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.
January 02, 2019 2015043646501 APPEALED: CSSC Brokerage Services, Inc. Disciplinary Decision
December 12, 2018 2016051299201 Stewart Clinton Malloy Disciplinary Decision - Default
November 29, 2018 2014041860801 APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler Disciplinary Decision
November 23, 2018 2017052871401 Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 Disciplinary Order 18-21
November 14, 2018 2014041862701 APPEALED: Spencer Edwards, Inc. Disciplinary Decision
November 13, 2018 2016050205901 APPEALED: Charles A. Laverty Disciplinary Decision
November 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
November 09, 2018 2016049197001 Sean William Killoran Disciplinary Decision - Default
November 06, 2018 2016052604602 Craig Scott Hartman Disciplinary Decision - Default
October 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion Disciplinary Order 18-16
October 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
October 30, 2018 2017053669301 Jason David Disciplinary Decision - Default
October 29, 2018 FPI180004 Jessica Bower Blake Expedited Decision
October 17, 2018 2015044782401 APPEALED: Robbi J Jones and Kipling Jones & Company, Ltd. Disciplinary Decision
October 09, 2018 2016050741702 Thomas A. Davis Disciplinary Decision - Default
October 08, 2018 2016048912703 Order Denying Bruce Meyers’ Motion to Compel Disciplinary Order 18-15
September 27, 2018 2016052504602 Atiq U. Khan Disciplinary Decision - Default
September 14, 2018 2014039775501 James Randall Clay Disciplinary Decision
September 10, 2018 FPI180002 APPEALED: TMR Bayhead Securities Disciplinary Decision
August 28, 2018 2017054146302 Matthew E. Eckstein Disciplinary Decision - Default
August 27, 2018 2016051652702 J. Gordon, Jr. Cloutier Disciplinary Decision - Default
August 24, 2018 2016049775701 David JC Bolton Disciplinary Decision - Default
August 22, 2018 2016050212201 David A. Clark Disciplinary Decision - Default
August 07, 2018 2016050924601 APPEALED: Bradley C. Reifler Disciplinary Decision
August 01, 2018 2016050025401 Order Granting Motion for Leave to File Second Amended Complaint Disciplinary Order 18-14