Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 Decisionsort ascending Proceeding No. Title Type Order No.
Jan 21, 1998 C10970176 Order as to Respondent Disciplinary Order 98-10 C10970176
Jan 20, 1998 C10970161 Order Disciplinary Order 98-7 C10970161
Jan 20, 1998 C10970158 Order Denying Motion for More Definite Statement Disciplinary Order 98-8 C10970158
Jan 15, 1998 C10970163 Order to Show Cause Disciplinary Order 98-6 C10970163
Jan 13, 1998 C10970141 Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision Disciplinary Order 98-5 C10970141
Jan 12, 1998 C3A970074 Order Setting Second Pre-Hearing Conference Disciplinary Order 98-4 C3A970074
Jan 8, 1998 C10970172 Order Denying Respondent's Request for Indefinite Postponement Disciplinary Order 98-3 C10970172
Jan 2, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion Disciplinary Order 98-1 C10970164
Jan 2, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2 C10970158
Dec 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer Disciplinary Order 97-19 CAF970002
Dec 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17 CAF970001
Dec 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18 CAF970001
Dec 19, 1997 C01970032 Order Striking Answer Filed on Behalf of and Directing the Department of Enforcement to Send a Second Notice of Complaint Disciplinary Order 97-15 C01970032
Dec 19, 1997 C10970172 Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference Disciplinary Order 97-16 C10970172
Dec 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings Disciplinary Order 97-14 C05970037
Dec 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List Disciplinary Order 97-12 CMS970028
Dec 15, 1997 C05970037 Order Denying Motion to Stay Proceeding Disciplinary Order 97-13 C05970037
Dec 9, 1997 C10970128 Order Regarding Department of Enforcements Contact with Respondent's Counsel Disciplinary Order 97-11 C10970128
Nov 28, 1997 CAF970002 Order Denying Motions for More Definite Statement Disciplinary Order 97-10 CAF970002
Nov 15, 1997 C07970055 Final Pre-hearing Conference Order Disciplinary Order 97-9 C07970055
Nov 14, 1997 C10970141 Order Extending Time for Respondents to Answer Disciplinary Order 97-8 C10970141
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List Disciplinary Order 97-7 CAF970002
Nov 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer Disciplinary Order 97-6 CAF970002
Oct 29, 1997 C10970160 Order Denying Motion for a More Definite Statement Disciplinary Order 97-5 C10970160
Oct 29, 1997 CMS960105 Order Denying Motion for Disqualification of Hearing Officer Disciplinary Order 97-4 CMS960105