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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.

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Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
March 30, 2015 2011025675501 APPEALED: Kimberly Springsteen-Abbott

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March 30, 2015 2011025785602 Anthony Warren Thompson and TNP Securities, LLC Disciplinary Decision
March 18, 2015 DFC140002 Order Granting Complainant's Motion to Dismiss Hearing Request Expedited Order EXP15-01
March 17, 2015 2011027271901 Richard Blair Disciplinary Decision
March 16, 2015 2013037950901 Darrell W. Mikulencak Disciplinary Decision - Default
March 12, 2015 FPI140011 Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky Expedited Decision, Rule 9550 Expedited Decisions
March 10, 2015 2012034573001 Bart James Ellis Disciplinary Decision - Default
March 10, 2015 2011026788801 Keith Geary Disciplinary Decision
March 09, 2015 2012030724101 APPEALED: Fox Financial Management Corporation, Brian A. Murphy, and James E. Rooney, Jr.

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February 25, 2015 2013035252902 Antonio V. Falcon Disciplinary Decision - Default
February 23, 2015 2010024522103 Order Denying Respondents’ Motion Pursuant to Rule 9251 Disciplinary Order 15-02
February 13, 2015 2013036217601 Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony Disciplinary Order 15-03
February 11, 2015 2012032758601 Jeffrey Brian Meyer Disciplinary Decision - Default
February 10, 2015 2013035445001 Sharon Goodale Disciplinary Decision - Default
February 03, 2015 2011025706401 Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony Disciplinary Order 15-04
February 03, 2015 2014041664201 Michael J. Baker
Disciplinary Decision - Default
January 28, 2015 2013038988301 Jonathan A. Francis Disciplinary Decision - Default
January 27, 2015 2012034936005 Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion

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Disciplinary Order 15-05
January 20, 2015 2011028647101 John Carris Investments, LLC, George Carris, Andrey Tkatchenko, Jason Barter, and Randy Heckler Disciplinary Decision
January 16, 2015 2012034431401 Anthony J. DeBlase Disciplinary Decision - Default
January 09, 2015 20120334673-01 Department of Enforcement v. John Thomas Financial, Inc. Disciplinary Decision
December 30, 2014 2009020941801 APPEALED: Lek Securities Corporation and Samuel Frederik Lek

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Disciplinary Decision
December 30, 2014 20080148227-02 Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement Disciplinary Order 14-09
December 22, 2014 2012034389202 APPEALED: Bernard G. McGee

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Disciplinary Decision
December 10, 2014 2011026386001 Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates Disciplinary Order 14-08