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. |
|---|---|---|---|---|
| February 25, 1998 | C10970033 | Order Directing Written Submissions in Place of Hearing | Disciplinary Order | 98-19 |
| February 25, 1998 | CAF970002 | Order Regarding Motion of Respondents and Enforcement's Motion to Strike | Disciplinary Order | 98-20 |
| February 17, 1998 | C9B970016 | Order Regarding Production Under Rule 9251 | Disciplinary Order | 98-18 |
| February 05, 1998 | CAF970002 | Order Regarding Severance | Disciplinary Order | 98-17 |
| February 02, 1998 | C04970029 | Order Staying Proceeding | Disciplinary Order | 98-16 |
| January 29, 1998 | CAF970011 | Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists | Disciplinary Order | 98-14 |
| January 29, 1998 | CAF970011 | Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer | Disciplinary Order | 98-15 |
| January 27, 1998 | C3A970067 | Order Granting Department of Enforcement's Motion for Telephone Testimony | Disciplinary Order | 98-13 |
| January 27, 1998 | CAF970011 | Order Granting Department of Enforcement's Motion to Amend the Complaint | Disciplinary Order | 98-12 |
| January 22, 1998 | CMS970026 | Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents | Disciplinary Order | 98-11 |
| January 21, 1998 | C04970029 | Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference | Disciplinary Order | 98-9 |
| January 21, 1998 | C10970176 | Order as to Respondent | Disciplinary Order | 98-10 |
| January 20, 1998 | C10970158 | Order Denying Motion for More Definite Statement | Disciplinary Order | 98-8 |
| January 20, 1998 | C10970161 | Order | Disciplinary Order | 98-7 |
| January 15, 1998 | C10970163 | Order to Show Cause | Disciplinary Order | 98-6 |
| January 13, 1998 | C10970141 | Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision | Disciplinary Order | 98-5 |
| January 12, 1998 | C3A970074 | Order Setting Second Pre-Hearing Conference | Disciplinary Order | 98-4 |
| January 08, 1998 | C10970172 | Order Denying Respondent's Request for Indefinite Postponement | Disciplinary Order | 98-3 |
| January 02, 1998 | C10970158 | Order Denying Motion to Compel Discovery | Disciplinary Order | 98-2 |
| January 02, 1998 | C10970164 | Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion | Disciplinary Order | 98-1 |
| December 29, 1997 | CAF970002 | Order Regarding Respondent Motion for an Extension of Time to Answer | Disciplinary Order | 97-19 |
| December 26, 1997 | CAF970001 | Order Regarding Motion to Strike Affirmative Defenses | Disciplinary Order | 97-18 |
| December 26, 1997 | CAF970001 | Order Regarding Motion for Judgment on the Pleadings | Disciplinary Order | 97-17 |
| December 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 |
| December 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 |