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. |
|---|---|---|---|---|
| November 08, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision | |
| November 05, 2013 | 2009019108901 | Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris | Disciplinary Decision | |
| October 15, 2013 | 2010024917601 | Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta | Disciplinary Decision | |
| October 07, 2013 | 20080150419 | Extended Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| September 27, 2013 | 2011025591601 | Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith. | Disciplinary Decision | |
| September 27, 2013 | 20120321124-01 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Disciplinary Decision | |
| September 19, 2013 | 2009016317701 | Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 19, 2013 | 2011025957702 | Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen | Disciplinary Decision | |
| August 13, 2013 | 2009016159102 | Amended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| July 18, 2013 | 2010024271001 | Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes | Disciplinary Decision | |
| June 28, 2013 | 2009018818101 | Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia | Disciplinary Decision | |
| June 20, 2013 | 2009016034101 | Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey. | Disciplinary Decision | |
| June 18, 2013 | FPI130001 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 12, 2013 | 2011025780101 | Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents | Disciplinary Order | 13-05 |
| June 11, 2013 | 2010024062601 | Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen | Disciplinary Decision | |
| June 03, 2013 | 2009019042402 | Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez | Disciplinary Order | 13-04 |
| May 30, 2013 | 2010024889501 | Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP | Disciplinary Decision | |
| May 02, 2013 | 2009017529101 | Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. | Disciplinary Order | 13-06 |
| April 15, 2013 | 2011030192201 | Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III | Disciplinary Decision | |
| April 04, 2013 | 20070094013 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| March 21, 2013 | 2010024837301 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| March 21, 2013 | 2009017527501 | Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson | Disciplinary Decision | |
| March 15, 2013 | 2010021621201 | Hearing Panel Decision in Department of Enforcement v. Michael Pino | Disciplinary Decision | |
| March 15, 2013 | 20080127674, 20080133768 | Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris | Disciplinary Decision | |
| March 13, 2013 | 2011026874301 | Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense | Disciplinary Order | 13-02 |