Office of Hearing Officers

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. Titlesort descending Type Order No.
Jan 6, 2003 CAF020041 Order Granting the Department of Enforcement's Motion for a Protective Order Disciplinary Order 03-01
Jan 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
Oct 15, 2003 C01020022 Order Granting the Parties' Motions for Leave to Introduce Expert Testimony Disciplinary Order 03-19
Oct 19, 2005 CAF040058 Order Granting the Parties' Motions for Leave to Introduce Expert Testimony Disciplinary Order 05-35
Mar 15, 2006 E0220030425-01 Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner Disciplinary Order 06-25
Feb 22, 2007 E8A2002109804 Order Granting the Parties' Motions for Telephone Testimony and Deferring Ruling on Respondent's Objection to Enforcement's Proposed Exhibit CX-7 Disciplinary Order 07-07
Dec 30, 2014 20080148227-02 Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement Disciplinary Order 14-09
Jan 13, 2006 CLI050016 Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence Disciplinary Order 06-12
Oct 22, 2015 201203564701 Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 15-14
Dec 1, 2014 2011025676501 Order Granting, In Part, Motion for More Definite Statement Disciplinary Order 14-06
Dec 28, 2016 2014042690502 Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. Disciplinary Order 16-34
Jan 31, 2006 C3A030008 Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision Disciplinary Order 06-15
Apr 8, 2010 200500224102 Order Limiting the Dissemination of Personal, Confidential Information Disciplinary Order 10-01
Jan 20, 2006 C05050015 Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine Disciplinary Order 06-14
Jun 8, 2011 2007010398802 Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part Disciplinary Order 11-11
Aug 19, 2005 CMS040165 Order on Remand From the National Adjudicatory Council Granting Complinant's Motion to Disqualify Counsel for Respondents 1 and 2 Disciplinary Order 05-31
Jul 7, 2003 CAF020053 Order on Respondent's Expert Witness Designation Disciplinary Order 03-16
Sep 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing Disciplinary Order 06-39
Jul 30, 2007 20050000720-02 Order Overruling the Parties' Objections to Exhibits and Witnesses Disciplinary Order 07-31
Apr 12, 2006 CLG050021 Order Partially Granting the Complainant's Motion to Disqualify Expert Witness Disciplinary Order 06-26
Oct 4, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests Disciplinary Order 04-23
Oct 23, 2006 EAF0300770001 Order Permitting Expert Testimony Disciplinary Order 06-49
Aug 18, 2006 E0220030845-01 Order Postponing Hearing Disciplinary Order 06-33
Sep 13, 2004 C3A030049 Order Precluding Evidence Disciplinary Order 04-18
Mar 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing Disciplinary Order 06-28

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