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.
July 10, 2017 2015044489701 Kory Penland Keath Disciplinary Decision
June 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
June 16, 2017 2013037709301 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 17-13
June 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01
June 02, 2017 2014039091903 Richard Lim Disciplinary Decision
June 02, 2017 2014039091903 Caldwell International Securities Corp. et al. Disciplinary Decision - Default
May 31, 2017 2015045846502 Robert Blake Ellender Disciplinary Decision - Default
May 30, 2017 2014039839101 APPEALED: Jim Jinkook Seol Disciplinary Decision
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision
May 25, 2017 2012030422902 Legend Securities. Inc. Disciplinary Decision - Default
May 25, 2017 2015047154001 Case Management and Scheduling Order Disciplinary Order 17-23
May 17, 2017 2012035284301 APPEALED: Richard A. McCollam Disciplinary Decision
May 12, 2017 2013035130101 APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone Disciplinary Decision
May 03, 2017 2014043001601 APPEALED: Allen B. Holeman Disciplinary Decision
April 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. Disciplinary Order 17-12
April 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions Disciplinary Order 17-10
April 11, 2017 2014044985401 Order Granting Respondent’s Request for an Order of Production. Disciplinary Order 17-11
April 07, 2017 2012035284301 Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief. Disciplinary Order 17-09
April 07, 2017 2015045601401 Katherine Ann White Disciplinary Decision
April 04, 2017 2014040338401 Tracy Rae Turner Disciplinary Decision - Default
March 31, 2017 2015045207702 Clay Emerson Hoffman Disciplinary Decision - Default
March 24, 2017 2015046020001 Fernando De la Lama Merino Disciplinary Decision - Default
March 21, 2017 2014038847602 Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. Disciplinary Order 17-08
March 21, 2017 2013035817701 Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits. Disciplinary Order 17-07
March 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision