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. |
---|---|---|---|---|
March 08, 2017 | 2015044921601 | Order Denying Respondent’s Discovery Motion. | Disciplinary Order | 17-04 |
March 07, 2017 | 2013035902701 | Glenn McDowell | Disciplinary Decision - Default | |
March 06, 2017 | 2015044198601 | Michael Jean-Paul Mason | Disciplinary Decision - Default | |
March 03, 2017 | 2014039285401 | APPEALED: Southeast, N.C., Inc. and Frank Harmon Black | Disciplinary Decision | |
February 24, 2017 | 2014042059701 | Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. | Disciplinary Order | 17-03 |
February 22, 2017 | 2014041724602 | Eric Joseph Miller | Disciplinary Decision - Default | |
February 09, 2017 | 2013035344201 | Red River Securities, LLC and Brian Keith Hardwick | Disciplinary Decision | |
February 07, 2017 | 2014042291901 | Order Denying Respondents’ Motion for Summary Disposition. | Disciplinary Order | 17-02 |
February 03, 2017 | 2012034242501 | Collard, Araiz & Further Lane Securities | Disciplinary Decision - Default | |
January 30, 2017 | 2013037401001 | Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence | Disciplinary Order | 17-01 |
January 26, 2017 | 2012030738501 | APPEALED: J.W. Korth and Company | Disciplinary Decision | |
January 11, 2017 | 2013037097602 | Jeffery A. Vaughn | Disciplinary Decision | |
January 10, 2017 | 2015045532002 | Samuel McClain | Disciplinary Decision - Default | |
December 28, 2016 | 2014042690502 | Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. | Disciplinary Order | 16-34 |
December 16, 2016 | 2014040876001 | APPEALED: Kenneth J. Mathieson | Disciplinary Decision | |
December 14, 2016 | 2012033832501 | APPEALED: Matthew D. Rubin | Disciplinary Decision | |
December 14, 2016 | 2015044823501 | Order Denying Respondent Beyn’s Motion for Additional Discovery. | Disciplinary Order | 16-33 |
December 13, 2016 | 2014040501801 | Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer | Disciplinary Decision | |
December 12, 2016 | 2013036653301 | Vincent Au | Disciplinary Decision | |
December 08, 2016 | DFC160001 | McBarron Capital, LLC | Expedited Decision | |
December 06, 2016 | 2014043420401 | Bo Li | Disciplinary Decision - Default | |
December 06, 2016 | 2012034139101 | Christopher Ariola | Disciplinary Decision - Default | |
December 06, 2016 | 2015047559201 | Michael Lavolpe | Disciplinary Decision - Default | |
December 01, 2016 | ARB160019 | Michael David Schwartz | Expedited Decision | |
November 28, 2016 | 2013038770901 | Ricky R. Moore | Disciplinary Decision |