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.
March 14, 2018 2016052347901 APPEALED: Austin Wayne Morton Disciplinary Decision
March 05, 2018 2015047154001 Order Denying Respondent’s Motion for Admission of Additional Exhibits Disciplinary Order 18-10
February 27, 2018 2012032731802 APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Disciplinary Decision
February 27, 2018 2015045254501 APPEALED: Richard O. White Disciplinary Decision
February 14, 2018 2016049420501 Second Order Rescheduling Initial Pre-Hearing Conference Disciplinary Order 18-02
February 12, 2018 2016049508602 Jasper Boykin Disciplinary Decision - Default
February 06, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
February 05, 2018 2016048870601 Ricardo Rodriguez-Stern Disciplinary Decision - Default
February 02, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision
January 26, 2018 2015047528202 Farid Morim Disciplinary Decision - Default
January 16, 2018 2011030509802 James S. Meagher Disciplinary Decision - Default
January 10, 2018 2014041860801 Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike Disciplinary Order 18-05
January 10, 2018 2014042606902 Order Granting Enforcement’s Motion for Rule-Compliant Answer Disciplinary Order 18-03
January 08, 2018 2014043869901 Jeffrey E. Krupnick Disciplinary Decision
December 27, 2017 2015045456401 APPEALED: David O. Braeger Disciplinary Decision
December 21, 2017 ARB160035 APPEALED: Keith Patrick Sequeira Expedited Decision
December 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer Disciplinary Order 17-22
December 15, 2017 2013037522501 APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian Disciplinary Decision
December 14, 2017 ARB170025 Matthew Grady Expedited Decision
December 08, 2017 2014040347701 Craig Gary Langweiler Disciplinary Decision - Default
December 08, 2017 2013039306601 Michael Timothy Dolan Disciplinary Decision
November 21, 2017 2013037522501 Order Adding Additional Exhibit into Evidentiary Record Disciplinary Order 17-21
November 15, 2017 2015045951303 Vladimir Tingue Disciplinary Decision - Default
November 13, 2017 2013035345701 Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List Disciplinary Order 17-20
November 13, 2017 2015047154001 Order Denying Respondent’s Amended Motion to Grant Expert Testimony Disciplinary Order 17-19