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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.
October 01, 2015 2013035344201 Protective Order Governing Personal Confidential Information Disciplinary Order 15-13
October 01, 2015 2013035095301 Candace Jean Lee Disciplinary Decision
September 28, 2015 2013035618602 Andre Mitchell Disciplinary Decision - Default
September 21, 2015 20080148227-02 Order Granting Respondents’ Preclusion Motion Disciplinary Order 15-12
September 16, 2015 2013035928002 Otis Treat Bradley Disciplinary Decision - Default
September 15, 2015 2012033508702 APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus Disciplinary Decision
September 04, 2015 2013037815302 Frederick Juri Kotowitz Disciplinary Decision - Default
August 27, 2015 2012034934301 Wedbush Securities Inc. Disciplinary Decision
August 19, 2015 2012030670603 Jordon S. Trice Disciplinary Decision - Default
August 17, 2015 2012030373701 John Joseph Vaughan Disciplinary Decision - Default
August 16, 2015 2013036799902 Gaby Delisme Disciplinary Decision - Default
August 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision
August 07, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
August 06, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
August 04, 2015 2011028071901 Allen Michael Green Disciplinary Decision - Default
July 23, 2015 2012030527503 APPEALED: Thaddeus James North

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Disciplinary Decision
July 17, 2015 2014041319401 Jason M. Otto Disciplinary Decision - Default
July 17, 2015 2012034936101 APPEALED: Jeffrey D. Noard

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Disciplinary Decision
July 10, 2015 2009017440201 APPEALED: Louis Ottimo

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Disciplinary Decision
July 01, 2015 2012035316101 Jeffrey Alan Stewart Disciplinary Decision - Default
June 30, 2015 2012033128703 APPEALED: Brian Michael White Disciplinary Decision
June 29, 2015 2012031877501 John Joseph Vaughan Disciplinary Decision - Default
June 29, 2015 20110263957-01 Jack Lawrence Howard Disciplinary Decision
June 26, 2015 2011030072301 Audra Lynn Lalley Disciplinary Decision
June 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision