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. |
|---|---|---|---|---|
| March 10, 2004 | CAF020022 | Hearing Panel Decision in Department of Enforcement v. Hornblower & Weeks, Inc., John R. Rooney, Eric Ellenhorn, and Paul E. Taboada | Disciplinary Decision | |
| February 18, 2004 | C3A030012 | Hearing Panel Decision in Department of Enforcement v. Gregory A. Eastman | Disciplinary Decision | |
| February 09, 2004 | C02020057 | Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart | Disciplinary Decision | |
| January 23, 2004 | C3A030024 | Hearing Panel Decision in Department of Enforcement v. Richard S. Jacobson | Disciplinary Decision | |
| January 16, 2004 | CAF030008 | Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone | Disciplinary Decision | |
| December 30, 2003 | C01020023 | Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood | Disciplinary Decision | |
| December 30, 2003 | C3A030017 | Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker | Disciplinary Decision | |
| December 29, 2003 | C8B030012 | Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko | Disciplinary Decision | |
| December 22, 2003 | 03-03 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| December 15, 2003 | C01020027 | Hearing Panel Decision in Department of Enforcement v. Aurangzeb Rashid Pirzada | Disciplinary Decision | |
| December 10, 2003 | C3A030001 | Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino | Disciplinary Decision | |
| December 04, 2003 | C02030026 | Hearing Panel Decision in Department of Enforcement v. David T. Kaagan | Disciplinary Decision | |
| December 03, 2003 | CMS030006 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. | Disciplinary Decision | |
| November 24, 2003 | C01020024 | Hearing Panel Decision in Department of Enforcement v. Douglas Conant Day | Disciplinary Decision | |
| November 19, 2003 | CAF020007 | Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes | Disciplinary Decision | |
| November 14, 2003 | C02030015 | Hearing Panel Decision in Department of Enforcement v. Louis S. Gray | Disciplinary Decision | |
| November 10, 2003 | C3A020039 | Hearing Panel Decision in Department of Enforcement v. Salvatore Clark | Disciplinary Decision | |
| November 07, 2003 | C10020090 | Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante | Disciplinary Decision | |
| November 04, 2003 | CAF030008 | Order Granting Respondent's Motion to Quash Rule 8210 Request | Disciplinary Order | 03-23 |
| October 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | Disciplinary Order | 03-22 |
| October 26, 2003 | CAF030011 | Order Granting in Part Respondent 1 and Respondent 2's Motion for Production of Documents Under Rule 9251(a)(3) | Disciplinary Order | 03-21 |
| October 15, 2003 | C01020022 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | Disciplinary Order | 03-19 |
| October 15, 2003 | CAF030008 | Order Denying Respondent's Motion to Compel Production of Information Regarding Withheld Documents | Disciplinary Order | 03-20 |
| October 02, 2003 | C10020075 | Hearing Panel Decision in Department of Enforcement v. Joseph Brian Shevlin, Jr. | Disciplinary Decision | |
| October 01, 2003 | C9A030017 | Hearing Panel Decision in Department of Enforcement v. Eric J. Laucius | Disciplinary Decision |