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. |
|---|---|---|---|---|
| January 28, 2002 | ARB010016 | Non-Summary Suspension Consolidated Proceeding ARB010016 | Expedited Decision, Non-Summary Proceeding | |
| January 28, 2002 | CAF010028 | Order Denying Motion To Disqualify Hearing Officer | Disciplinary Order | 02-02 |
| January 25, 2002 | ARB010013 | Non-Summary Suspension Proceeding ARB010013 | Expedited Decision, Non-Summary Proceeding | |
| January 22, 2002 | C8A010066 | Order Denying Respondent's Motion To Dismiss | Disciplinary Order | 02-01 |
| December 28, 2001 | CMS000015 | Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. | Disciplinary Decision | |
| December 12, 2001 | C3A010005 | Hearing Panel Decision in Department of Enforcement v. Jay R. Rice | Disciplinary Decision | |
| December 07, 2001 | C01000037 | Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams | Disciplinary Decision | |
| November 21, 2001 | C07010017 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 20, 2001 | C3A010009 | Hearing Panel Decision in Department of Enforcement v. Mark H. Love | Disciplinary Decision | |
| November 15, 2001 | C06010015 | Hearing Panel Decision in Department of Enforcement v. Tanya N. Vu | Disciplinary Decision | |
| November 15, 2001 | C07010010 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 12, 2001 | C05010012 | Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden | Disciplinary Decision | |
| October 22, 2001 | C10000122 | Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma | Disciplinary Decision | |
| October 15, 2001 | CMS000142 | Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa | Disciplinary Decision | |
| October 04, 2001 | CAF000045 | Order Regarding Production of Documents | Disciplinary Order | 01-16 |
| October 02, 2001 | C9A000038 | Hearing Panel Decision in Department of Enforcement v. Jeffrey L. Farley | Disciplinary Decision | |
| September 18, 2001 | C01000017 | Hearing Panel Decision in Department of Enforcement v. Raymon Salinas | Disciplinary Decision | |
| September 10, 2001 | C9B000015 | Hearing Panel Decision in Department of Enforcement v. Michael Dabney | Disciplinary Decision | |
| August 31, 2001 | C9A010011 | Order Granting Complainant's Motion for Partial Summary Disposition | Disciplinary Order | 01-17 |
| August 27, 2001 | CAF000030 | Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello | Disciplinary Decision | |
| August 20, 2001 | C8A010014 | Hearing Panel Decision in Department of Enforcement v. Salam Aburas | Disciplinary Decision | |
| August 03, 2001 | C10000046 | Hearing Panel Decision in Department of Enforcement v. Quentin T. Quintana | Disciplinary Decision | |
| August 02, 2001 | C07000090 | Hearing Panel Decision in Department of Enforcement v. Walter Reinhardt | Disciplinary Decision | |
| July 26, 2001 | ARB010001 | Non-Summary Suspension Consolidated Proceeding ARB010001 | Expedited Decision, Non-Summary Proceeding | |
| July 25, 2001 | ARB010018 | Non-Summary Suspension Consolidated Proceeding ARB010018 | Expedited Decision, Non-Summary Proceeding |