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. |
|---|---|---|---|---|
| December 30, 2021 | FPI210005 | Darryl Matthew Cohen | Expedited Decision | |
| December 14, 2021 | 2019061528001 | Order Denying Respondents’ Motion For a More Definite Statement | Disciplinary Order | 21-15 |
| November 19, 2021 | 2019061941101 | Michael J. Giovannelli | Disciplinary Decision - Default | |
| November 10, 2021 | 2018057274302 | Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine | Disciplinary Order | 21-14 |
| October 29, 2021 | 2018058798802 | Blair Olsen | Disciplinary Decision - Default | |
| October 29, 2021 | 2018057235801 | Order Granting in Part Respondent’s Motion for Continuance | Disciplinary Order | 21-13 |
| October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | Disciplinary Order | 21-12 |
| October 21, 2021 | ARB210010 | Derek Rudolf D’Alonzo | Expedited Decision | |
| October 12, 2021 | 2016048837401 | Order Granting Enforcement’s Request to Correct the Hearing Transcript | Disciplinary Order | 21-11 |
| September 22, 2021 | 2020065292102 | Elizabeth A. Sollars | Disciplinary Decision - Default | |
| September 07, 2021 | 2017053462401 | APPEALED: Robert Henderson | Disciplinary Decision | |
| September 07, 2021 | 2019062347102 | Adam G. Belardino | Disciplinary Decision - Default | |
| August 24, 2021 | FPI210005 | Amended Order setting Hearing and Other Deadlines | Expedited Order | EXP21-02 |
| August 17, 2021 | ARB210008 | Leslie George Markus, Jr. | Expedited Decision | |
| August 17, 2021 | ARB210003 | Henrique David Lucena | Expedited Decision | |
| August 09, 2021 | 2018060379701 | Frank V. Sapareto | Disciplinary Decision - Default | |
| July 29, 2021 | ARB210008 | Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits | Expedited Order | EXP21-01 |
| July 26, 2021 | 2020068395801 | Hugues Guirand | Disciplinary Decision - Default | |
| July 23, 2021 | 2018056436001 | Integrity Brokerage Services, Inc. and Joshua Helmle | Disciplinary Decision | |
| July 23, 2021 | ARB210004 | Gary J. Helbling | Expedited Decision | |
| July 22, 2021 | 2019064313901 | Paramveer Singh | Disciplinary Decision | |
| July 08, 2021 | 2019061187102 | Ji Jun Yang | Disciplinary Decision - Default | |
| July 07, 2021 | 2021070337401 | Kishan Parikh | Disciplinary Decision - Default | |
| July 01, 2021 | 2016048837401 | Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses | Disciplinary Order | 21-10 |
| June 29, 2021 | 2019063570502 | APPEALED: Matthew R. Logan | Disciplinary Decision |