13, 2006 | E102003025201 | Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference | Disciplinary Order | 06-37 |
| September 13, 2006 | E102003130804 | Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill | Disciplinary Decision | |
| September 12, 2006 | 2005000631501 | Hearing Panel Decision in Department of Enforcement vs. Bryan L. Claggett | Disciplinary Decision | |
| September 11, 2006 | E072004088501 | Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava | Disciplinary Decision | |
| September 08, 2006 | CAF040079 | Order Denying Respondent's Request for Leave to File Motion in Limine | Disciplinary Order | 06-36 |
| September 08, 2006 | E072004072501 | Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin | Disciplinary Decision | |
| September 07, 2006 | CMS040165 | Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian | Disciplinary Decision | |
| September 01, 2006 | E0220030845-01 | Order Requiring Counsel to File Notice Pursuant to Rule 9142 | Disciplinary Order | 06-34 |
| August 30, 2006 | CE3050003 | Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc. | Disciplinary Decision | |
| August 28, 2006 | E8A2004095901 | Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig | Disciplinary Decision | |
| August 18, 2006 | E0220030845-01 | Order Postponing Hearing | Disciplinary Order | 06-33 |
| August 16, 2006 | E8A2004065102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 10, 2006 | C07050029 | Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano | Disciplinary Decision | |
| August 10, 2006 | C07050050 | Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar | Disciplinary Decision | |
| August 09, 2006 | E9A2004001901 | Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth | Disciplinary Decision | |
| August 03, 2006 | E0120040071-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 01, 2006 | C05050015 | Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne | Disciplinary Decision | |
| July 28, 2006 | C3B050012 | Hearing Panel Decision in Department of Enforcement vs. Ronald Pellegrino | Disciplinary Decision | |
| July 21, 2006 | CAF040073 | Hearing Panel Decision in Department of Enforcement vs. Morgan Keegan et al. | Disciplinary Decision | |
| July 21, 2006 | E8A2003080701 | Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins | Disciplinary Decision | |
| July 12, 2006 | C8A050055 | ; CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik | Disciplinary Decision | |
| June 28, 2006 | FPI060005 | The Reid Group LLC | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 28, 2006 | ARB060005 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 09, 2006 | E0220030425-01 | Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz | Disciplinary Decision | |
| June 05, 2006 | CAF040052 | Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al. | Disciplinary Decision |