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. |
---|---|---|---|---|
February 14, 2018 | 2016049420501 | Second Order Rescheduling Initial Pre-Hearing Conference | Disciplinary Order | 18-02 |
February 12, 2018 | 2016049508602 | Jasper Boykin | Disciplinary Decision - Default | |
February 06, 2018 | DFC170004 | APPEALED: Dakota Securities International, Inc. | Expedited Decision | |
February 05, 2018 | 2016048870601 | Ricardo Rodriguez-Stern | Disciplinary Decision - Default | |
February 02, 2018 | 2015046759201 | APPEALED: Todd B. Wyche | Disciplinary Decision | |
January 26, 2018 | 2015047528202 | Farid Morim | Disciplinary Decision - Default | |
January 16, 2018 | 2011030509802 | James S. Meagher | Disciplinary Decision - Default | |
January 10, 2018 | 2014041860801 | Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike | Disciplinary Order | 18-05 |
January 10, 2018 | 2014042606902 | Order Granting Enforcement’s Motion for Rule-Compliant Answer | Disciplinary Order | 18-03 |
January 08, 2018 | 2014043869901 | Jeffrey E. Krupnick | Disciplinary Decision | |
December 27, 2017 | 2015045456401 | APPEALED: David O. Braeger | Disciplinary Decision | |
December 21, 2017 | ARB160035 | APPEALED: Keith Patrick Sequeira | Expedited Decision | |
December 20, 2017 | 2016047565702 | Order Regarding Motion for Order Directing Zipper to File a Proper Answer | Disciplinary Order | 17-22 |
December 15, 2017 | 2013037522501 | APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian | Disciplinary Decision | |
December 14, 2017 | ARB170025 | Matthew Grady | Expedited Decision | |
December 08, 2017 | 2014040347701 | Craig Gary Langweiler | Disciplinary Decision - Default | |
December 08, 2017 | 2013039306601 | Michael Timothy Dolan | Disciplinary Decision | |
November 21, 2017 | 2013037522501 | Order Adding Additional Exhibit into Evidentiary Record | Disciplinary Order | 17-21 |
November 15, 2017 | 2015045951303 | Vladimir Tingue | Disciplinary Decision - Default | |
November 13, 2017 | 2015047154001 | Order Denying Respondent’s Amended Motion to Grant Expert Testimony | Disciplinary Order | 17-19 |
November 13, 2017 | 2013035345701 | Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List | Disciplinary Order | 17-20 |
November 08, 2017 | 2014041985401 | APPEALED: James Larkin Powers | Disciplinary Decision | |
November 08, 2017 | 2014040809501 | Eddie Basora, Jr. | Disciplinary Decision | |
November 06, 2017 | 2015048048801 | Hank M. Werner and Legend Securities, Inc. | Disciplinary Decision | |
November 06, 2017 | 2015048048801 | Werner, Stanton, & Legend Securities, Inc. | Disciplinary Decision - Default |