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.
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
November 08, 2017 2014041985401 APPEALED: James Larkin Powers Disciplinary Decision
November 08, 2017 2014040809501 Eddie Basora, Jr. Disciplinary Decision
November 06, 2017 2015048048801 Werner, Stanton, & Legend Securities, Inc. Disciplinary Decision - Default
November 06, 2017 2015048048801 Hank M. Werner and Legend Securities, Inc. Disciplinary Decision
November 02, 2017 2015047828802 Demitrios Hallas Disciplinary Decision - Default
October 25, 2017 2014042291901 APPEALED: Gopi K. Vungarala Disciplinary Decision
October 06, 2017 2016049603001 Christopher Schaeffer Disciplinary Decision - Default
October 03, 2017 ARB170022 Craig Arnold Sorenson Expedited Decision
October 02, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
September 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision
September 18, 2017 2014040873501 Cecil E. Nivens Disciplinary Decision - Default
September 08, 2017 2013035740901 Order Denying Respondents’ Motion for Summary Disposition Disciplinary Order 17-18
September 06, 2017 2014040476901 APPEALED: C.L. King and Gregg Alan Miller Disciplinary Decision
September 05, 2017 2016051925301 Order Granting Motion Regarding Witness Sequestration Disciplinary Order 17-16
September 05, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony Disciplinary Order 17-17
August 30, 2017 2016049252901 Peyton Nelson Jackson Disciplinary Decision - Default
August 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision