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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.
January 03, 2022 ARB210015 Jeanette S. Stofleth Expedited Decision
December 30, 2021 FPI210005 Darryl Matthew Cohen Expedited Decision
December 14, 2021 2019061528001 Order Denying Respondents’ Motion For a More Definite Statement Disciplinary Order 21-15
November 19, 2021 2019061941101 Michael J. Giovannelli Disciplinary Decision - Default
November 10, 2021 2018057274302 Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine Disciplinary Order 21-14
October 29, 2021 2018058798802 Blair Olsen Disciplinary Decision - Default
October 29, 2021 2018057235801 Order Granting in Part Respondent’s Motion for Continuance Disciplinary Order 21-13
October 28, 2021 2019061232601 Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek Disciplinary Order 21-12
October 21, 2021 ARB210010 Derek Rudolf D’Alonzo Expedited Decision
October 12, 2021 2016048837401 Order Granting Enforcement’s Request to Correct the Hearing Transcript Disciplinary Order 21-11
September 22, 2021 2020065292102 Elizabeth A. Sollars Disciplinary Decision - Default
September 07, 2021 2019062347102 Adam G. Belardino Disciplinary Decision - Default
September 07, 2021 2017053462401 APPEALED: Robert Henderson Disciplinary Decision
August 24, 2021 FPI210005 Amended Order setting Hearing and Other Deadlines Expedited Order EXP21-02
August 17, 2021 ARB210008 Leslie George Markus, Jr. Expedited Decision
August 17, 2021 ARB210003 Henrique David Lucena Expedited Decision
August 09, 2021 2018060379701 Frank V. Sapareto Disciplinary Decision - Default
July 29, 2021 ARB210008 Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits Expedited Order EXP21-01
July 26, 2021 2020068395801 Hugues Guirand Disciplinary Decision - Default
July 23, 2021 ARB210004 Gary J. Helbling Expedited Decision
July 23, 2021 2018056436001 Integrity Brokerage Services, Inc. and Joshua Helmle Disciplinary Decision
July 22, 2021 2019064313901 Paramveer Singh Disciplinary Decision
July 08, 2021 2019061187102 Ji Jun Yang Disciplinary Decision - Default
July 07, 2021 2021070337401 Kishan Parikh Disciplinary Decision - Default
July 01, 2021 2016048837401 Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses Disciplinary Order 21-10