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. |
|---|---|---|---|---|
| May 10, 2012 | 2009017918001 | Hearing Panel Decision in Department of Enforcement v. John D. Rausch | Disciplinary Decision | |
| May 03, 2012 | 20060053785-02 | Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake | Disciplinary Decision | |
| April 27, 2012 | 2008014969001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 05, 2012 | 2011029760201 | Order Denying Respondent’s Motion for Leave to Serve Limited Discovery | Disciplinary Order | 12-02 |
| April 04, 2012 | 20050007427 | Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason | Disciplinary Decision | |
| April 02, 2012 | 2009019297801 | Hearing Panel Decision in Department of Enforcement v. Dame Cisse | Disciplinary Decision | |
| March 30, 2012 | 2008015934801 | Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky | Disciplinary Decision | |
| March 29, 2012 | 2010021303301 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| March 22, 2012 | 2009017439601 | Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka | Disciplinary Decision | |
| March 14, 2012 | 2009018771602 | Order Denying Respondent’s Motion to Present Expert Witness | Disciplinary Order | 12-01 |
| March 09, 2012 | 20080117243 | Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni | Disciplinary Decision | |
| February 23, 2012 | 2009018944001 | Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II | Disciplinary Decision | |
| January 30, 2012 | 2007010902501 | Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce | Disciplinary Decision | |
| January 25, 2012 | 2008014285801 | Hearing Panel Decision in Department of Enforcement v. Paul James Marshall | Disciplinary Decision | |
| December 30, 2011 | 2005002244102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 30, 2011 | 2010021916601 | Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen | Disciplinary Decision | |
| December 19, 2011 | 2007010158001 | Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. | Disciplinary Decision | |
| December 13, 2011 | 2008011762801 | Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet | Disciplinary Decision | |
| December 06, 2011 | 2009018819001 | Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette | Disciplinary Decision | |
| November 22, 2011 | 20080138685 | Hearing Panel Decision in Department of Enforcement v. Ron William Howell | Disciplinary Decision | |
| November 18, 2011 | 2007010580702 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| November 08, 2011 | 2008014621701 | Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. | Disciplinary Decision | |
| October 29, 2011 | 2010021627601 | Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman | Disciplinary Decision | |
| October 17, 2011 | 2009018068701 | Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt | Disciplinary Decision | |
| October 13, 2011 | 2007010398802 | Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis | Disciplinary Decision |