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. |
|---|---|---|---|---|
| June 12, 2013 | 2011025780101 | Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents | Disciplinary Order | 13-05 |
| June 11, 2013 | 2010024062601 | Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen | Disciplinary Decision | |
| June 03, 2013 | 2009019042402 | Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez | Disciplinary Order | 13-04 |
| May 30, 2013 | 2010024889501 | Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP | Disciplinary Decision | |
| May 02, 2013 | 2009017529101 | Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. | Disciplinary Order | 13-06 |
| April 15, 2013 | 2011030192201 | Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III | Disciplinary Decision | |
| April 04, 2013 | 20070094013 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| March 21, 2013 | 2009017527501 | Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson | Disciplinary Decision | |
| March 21, 2013 | 2010024837301 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| March 15, 2013 | 2010021621201 | Hearing Panel Decision in Department of Enforcement v. Michael Pino | Disciplinary Decision | |
| March 15, 2013 | 20080127674, 20080133768 | Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris | Disciplinary Decision | |
| March 13, 2013 | 2011026874301 | Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense | Disciplinary Order | 13-02 |
| March 12, 2013 | 2011025674101 | Hearing Panel Decision in Department of Enforcement v. Shlomi S. Eplboim | Disciplinary Decision | |
| March 04, 2013 | 2008013864401 | Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3 | Disciplinary Decision | |
| February 26, 2013 | 2010024320101 | Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler | Disciplinary Decision | |
| February 21, 2013 | 2011029760201 | Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. | Disciplinary Decision | |
| February 19, 2013 | 2011029152401 | Hearing Panel Decision in Department of Enforcement v. William B. Smith | Disciplinary Decision | |
| January 25, 2013 | 2009017798902 | Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 | Redacted Decision | |
| January 18, 2013 | 2010023044101 | Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci | Disciplinary Decision | |
| January 11, 2013 | 2009016764901 | Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker | Disciplinary Decision | |
| January 04, 2013 | FPI120005 | Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 04, 2013 | 2010023349601 | Hearing Panel Decision in Department of Enforcement v. Denise M. Olson | Disciplinary Decision | |
| January 02, 2013 | 2009019108901 | Order Denying Motion by Respondent 1 for an Extension of Time – Hearing | Disciplinary Order | 13-01 |
| December 17, 2012 | 2009020081301 | Amended Hearing Panel Decision in Department of Enforcement v. William M. Somerindyke, Jr. and Respondent 2 | Disciplinary Decision | |
| December 06, 2012 | FPI120012 | Hearing Panel Decision in Department of Enforcement v. Steven Barbot | Expedited Decision, Rule 9550 Expedited Decisions |