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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| December 01, 2023 | DFC230002 | Arque Capital, Ltd. | Expedited Decision | |
| October 05, 2023 | FPI230003 | Securities Capital Corporation | Expedited Decision | |
| October 04, 2023 | ARB230012 | John Knox Goodwin | Expedited Decision | |
| September 26, 2023 | 2020065396501 | APPEALED: Peter J. Fetherston | Disciplinary Decision | |
| July 24, 2023 | 2022074278301 | BrokerBank Securities, et al. | Disciplinary Decision - Default | |
| July 21, 2023 | 2021071137001 | Order Governing the Use of Leading Questions to Former Employees of Respondent Lek Securities Corp. | Disciplinary Order | 23-24 |
| July 19, 2023 | 2021071137001 | Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280 | Disciplinary Order | 23-23 |
| July 17, 2023 | 2021071137001 | Order Deferring Ruling on Lek Securities Corp. and Charles Lek’s Motion in Limine to Exclude Certain Evidence | Disciplinary Order | 23-22 |
| July 14, 2023 | 2020066627202 | APPEALED: Suzanne Marie Capellini | Disciplinary Decision | |
| June 27, 2023 | 2022076975901 | Miche D. Jean | Disciplinary Decision - Default | |
| June 14, 2023 | 2018057297102 | Order Denying Respondent’s Motion to Disqualify Enforcement Counsel | Disciplinary Order | 23-21 |
| June 12, 2023 | 2019061528001 | Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondent Pursuant to FINRA Rule 9285 | Disciplinary Order | 23-20 |
| June 06, 2023 | 2021071137001 | Order Establishing Procedures Regarding Treatment of SAR Information | Disciplinary Order | 23-19 |
| June 06, 2023 | 2019061528001 | Order Denying Respondents’ Request for Oral Argument on Enforcement’s Pending Rule 9285 Motion | Disciplinary Order | 23-18 |
| June 06, 2023 | ARB230003 | Trevor Michael Perry | Expedited Decision | |
| June 02, 2023 | 2021070337501 | Order Denying Respondent’s Motion in Limine | Disciplinary Order | 23-17 |
| May 26, 2023 | 2021070337501 | Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony | Disciplinary Order | 23-16 |
| May 16, 2023 | 2021072142202 | Roger L. Arnold | Disciplinary Decision - Default | |
| April 13, 2023 | ARB220023 | Timothy P. Henry | Expedited Decision | |
| March 28, 2023 | 97002201 | Allied Millennial Partners, LLC and Daniel Peter Solakian | Rule 9700 Decision | |
| March 28, 2023 | 2019061528001 | APPEALED: Spartan Capital Securities LLC, John D. Lowry, and Kim M. Monchick | Disciplinary Decision | |
| March 23, 2023 | 2018057297102 | Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates | Disciplinary Order | 23-15 |
| March 17, 2023 | 2019061942901 | Order Directing Respondent to File a Rule-Compliant Answer | Disciplinary Order | 23-14 |
| March 13, 2023 | 97002201 | Order Granting Motion to Dismiss and Decision | Expedited Order | EXP23-13 |
| March 13, 2023 | 2017055886402 | Order Regarding Motion for Clarification | Disciplinary Order | 23-12 |