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. |
---|---|---|---|---|
April 11, 2019 | 2016050025401 | Frederick David Holloway | Disciplinary Decision | |
April 05, 2019 | 2016049565901 | APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang | Disciplinary Decision | |
April 05, 2019 | 2016050137503 | Order Regarding Respondents’ Motion For Extension Of Time To Answer | Disciplinary Order | 19-13 |
April 01, 2019 | 2016048393501 | Order Granting Motion for Leave to File First Amended Complaint and Index to the First Amended Complaint | Disciplinary Order | 19-12 |
March 28, 2019 | 2016052503101 | Order Denying Respondent’s Motion for Summary Disposition | Disciplinary Order | 19-11 |
March 13, 2019 | 2017052760001 | Order Regarding Pre-Hearing Submissions | Disciplinary Order | 19-09 |
March 13, 2019 | 2016052503101 | Order Granting in Part and Denying in Part Respondent’s Rule 9252 Request | Disciplinary Order | 19-10 |
March 12, 2019 | 2018058866401 | Tyler J. Woodward | Disciplinary Decision - Default | |
March 05, 2019 | 2013035345701 | APPEALED: Titan Securities, Brad Brooks and Richard Demetriou | Disciplinary Decision | |
March 04, 2019 | 2016050883001 | Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference | Disciplinary Order | 19-08 |
March 04, 2019 | 2016050883001 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 19-07 |
March 01, 2019 | 2016051493704 | Order Granting in Part Enforcement’s Motion for Rule-Compliant Answer | Disciplinary Order | 19-05 |
February 28, 2019 | 2016048393501 | Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference and Requiring Certificate of Compliance with FINRA Rule 9910 | Disciplinary Order | 19-04 |
February 15, 2019 | 2012033566205 | Accelerated Capital Group, Inc. | Disciplinary Decision - Default | |
February 15, 2019 | 2015045312501 | Supplemental Order Regarding Denial of Motion for Stay of Proceedings | Disciplinary Order | 19-18 |
January 30, 2019 | 2015047005801 | Order Denying Enforcement’s Motion for Summary Disposition and Granting in Part and Denying in Part Motion to Strike Affirmative Defense | Disciplinary Order | 19-03 |
January 29, 2019 | 2014042606902 | APPEALED: Silver Leaf Partners, LLC | Disciplinary Decision | |
January 29, 2019 | 2014043863001 | APPEALED: Peter Orlando | Disciplinary Decision | |
January 25, 2019 | ARB180037 | Order Denying Motion to Dismiss; | Expedited Order | EXP19‐01 |
January 09, 2019 | 2016050938301 | Order Granting Department of Enforcement’s Unopposed Motion Regarding Sequestration | Disciplinary Order | 19-01 |
January 09, 2019 | 2016050938301 | Order Granting Department of Enforcement’s Motion For Leave to Amend its Exhibit List | Disciplinary Order | 19-02 |
January 02, 2019 | 2015043646501 | APPEALED: CSSC Brokerage Services, Inc. | Disciplinary Decision | |
December 12, 2018 | 2016051299201 | Stewart Clinton Malloy | Disciplinary Decision - Default | |
November 29, 2018 | 2014041860801 | APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler | Disciplinary Decision | |
November 23, 2018 | 2017052871401 | Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 | Disciplinary Order | 18-21 |