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. |
|---|---|---|---|---|
| October 11, 2011 | 2007011915401 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 04, 2011 | 2007008935010 | Hearing Panel Decision in Department of Enforcement v. David Trende | Disciplinary Decision | |
| October 03, 2011 | 20090195518 | Hearing Panel Decision in Department of Enforcement v. Darrell Eugene Fox | Disciplinary Decision | |
| September 22, 2011 | 20090192254 | Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision | Disciplinary Order | 11-09 |
| September 19, 2011 | 2009019637001 | Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Thomas Thanh Doan | Disciplinary Decision | |
| September 15, 2011 | 2010023719601 | Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney | Disciplinary Decision | |
| September 07, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Stay of Hearing | Disciplinary Order | 11-08 |
| September 01, 2011 | 20070072538-03 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Max International Broker-Dealer, Corp. | Disciplinary Decision | |
| July 28, 2011 | 2008012925001 | Order Regarding Pending Motions and Pre-Hearing Issues | Disciplinary Order | 11-10 |
| June 24, 2011 | 2008011725901 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| June 13, 2011 | 2008011701203 | Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc. | Disciplinary Decision | |
| June 09, 2011 | 2008015270701 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| June 08, 2011 | 2007010398802 | Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part | Disciplinary Order | 11-11 |
| June 01, 2011 | 2010021196801 | Order Regarding Respondent’s Motion to Stay | Disciplinary Order | 11-07 |
| May 18, 2011 | 2007010580702 | Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony | Disciplinary Order | 11-06 |
| May 16, 2011 | 2007011413501 | Order Denying Respondents’ Motion to Exclude Certain Portions of the Expert Report of HGF and to Preclude His Expert Testimony on the Issue of Suitability | Disciplinary Order | 11-05 |
| May 05, 2011 | 2008014712201 | Hearing Panel Decision in Department of Enforcement v. Kirk L. Gravelle | Disciplinary Decision | |
| April 25, 2011 | 2007008239001 | ; CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume | Disciplinary Decision | |
| April 25, 2011 | 2009017775601 | Hearing Panel Decision in Department of Enforcement v. Meyers Associates, LP | Disciplinary Decision | |
| April 18, 2011 | EQS100001 | Department of Member Regulation v. Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 30, 2011 | 2008011719501 | Hearing Panel Decision in Department of Enforcement v. Tina Newman | Disciplinary Decision | |
| March 28, 2011 | 2006004666601 | Hearing Panel Decision in Department of Enforcement v. Ryan J. Kirkpatrick | Disciplinary Decision | |
| March 25, 2011 | FPI100022 | Hearning Panel Decision in Department of Enforcement v. Kent Sweat and Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 24, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Leave to Offer Expert Testimony | Disciplinary Order | 11-04 |
| March 18, 2011 | 2007011413501 | Order Denying the Respondents’ Motion to Compel Production of Documents; for Production of a List of Withheld Documents; and to Extend Deadlines and Hearing Dates | Disciplinary Order | 11-03 |