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 01, 2000 | C05990026 | Order Rejecting Contested Offer of Settlement | Disciplinary Order | 00-04 |
| February 17, 2000 | C10990024 | Hearing Panel Decision in Department of Enforcement v. Averell Golub | Disciplinary Decision | |
| February 16, 2000 | C02980024 | Hearing Panel Decision in Department of Enforcement v. Robert Joseph Kernweis, William Pohn Willis, Arnold Hinsdale Kraus, and Keith Allen Dieterich | Disciplinary Decision | |
| February 11, 2000 | CAF980031 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| February 08, 2000 | C02990034 | Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green | Disciplinary Decision | |
| January 31, 2000 | C9A990007 | Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present | Disciplinary Order | 00-03 |
| January 18, 2000 | C02990052 | Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 00-02 |
| January 13, 2000 | C02990017 | Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi | Disciplinary Decision | |
| January 13, 2000 | C3A990050 | Hearing Panel Decision in Department of Enforcement v. Jim Newcomb | Disciplinary Decision | |
| January 04, 2000 | C10990121 | Order Denying Enforcement's Motion For Summary Disposition | Disciplinary Order | 00-01 |
| December 30, 1999 | CAF990018 | Order Denying Motion for Summary Disposition | Disciplinary Order | 99-21 |
| December 10, 1999 | C10970145 | Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein | Disciplinary Decision | |
| December 02, 1999 | CAF980013 | Hearing Panel Decision in Department of Enforcement v. Herman Epstein | Disciplinary Decision | |
| December 01, 1999 | C11970032 | Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard | Disciplinary Decision | |
| November 22, 1999 | C10990058 | Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan | Disciplinary Decision | |
| November 19, 1999 | C8A990017 | Hearing Panel Decision in Department of Enforcement v. David L. Foran | Disciplinary Decision | |
| November 18, 1999 | C8A990015 | Hearing Panel Decision | Redacted Decision | |
| October 18, 1999 | CMS920002 | Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order | Disciplinary Order | 99-20 |
| October 18, 1999 | C07990013 | Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz | Disciplinary Decision | |
| October 06, 1999 | DFC990003 | Rule 9530 Suspension Proceeding DFC990003 | Expedited Decision, Rule 9530 Suspension Decisions | |
| September 30, 1999 | CMS920002 | Order Directing Complainant to Comply with Rule 9251 | Disciplinary Order | 99-19 |
| September 27, 1999 | C02990022 | Order Denying Respondent's Request for Financial Assistance to Attend Hearing | Disciplinary Order | 99-17 |
| September 27, 1999 | CAF980002 | Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 | Disciplinary Order | 99-18 |
| September 23, 1999 | C02980034 | Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint | Disciplinary Order | 99-16 |
| September 21, 1999 | CAF980002 | Order Regarding Court Reporting Services for the Hearing | Disciplinary Order | 99-15 |