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 14, 2005 | C07050029 | Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery | Disciplinary Order | 05-41 |
December 07, 2005 | C3A050003 | Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley | Disciplinary Decision | |
November 29, 2005 | C9B050011 | Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr. | Disciplinary Decision | |
November 18, 2005 | CAF040058 | Order Regarding Admissibility of Tape Recordings and Transcripts | Disciplinary Order | 05-40 |
November 15, 2005 | CMS040165 | Order Denying Respondent's Motion for Reconsideration of Scheduling Order | Disciplinary Order | 05-38 |
November 09, 2005 | C8A040091 | Hearing Panel Decision in Department of Enforcement vs. Joyce English | Disciplinary Decision | |
November 09, 2005 | C02040044 | Hearing Panel Decision in Department of Enforcement vs. Douglas A. Rauh | Disciplinary Decision | |
October 30, 2005 | C3A040045 | Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine | Disciplinary Order | 05-37 |
October 30, 2005 | C9B040098 | Hearing Panel Decision in Department of Enforcement vs. Scott Epstein | Disciplinary Decision | |
October 30, 2005 | CAF040079 | Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists | Disciplinary Order | 05-36 |
October 19, 2005 | CAF040058 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | Disciplinary Order | 05-35 |
October 12, 2005 | C06030035 | Hearing Panel Decision in Department of Enforcement vs. Doyle Mark White | Disciplinary Decision | |
October 11, 2005 | C9B050022 | Order Denying Respondent's Motion for Discovery | Disciplinary Order | 05-34 |
October 11, 2005 | CAF040058 | Order Granting Joint Motion for a Protective Order | Disciplinary Order | 05-33 |
October 05, 2005 | CLG050049 | Order Regarding Attendance of Wittnesses' Counsel at Hearing | Disciplinary Order | 05-32 |
September 27, 2005 | C3A040001 | Hearing Panel Decision in Department of Enforcement vs. Charles A. DaCruz & Thomas J. Linda | Disciplinary Decision | |
September 26, 2005 | ARB040051 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
September 07, 2005 | C01040025 | Hearing Panel Decision in Department of Enforcement vs. Jimmie Lee Griffith | Disciplinary Decision | |
September 07, 2005 | C01040029 | Hearing Panel Decision in Department of Enforcement vs. Thomas James Carr | Disciplinary Decision | |
August 30, 2005 | CMS040094 | Hearing Panel Decision in Department of Enforcement vs. Florida Discount Securities, Inc. | Disciplinary Decision | |
August 19, 2005 | CMS040165 | Order on Remand From the National Adjudicatory Council Granting Complinant's Motion to Disqualify Counsel for Respondents 1 and 2 | Disciplinary Order | 05-31 |
August 10, 2005 | ARB050014 | Hearing Panel Decision in Department of Enforcement vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
August 08, 2005 | C02050006 | Hearing Panel Decision in Department of Enforcement vs. Malvinder Sonny Matharu | Disciplinary Decision | |
August 05, 2005 | C3A040023 | Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada | Disciplinary Decision | |
August 05, 2005 | C3A040045 | Order Denying Respondent's Motion for Summary Disposition on the Issue of Restitution | Disciplinary Order | 05-30 |