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.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| June 27, 2022 | 2019064746502 | Worden Capital Management | Disciplinary Decision - Default | |
| June 10, 2022 | 2018057235801 | APPEALED: Megurditch Patatian | Disciplinary Decision | |
| June 10, 2022 | 2018058537302 | Jorge Antonio Netto | Disciplinary Decision | |
| June 03, 2022 | 2019063633301 | Order Granting in Part and Denying in Part Department of Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | Disciplinary Order | 22-11 |
| May 26, 2022 | 2020068470002 | Order Denying Respondent's Motion to Stay Proceeding | Disciplinary Order | 22-10 |
| May 26, 2022 | 2019061528001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | Disciplinary Order | 22-09 |
| May 17, 2022 | 2019063633301 | Order Governing Respondent's Briefing on Department of Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | Disciplinary Order | 22-08 |
| April 14, 2022 | 2020066388801 | Roger Braxton | Disciplinary Decision - Default | |
| April 14, 2022 | 2020068740302 | Marco A. Rivera | Disciplinary Decision - Default | |
| April 07, 2022 | FPI210010 | Alpine Securities Corporation | Expedited Decision | |
| April 01, 2022 | 2020067014602 | Order Rejecting Respondent's Submission and Requiring Respondent to File Rule-Compliant Answer | Disciplinary Order | 22-07 |
| March 25, 2022 | 2018057274302 | APPEALED: Hearing Panel Decision - Department of Enforcement v. Jason L. DiPaola | Disciplinary Decision | |
| March 22, 2022 | 2019061232601 | APPEALED: Alpine Securities Corporation | Disciplinary Decision | |
| March 08, 2022 | 2019064813801 | Supplemental Order Regarding Denial of Respondents’ Request for Postponement | Disciplinary Order | 22-06 |
| March 03, 2022 | 2019060753502 | Jason A. Wilk | Disciplinary Decision - Default | |
| March 02, 2022 | 2019060648701 | Order Denying Respondents’ Motion to Dismiss | Disciplinary Order | 22-05 |
| February 10, 2022 | 2018058537302 | Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative | Disciplinary Order | 22-04 |
| February 03, 2022 | 2021069496201 | Lauren N. Scheible | Disciplinary Decision - Default | |
| January 31, 2022 | 2020065349803 | Alon Zak | Disciplinary Decision - Default | |
| January 31, 2022 | 2016048837401 | Craig Stanton Norton | Disciplinary Decision | |
| January 21, 2022 | 2020067814802 | Order Directing Respondent to File Answer Compliant With FINRA Rule 9215 | Disciplinary Order | 22-03 |
| January 13, 2022 | 2018058537302 | Order Denying Respondent’s Motion to Postpone Hearing Dates | Disciplinary Order | 22-02 |
| January 12, 2022 | 2018057235801 | Omnibus Order on Pre-Hearing Motions and Objections | Disciplinary Order | 22-01 |
| January 04, 2022 | 2018058611601 | Joseph J. Weinrich | Disciplinary Decision - Default | |
| January 03, 2022 | ARB210015 | Jeanette S. Stofleth | Expedited Decision |