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.sort descending
Jan 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence Disciplinary Order 17-01
Jun 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01
Feb 7, 2017 2014042291901 Order Denying Respondents’ Motion for Summary Disposition. Disciplinary Order 17-02
Feb 24, 2017 2014042059701 Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. Disciplinary Order 17-03
Mar 8, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. Disciplinary Order 17-04
Mar 16, 2017 201504421601 Order Denying Respondent’s Motion for Leave to Present Expert Testimony Disciplinary Order 17-05
Mar 21, 2017 2014038847602 Order Denying Respondent’s Motion to Compel Discovery. Disciplinary Order 17-06
Mar 21, 2017 2013035817701 Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits. Disciplinary Order 17-07
Mar 21, 2017 2014038847602 Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. Disciplinary Order 17-08
Apr 7, 2017 2012035284301 Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief. Disciplinary Order 17-09
Apr 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions Disciplinary Order 17-10
Apr 11, 2017 2014044985401 Order Granting Respondent’s Request for an Order of Production. Disciplinary Order 17-11
Apr 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. Disciplinary Order 17-12
Jun 16, 2017 2013037709301 Order Establishing Procedures Regarding Treatment of SAR Information Disciplinary Order 17-13
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proposed Answer Disciplinary Order 17-14
Jul 27, 2017 2013035345701 Order Denying Motion For Dismissal Disciplinary Order 17-15
Sep 5, 2017 2016051925301 Order Granting Motion Regarding Witness Sequestration Disciplinary Order 17-16
Sep 5, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony Disciplinary Order 17-17
Sep 8, 2017 2013035740901 Order Denying Respondents’ Motion for Summary Disposition Disciplinary Order 17-18
Nov 13, 2017 2015047154001 Order Denying Respondent’s Amended Motion to Grant Expert Testimony Disciplinary Order 17-19
Nov 13, 2017 2013035345701 Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List Disciplinary Order 17-20
Nov 21, 2017 2013037522501 Order Adding Additional Exhibit into Evidentiary Record Disciplinary Order 17-21
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer Disciplinary Order 17-22
May 25, 2017 2015047154001 Case Management and Scheduling Order Disciplinary Order 17-23
Aug 9, 2017 2015044782401 Case Management and Scheduling Order Disciplinary Order 17-24

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