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. |
|---|---|---|---|---|
| November 30, 2012 | 20100248883-01 | Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama | Disciplinary Decision | |
| November 19, 2012 | 2009018377601 | Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock | Disciplinary Decision | |
| November 09, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | Disciplinary Order | 12-07 |
| November 01, 2012 | 2011025643201 | Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay | Disciplinary Decision | |
| October 25, 2012 | 2010022128301 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 25, 2012 | 2008016437801 | Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III | Disciplinary Decision | |
| October 23, 2012 | 2011026664301 | Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer | Disciplinary Order | 12-06 |
| October 22, 2012 | 2010025132201 | Hearing Panel Decision in Department of Enforcement v. Amy Siesennop | Disciplinary Decision | |
| October 17, 2012 | 2010024320101 | Order to Provide Verification in Support of Request for Continuance of Hearing | Disciplinary Order | 12-05 |
| October 12, 2012 | 2009018771602 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| September 28, 2012 | 2008012925001 | Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 28, 2012 | 2009019837302 | Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier | Disciplinary Decision | |
| September 18, 2012 | 2008014015901 | Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare | Disciplinary Decision | |
| August 30, 2012 | 2010023367001 | Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents | Disciplinary Order | 12-04 |
| August 28, 2012 | 2008013863702 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 23, 2012 | 2008015617902 | Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow | Disciplinary Decision | |
| August 02, 2012 | 20070094044 | Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush | Disciplinary Decision | |
| July 26, 2012 | 2009018076101 | Hearing Panel Decision in Department of Enforcement v. Blair A. West | Disciplinary Decision | |
| July 20, 2012 | FPI110005 | Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener | Expedited Decision, Rule 9550 Expedited Decisions | |
| July 09, 2012 | 20100214065-01 | Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre | Disciplinary Decision | |
| July 06, 2012 | 2010024889501 | Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses | Disciplinary Order | 12-03 |
| July 02, 2012 | 20070082049 | Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane | Disciplinary Decision | |
| June 14, 2012 | 2009019369302 | Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng | Disciplinary Decision | |
| June 08, 2012 | 2007008724701 | Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson | Disciplinary Decision | |
| May 31, 2012 | 2007011413501 | Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy | Disciplinary Decision |