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. |
|---|---|---|---|---|
| October 21, 2010 | 2007009181101 | Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II | Disciplinary Decision | |
| October 18, 2010 | 2006005786501 | Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie | Disciplinary Decision | |
| October 08, 2010 | 2008014621701 | Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents | Disciplinary Order | 10-06 |
| October 08, 2010 | 2007009461301 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 06, 2010 | FPI100008 | Hearning Panel Decision in Department of Member Regulation v. Sharemaster | Expedited Decision, Rule 9550 Expedited Decisions | |
| September 20, 2010 | 2005000171202 | Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| September 17, 2010 | FPI100016 | Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| August 19, 2010 | 2008012531501 | Hearing Panel Decision in Department of Enforcement v. Kevin Scott Pound | Disciplinary Decision | |
| August 11, 2010 | E9B2003033701 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 06, 2010 | 2005001988201 | Amended Hearing Panel Decision in Department of Enforcement v. Mark B. Beloyan and Tradespot Markets, Inc. | Disciplinary Decision | |
| July 12, 2010 | 2008014621701 | Order Granting Respondent 2's Motion to File a Reply and Denying Respondent 2's Motion for More Definite Statement | Disciplinary Order | 10-04 |
| June 15, 2010 | 2008014873201 | Hearing Panel Decision in Department of Enforcement v. Nicholas Michael Rubino | Disciplinary Decision | |
| June 11, 2010 | 2007007792902 | Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw | Disciplinary Decision | |
| May 28, 2010 | 200011592201 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | Disciplinary Order | 10-03 |
| May 21, 2010 | 20070094468 | Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor | Disciplinary Decision | |
| May 21, 2010 | 2007011489301 | Hearing Panel Decision in Department of Enforcement v. Ryan A. Leopold | Disciplinary Decision | |
| May 19, 2010 | 2007011937001 | Hearing Panel Decision in Department of Enforcement v. Howard Braff | Disciplinary Decision | |
| May 10, 2010 | 2007009981201 | Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker | Disciplinary Decision | |
| May 06, 2010 | 2005003610701 | Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm | Disciplinary Decision | |
| May 04, 2010 | 2007007989901 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 30, 2010 | 2008013503101 | Order Denying Respondent's Motions for Leave to Seek and Retain Counsel and to Adjourn and Retain Counsel | Disciplinary Order | 10-02 |
| April 20, 2010 | 2006003916901 | Hearing Panel Decision in Department of Enforcement v. Richard Michael Bowers | Disciplinary Decision | |
| April 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| April 08, 2010 | 200500224102 | Order Limiting the Dissemination of Personal, Confidential Information | Disciplinary Order | 10-01 |
| March 22, 2010 | 2006005178801 | Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis | Disciplinary Decision |