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. |
|---|---|---|---|---|
| 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 | Redacted Decision | |
| 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 | Disciplinary Decision | |
| 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 | Disciplinary Decision | |
| March 17, 2004 | CAF030014 | Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process | 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 | Disciplinary Decision | |
| 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 | Disciplinary Decision | |
| December 30, 2003 | C3A030017 | Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker | Disciplinary Decision | |
| December 30, 2003 | C01020023 | Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood | Disciplinary Decision | |
| December 29, 2003 | C8B030012 | Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko | Disciplinary Decision | |
| December 22, 2003 | 03-03 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| December 15, 2003 | C01020027 | Hearing Panel Decision in Department of Enforcement v. Aurangzeb Rashid Pirzada | Disciplinary Decision | |
| December 10, 2003 | C3A030001 | Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino | Disciplinary Decision | |
| December 04, 2003 | C02030026 | Hearing Panel Decision in Department of Enforcement v. David T. Kaagan | Disciplinary Decision | |
| December 03, 2003 | CMS030006 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. | Disciplinary Decision | |
| November 24, 2003 | C01020024 | Hearing Panel Decision in Department of Enforcement v. Douglas Conant Day | Disciplinary Decision | |
| November 19, 2003 | CAF020007 | Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes | Disciplinary Decision | |
| November 14, 2003 | C02030015 | Hearing Panel Decision in Department of Enforcement v. Louis S. Gray | Disciplinary Decision | |
| November 10, 2003 | C3A020039 | Hearing Panel Decision in Department of Enforcement v. Salvatore Clark | Disciplinary Decision | |
| November 07, 2003 | C10020090 | Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante | Disciplinary Decision |