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. |
|---|---|---|---|---|
| January 10, 2017 | 2015045532002 | Samuel McClain | Disciplinary Decision - Default | |
| December 28, 2016 | 2014042690502 | Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. | Disciplinary Order | 16-34 |
| December 16, 2016 | 2014040876001 | APPEALED: Kenneth J. Mathieson | Disciplinary Decision | |
| December 14, 2016 | 2012033832501 | APPEALED: Matthew D. Rubin | Disciplinary Decision | |
| December 14, 2016 | 2015044823501 | Order Denying Respondent Beyn’s Motion for Additional Discovery. | Disciplinary Order | 16-33 |
| December 13, 2016 | 2014040501801 | Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer | Disciplinary Decision | |
| December 12, 2016 | 2013036653301 | Vincent Au | Disciplinary Decision | |
| December 08, 2016 | DFC160001 | McBarron Capital, LLC | Expedited Decision | |
| December 06, 2016 | 2014043420401 | Bo Li | Disciplinary Decision - Default | |
| December 06, 2016 | 2012034139101 | Christopher Ariola | Disciplinary Decision - Default | |
| December 06, 2016 | 2015047559201 | Michael Lavolpe | Disciplinary Decision - Default | |
| December 01, 2016 | ARB160019 | Michael David Schwartz | Expedited Decision | |
| November 28, 2016 | 2013038770901 | Ricky R. Moore | Disciplinary Decision | |
| November 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | Disciplinary Order | 16-31 |
| November 18, 2016 | ARB160035 | REMANDED: Keith Patrick Sequeira | Expedited Decision | |
| November 14, 2016 | 2014040476901 | Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. | Disciplinary Order | 16-30 |
| November 11, 2016 | 2013035533701 | APPEALED: Meyers Associates, L.P. | Disciplinary Decision | |
| November 04, 2016 | 2013038986001 | APPEALED: Richard A. Riemer, Jr. | Disciplinary Decision | |
| November 04, 2016 | 2014039839101 | Order Granting Enforcement’s Motion for Partial Summary Disposition. | Disciplinary Order | 16-29 |
| October 31, 2016 | 2014042524301 | Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. | Disciplinary Order | 16-28 |
| October 21, 2016 | 2012033286901 | Dickinson & Schneiter | Disciplinary Decision - Default | |
| October 18, 2016 | 2013036681701 | Scholander and Harris (Radnor Research) | Disciplinary Decision - Default | |
| October 17, 2016 | 2012030564701 | APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera | Disciplinary Decision | |
| October 17, 2016 | 2012030564701 | Newport Coast Securities, Inc., et al. | Disciplinary Decision - Default | |
| October 14, 2016 | 201303641201 | Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 16-27 |