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. |
|---|---|---|---|---|
| Jan 30, 2003 | C8A020014 | Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger | Disciplinary Decision | |
| Mar 30, 2004 | C01030030 | Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler | Disciplinary Decision | |
| Jan 22, 2010 | 2008013087201 | Hearing Panel Decision in Department of Enforcement v. Bradford Orosey | Disciplinary Decision | |
| Oct 7, 2002 | C01010018 | Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh | Disciplinary Decision | |
| Mar 18, 2008 | 2006004992601 | Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney | Disciplinary Decision | |
| Aug 6, 2003 | C9B020052 | Hearing Panel Decision in Department of Enforcement v. Brian J. Clark | Disciplinary Decision | |
| Jul 12, 2007 | E9A2004048801 | Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly | Disciplinary Decision | |
| Jul 8, 2003 | C01020025 | Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen | Disciplinary Decision | |
| 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 |