Office of Hearing Officers (OHO)

Decisions and Proceedings

These pages contain FINRA Office of Hearing Officers orders and decisions released pursuant to Regulatory Notice 13-27 and FINRA Rule 8313. Some decisions issued prior to December 16, 2013, may be redacted in accordance with Notice to Members 00-36. Answers to frequently asked questions and the "Respondent's Guide to the Disciplinary Hearing Process" are also included to assist in understanding the disciplinary process. 

 

Disciplinary proceedings are governed by the Code of Procedure. FINRA’s rules, including the Code, are available at www.finra.org/rules. Respondents should consult the Code to obtain a complete picture of their rights and responsibilities in the disciplinary process.