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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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
May 25, 2004 C8A030078 Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger

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May 19, 2004 C10030076 Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim Disciplinary Decision
May 10, 2004 C9B030045 Hearing Panel Decision in Department of Enforcement v. Michael O'Hare

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May 06, 2004 C9A030023 Hearing Panel Decision in Department of Enforcement v. George A. Murphy, Jr. Disciplinary Decision
May 04, 2004 C04030057 Hearing Panel Decision in Department of Enforcement v. Sherry Lee Williams Disciplinary Decision
May 03, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Decision
April 26, 2004 C8A030034 Hearing Panel Decision in Department of Enforcement v. James Barrick Disciplinary Decision
April 26, 2004 C01030004 Hearing Panel Decision in Department of Enforcement v. Tad Enrique Mihalopoulos, Sr. Disciplinary Decision
April 23, 2004 C9B040033 Pre-Hearing Order

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April 19, 2004 C05030023 In the Matter of Department of Enforcement, Complainant vs. Respondent Redacted Decision
April 19, 2004 C05020055 Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel

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April 08, 2004 C01030019 Hearing Panel Decision in Department of Enforcement v. Lance Christopher Newby Disciplinary Decision
April 01, 2004 CMS030181 In the Matter of Department of Market Regulation, Complainant, vs. Respondent

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March 30, 2004 C01030030 Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler Disciplinary Decision
March 29, 2004 CMS030269 Hearing Panel Decision in Market Regulation Department v. Anthony John Orlando, Jr., and Philip Anthony Orlando

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March 28, 2004 DFC040005 Order Denying Respondent's Motion to Dismiss the Suspension Proceeding Expedited Order 04-02
March 23, 2004 CAF030014 In the Matter of Department of Enforcement, Complainant vs. Respondent

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March 17, 2004 CAF030014 Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process

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Disciplinary Order 04-01
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

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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

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December 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker

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December 30, 2003 C01020023 Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood Disciplinary Decision