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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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
June 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan

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June 12, 2008 20070094345 and 20070111775 Order Denying Respondent 2's Motion to Dismiss Disciplinary Order 08-09
June 12, 2008 2005001798201 Order Denying Respondent's Motion for Summary Disposition Disciplinary Order 08-10
May 30, 2008 2006005565401 Hearing Panel Decision in Department of Enforcement v. Michael L. Vines

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May 29, 2008 2005000323905 Hearing Panel Decision in Department of Market Regulation v. Stephen Ira Golden and Richard F. Kresge Disciplinary Decision
May 15, 2008 E112005002003 Hearing Panel Decision in Department of Enforcement v. StoneGate Partners, LLC and Brian W. Bernier Disciplinary Decision
May 14, 2008 20060049953-01 Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero

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May 02, 2008 2006004377701 Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke

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April 30, 2008 2005000191701 Hearing Panel Decision in Department of Market Regulation v. Paul M. Giarmoleo Disciplinary Decision
April 25, 2008 CAF040079 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
April 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng

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April 10, 2008 20060042305-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
April 04, 2008 2005003437102 Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing

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April 04, 2008 2005003437102 Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense

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April 04, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition

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Disciplinary Order 08-07
March 27, 2008 C02050006 Order Approving and Forwarding Contested Offer of Settlement

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Disciplinary Order 08-05
March 18, 2008 2006004992601 Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney Disciplinary Decision
March 18, 2008 2006005849101 Order Denying Motion to Set Aside Default Decision Disciplinary Order 08-04
February 29, 2008 20070077587 Rulings on Pre-Hearing Motions and Notice of Hearing Disciplinary Order 08-03
February 26, 2008 2005003437102 Order Denying Motion for Leave to Offer Expert Testimony

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Disciplinary Order 08-02
February 21, 2008 E0420030634-04 Hearing Panel Decision in Department of Enforcement v. John M. Repine Disciplinary Decision
February 20, 2008 2006005005301 Hearing Panel Decision in Department of Enforcement v. Shane A. Selewach Disciplinary Decision
February 15, 2008 2005003437102 Order Denying Respondent's Motion to Compel Production of Documents

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February 07, 2008 E102004083705 Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi

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February 07, 2008 E102004083704 Hearing Panel Decision in Department of Enforcement v. Marc Winters

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