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. |
Title |
Type | Order No. |
|---|---|---|---|---|
| Dec 19, 2011 | 2007010158001 | Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. | Disciplinary Decision | |
| Mar 21, 2013 | 2010024837301 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| Jun 24, 2011 | 2008011725901 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| Oct 29, 1998 | C3B980006 | Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis | Disciplinary Decision | |
| Jun 19, 2007 | 20050025930 | Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard | Disciplinary Decision | |
| Dec 3, 2003 | CMS030006 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. | Disciplinary Decision | |
| Mar 27, 2003 | C3A010036 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 | Disciplinary Decision | |
| Sep 15, 2011 | 2010023719601 | Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney | Disciplinary Decision | |
| Jun 5, 2000 | C05990034 | Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr. | Disciplinary Decision | |
| May 14, 2001 | C05000021 | Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell | Disciplinary Decision | |
| Oct 3, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| Mar 9, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| Nov 5, 2002 | C01010009 | Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley | Disciplinary Decision | |
| Aug 5, 2002 | C8A010048 | Hearing Panel Decision in Department of Enforcement v. Christian W. Baker | Disciplinary Decision | |
| Jun 30, 1998 | C3A970072 | Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann | Disciplinary Decision | |
| Oct 12, 2009 | 2009017496501 | Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott | Disciplinary Decision | |
| Sep 5, 2000 | C05990026 | Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez | Disciplinary Decision | |
| Jun 23, 2003 | C3B020013 | Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk | Disciplinary Decision | |
| Oct 14, 2008 | 2006006890801 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin | Disciplinary Decision | |
| Jun 9, 2009 | 2008012026601 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin | Disciplinary Decision | |
| Jun 25, 1999 | CAF980022 | Hearing Panel Decision in Department of Enforcement v. Coleman & Company Securities, Inc. and Aaron J. Yorke, IV | Disciplinary Decision | |
| Dec 13, 2002 | C04020006 | Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. | Disciplinary Decision | |
| Nov 19, 2003 | CAF020007 | Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes | Disciplinary Decision | |
| May 19, 2004 | C10030076 | Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim | Disciplinary Decision | |
| Oct 21, 2010 | 2007009181101 | Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II | Disciplinary Decision |