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.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| October 29, 2015 | 2011025444501 | APPEALED: Wood (Arthur W.) Company | Disciplinary Decision | |
| October 23, 2015 | 2013038136101 | Andrew Lyman Quinn, | Disciplinary Decision | |
| October 22, 2015 | 20100215720-01 | eBX, LLC | Disciplinary Decision | |
| October 22, 2015 | 2012030564701 | Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 15-14 |
| October 02, 2015 | 2013036799501 | APPEALED: Michael Casas | Disciplinary Decision | |
| October 02, 2015 | 2011025679201 | MSC – BD, LLC and Paul J. McIntyre | Disciplinary Decision | |
| October 01, 2015 | 2013035095301 | Candace Jean Lee | Disciplinary Decision | |
| October 01, 2015 | 2013035344201 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 15-13 |
| September 21, 2015 | 20080148227-02 | Order Granting Respondents’ Preclusion Motion | Disciplinary Order | 15-12 |
| September 15, 2015 | 2012033508702 | APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus | Disciplinary Decision | |
| August 27, 2015 | 2012034934301 | Wedbush Securities Inc. | Disciplinary Decision | |
| August 13, 2015 | 2011025622001 | SWS Financial Service, Inc. | Disciplinary Decision | |
| August 07, 2015 | 20090208031-02 | Paul Charles Dotson | Disciplinary Decision | |
| August 06, 2015 | 2013036217601 | Kenneth Brownlee | Disciplinary Decision | |
| July 23, 2015 | 2012030527503 | APPEALED: Thaddeus James North | Disciplinary Decision | |
| July 17, 2015 | 2012034936101 | APPEALED: Jeffrey D. Noard | Disciplinary Decision | |
| July 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| June 30, 2015 | 2012033128703 | APPEALED: Brian Michael White | Disciplinary Decision | |
| June 29, 2015 | 20110263957-01 | Jack Lawrence Howard | Disciplinary Decision | |
| June 26, 2015 | 2011030072301 | Audra Lynn Lalley | Disciplinary Decision | |
| June 24, 2015 | 20070092503-01 | Robin Maranda Oscher | Disciplinary Decision | |
| June 16, 2015 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision | |
| June 08, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 05, 2015 | 20140407790-01 | Richard Francis Kenny, Jr. | Disciplinary Decision | |
| June 04, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | Disciplinary Order | 15-10 |