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. |
|---|---|---|---|---|
| March 06, 2001 | C02000037 | Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper | Disciplinary Decision | |
| March 06, 2001 | C07000003 | Hearing Panel Decision in Department of Enforcement v. Jack H. Stein | Disciplinary Decision | |
| March 02, 2001 | C07000013 | Hearing Panel Decision in Department of Enforcement v. John F. Brown | Disciplinary Decision | |
| March 02, 2001 | EQS000002 | Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. | Expedited Decision, Rule 9540 Suspension Decisions | |
| February 27, 2001 | C8B000001 | Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick | Disciplinary Decision | |
| February 15, 2001 | CMS000157 | Order Granting Respondent's Motion to Exclude Documents | Disciplinary Order | 01-05 |
| February 14, 2001 | CAF000045 | Order Granting Motions to Quash | Disciplinary Order | 01-04 |
| February 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | Disciplinary Order | 01-03 |
| February 08, 2001 | C07000033 | Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. | Disciplinary Decision | |
| February 02, 2001 | C8A000024 | Hearing Panel Decision in Department of Enforcement v. Paul E. Carney | Disciplinary Decision | |
| January 31, 2001 | C10000086 | Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky | Disciplinary Decision | |
| January 30, 2001 | C07000023 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| January 26, 2001 | CAF000045 | Order Denying Complainant's Motion to Strike Affirmative Defenses | Disciplinary Order | 01-02 |
| January 23, 2001 | C10000172 | Order Denying Motion to Quash | Disciplinary Order | 01-01 |
| January 16, 2001 | C01000011 | Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht | Disciplinary Decision | |
| January 03, 2001 | C01000003 | Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision | |
| January 03, 2001 | C10000037 | Hearing Panel Decision in Department of Enforcement v. George M. Goritz | Disciplinary Decision | |
| December 27, 2000 | C9B000007 | Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis | Disciplinary Decision | |
| December 26, 2000 | C10000122 | Order Granting Motion to Allow Telephone Testimony | Disciplinary Order | 00-32 |
| December 26, 2000 | DFC000003 | Rule 9530 Suspension Proceeding DFC000003 | Expedited Decision, Rule 9530 Suspension Decisions | |
| December 06, 2000 | CAF980002 | Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. | Disciplinary Decision | |
| November 15, 2000 | C3A990067 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 06, 2000 | C05990035 | Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III | Disciplinary Decision | |
| October 20, 2000 | C10990121 | Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached | Disciplinary Decision | |
| October 10, 2000 | CAF000030 | Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief | Disciplinary Order | 00-31 |