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. |
|---|---|---|---|---|
| August 11, 2014 | 2009019042402 | Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. | Disciplinary Decision | |
| August 05, 2014 | 2011027402201 | ; CALLED FOR REVIEW: Raymond Thomas Clark | Disciplinary Decision | |
| July 16, 2014 | 2012033128703 | Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information | Disciplinary Order | 14-02 |
| July 08, 2014 | 2009020465801 | Hearing Panel Decision in Department of Enforcement v. Keith D. Geary | Disciplinary Decision | |
| July 08, 2014 | 2012032950101 | Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler | Disciplinary Decision | |
| July 03, 2014 | 20110275168-01 | Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof | Disciplinary Decision | |
| June 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| June 17, 2014 | 2011026788801 | Order Denying Summary Disposition | Disciplinary Order | 14-01 |
| June 13, 2014 | 2010025350001 | Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith | Disciplinary Decision | |
| May 27, 2014 | 2011028003001 | Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi | Disciplinary Decision | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| May 08, 2014 | 2012031142101 | Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. | Disciplinary Decision | |
| May 06, 2014 | 2010025181001 | Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard | Disciplinary Decision | |
| April 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| April 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| March 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| February 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| February 07, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| January 28, 2014 | 2011026664301 | Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. | Disciplinary Decision | |
| January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | Disciplinary Order | 14-03 |
| January 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| January 21, 2014 | 2011029227701 | Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee | Disciplinary Decision | |
| December 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| December 27, 2013 | 2011025506901 | Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach | Disciplinary Decision | |
| December 17, 2013 | 20110269351 | Hearing Panel Decision in Department of Market Regulation v. John Cherry III | Disciplinary Decision |