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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, 2015 2014040182902 Christopher L. Anderson Disciplinary Decision - Default
June 16, 2015 2011025851501 APPEALED: KCD Financial, Inc.

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June 09, 2015 2012034946901 Nicholas P. Vargas Disciplinary Decision - Default
June 08, 2015 ARB140066 Michael Albert DiPietro Expedited Decision, Rule 9550 Expedited Decisions
June 05, 2015 20140407790-01 Richard Francis Kenny, Jr. Disciplinary Decision
June 04, 2015 2011025444501 Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix

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May 21, 2015 2012032519101 APPEALED: Robert Earl Holaday

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May 18, 2015 20110279263-01 APPEALED: Matthew Joseph Sheerin Disciplinary Decision
May 18, 2015 2012033520801 Bradley Claus
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May 13, 2015 2014040906601 Philip L. Grasso Disciplinary Decision - Default
May 04, 2015 2009016159111 Brian Sanders Disciplinary Decision
May 04, 2015 2009016159110 Pellicano Menendez, et al. Disciplinary Decision - Default
May 04, 2015 2009016159110 Anthony Spagnolo, III Disciplinary Decision
May 04, 2015 2012034939302 Michael John Dell’Olio Disciplinary Decision - Default
May 04, 2015 2013038196601 Lee W. Waller Disciplinary Decision - Default
April 28, 2015 2013037336401 Ryan L. Rayford Disciplinary Decision - Default
April 28, 2015 2012033351801 ; CALLED FOR REVIEW: Paolo Franca Iida

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April 15, 2015 2012035107701 Jeffrey W. Weaver Disciplinary Decision - Default
April 14, 2015 2013038544601 Sumner James Starbird Disciplinary Decision - Default
April 08, 2015 2011025622001 Order Denying Respondent's Motion for Leave to Permit Expert Testimony Disciplinary Order 15-08
April 08, 2015 2010024522103 Order Denying Motion Pursuant to FINRA Rule 9234 Disciplinary Order 15-09
April 02, 2015 2012034045101 Charles H. Melvin, Jr. Disciplinary Decision
April 02, 2015 2013036217601 Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 15-07
April 01, 2015 2014040234701 Jon L. Cox
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March 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash

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