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. |
|---|---|---|---|---|
| June 06, 2024 | 2021072167901 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-18 |
| May 23, 2024 | 2021071137001 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-17 |
| May 21, 2024 | 2019064508802 | Order Granting Motion for Sequestration | Disciplinary Order | 24-14 |
| May 21, 2024 | 2019064508802 | Order Granting and Denying, in part, Respondent’s Motion to Modify Case Management and Scheduling Order and for Reconsideration of Hearing Procedures | Disciplinary Order | 24-15 |
| May 21, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Designate Witnesses as Adverse | Disciplinary Order | 24-13 |
| May 21, 2024 | 2019064508802 | Order Granting, in part, and Denying, in part, Respondent’s Motion for Videoconference or Telephone Testimony | Disciplinary Order | 24-16 |
| May 20, 2024 | 2021070337501 | Order Granting Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-12 |
| May 17, 2024 | 2019064508802 | Order Denying Enforcement’s Motion to Use Leading Questions | Disciplinary Order | 24-11 |
| May 17, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Judicial Notice | Disciplinary Order | 24-10 |
| May 15, 2024 | 2022073772701 | Order Denying Respondent’s Motion Pursuant to Rule 9251 | Disciplinary Order | 24-09 |
| April 30, 2024 | 2020066257302 | Order Granting Enforcement’s Objection to Respondent’s Proposed Witnesses | Disciplinary Order | 24-08 |
| March 28, 2024 | 2021070734301 | Beliveau Bays | Disciplinary Decision - Default | |
| March 22, 2024 | 2021071137001 | APPEALED: Charles Frederik Lek | Disciplinary Decision | |
| March 21, 2024 | 2021070337501 | APPEALED: Michael Venturino | Disciplinary Decision | |
| March 15, 2024 | 2018057297102 | Order Regarding Jury Summons | Disciplinary Order | 24-07 |
| February 28, 2024 | 2019061942901 | APPEALED: Michael Ciro Colletti | Disciplinary Decision | |
| February 07, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Leave to Permit Expert Testimony | Disciplinary Order | 24-06 |
| February 06, 2024 | 2021071094401 | Amended Order Relating to Audio Files | Disciplinary Order | 24-05 |
| January 31, 2024 | 2023077669201 | Damian M. Baird | Disciplinary Decision - Default | |
| January 25, 2024 | 2017055886402 | Cantone Research Inc., Anthony J. Cantone, and Raymond J. DeRobbio | Disciplinary Decision | |
| January 23, 2024 | 2018060897302 | Darren M. Kubiak | Disciplinary Decision - Default | |
| January 17, 2024 | 2018057297102 | Order granting in part, and denying, in part, enforcement’s consent motion for leave to offer telephone or videoconference testimony | Disciplinary Order | 24-04 |
| January 05, 2024 | 2019064508802 | Order Denying Respondent’s Second Revised FINRA Rule 9251 Motion | Disciplinary Order | 24-03 |
| January 03, 2024 | 2019063152202 | Order Denying Respondent’s FINRA Rule 9252 Motion to Compel Production of Documents | Disciplinary Order | 24-02 |
| January 02, 2024 | 2019064508802 | Amended Order Denying Respondent’s Second Revised FINRA Rule 9252 Motion | Disciplinary Order | 24-01 |