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. |
|---|---|---|---|---|
| August 13, 2002 | C01010017 | Hearing Panel Decision in Department of Enforcement v. James Richard Wamsley | Disciplinary Decision | |
| August 05, 2002 | C8A010048 | Hearing Panel Decision in Department of Enforcement v. Christian W. Baker | Disciplinary Decision | |
| July 09, 2002 | C01000003 | Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision | |
| July 09, 2002 | C9B010041 | Hearing Panel Decision in Department of Enforcement v. James B. Moran | Disciplinary Decision | |
| July 08, 2002 | C07010091 | Hearing Panel Decision in Department of Enforcement v. Luis G. Sarmiento | Disciplinary Decision | |
| June 12, 2002 | C8A010060 | Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire | Disciplinary Decision | |
| May 31, 2002 | C07010084 | Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris | Disciplinary Decision | |
| May 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | Disciplinary Order | 02-11 |
| May 15, 2002 | CAF010021 | Order Denying Motion to Sever | Disciplinary Order | 02-10 |
| May 14, 2002 | C01010009 | Order Deferring Decision On Complainant's Motion For Summary Disposition | Disciplinary Order | 02-09 |
| May 08, 2002 | C10010145 | Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction | Disciplinary Order | 02-08 |
| May 06, 2002 | C07010095 | Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith | Disciplinary Decision | |
| May 03, 2002 | CAF010009 | Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber | Disciplinary Decision | |
| April 29, 2002 | C01010017 | Order Pursuant To Conduct Rule 9143 | Disciplinary Order | 02-07 |
| April 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | Disciplinary Order | 02-06 |
| April 19, 2002 | FPI010002 | Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| April 04, 2002 | C02010041 | Pre-Hearing Order | Disciplinary Order | 02-05 |
| April 01, 2002 | CMS000157 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| March 25, 2002 | C8A010063 | Hearing Panel Decision in Department of Enforcement v. Bobby R. Turner, Jr. | Disciplinary Decision | |
| March 24, 2002 | FPI010004 | Hearing Panel Decision in Department of Enforcement v. Toni Valentino | Expedited Decision, Rule 9540 Suspension Decisions | |
| March 24, 2002 | C05010033 | Hearing Panel Decision in Department of Enforcement v. Michael G. Grimes | Disciplinary Decision | |
| March 14, 2002 | ARB010032 | Non-Summary Suspension Proceeding ARB010032 | Expedited Decision, Non-Summary Proceeding | |
| March 04, 2002 | C05010017 | Hearing Panel Decision in Department of Enforcement v. James S. Davenport | Disciplinary Decision | |
| February 15, 2002 | C01010003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| January 30, 2002 | C3A010036 | Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents | Disciplinary Order | 02-03 |