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. |
|---|---|---|---|---|
| July 31, 2007 | E8A20041203102 | Hearing Panel Decision in Department of Enforcement v. Michelle M. Mayo | Disciplinary Decision | |
| July 30, 2007 | 20050000720-02 | Order Overruling the Parties' Objections to Exhibits and Witnesses | Disciplinary Order | 07-31 |
| July 27, 2007 | E8A2002109804 | Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza | Disciplinary Decision | |
| July 13, 2007 | 2005001919501 | Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents | Disciplinary Order | 07-29 |
| July 13, 2007 | E102004083702 | Hearing Panel Decision in Department of Enforcement v. John Christopher Correro | Disciplinary Decision | |
| July 12, 2007 | E9A2004048801 | Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly | Disciplinary Decision | |
| July 02, 2007 | 2005000323905 | Order Denying Respondent 1's Motion for a More Definite Statement | Disciplinary Order | 07-28 |
| July 02, 2007 | 2005000960801 | Hearing Panel Decision in Department of Enforcement v. Mangri Mohini Harlal | Disciplinary Decision | |
| June 28, 2007 | E102003025201 | Procedural Pre-Hearing Order | Disciplinary Order | 07-27 |
| June 27, 2007 | E102003025201 | Order Regarding Pre-Hearing Motions | Disciplinary Order | 07-26 |
| June 26, 2007 | 20050000720-02 | Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order | Disciplinary Order | 07-25 |
| June 19, 2007 | 20050025930 | Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard | Disciplinary Decision | |
| June 13, 2007 | ARB070023 | Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final | Expedited Order | 07-30 |
| June 13, 2007 | 20050000720-02 | Order Prohibiting Use of Subpoenas | Disciplinary Order | 07-24 |
| June 13, 2007 | 2006004494201 | Order Quashing Post-Complaint Rule 8210 Request for Information | Disciplinary Order | 07-23 |
| June 12, 2007 | 2005000191701 | Order Denying Respondent 3's Two Discovery Requests | Disciplinary Order | 07-22 |
| June 11, 2007 | E102003025201 | Order Ruling on (1) Objections to Witnesses, (2) Motion to Substitute Exhibit, (3) Motions in Limine, and (4) Motions to Strike the Respondents' Affirmative Defenses | Disciplinary Order | 07-21 |
| May 25, 2007 | 2005000078501 | Hearing Panel Decision in Department of Market Regulation v. Mark Allen Borsky | Disciplinary Decision | |
| May 18, 2007 | E8A2003091501 | Hearing Panel Decision in Department of Enforcement v. Roy M. Strong | Disciplinary Decision | |
| May 17, 2007 | E102003025201 | Order Denying Respondents' Request for Leave to Offer Expert Testimony | Disciplinary Order | 07-20 |
| May 11, 2007 | 2005001449202 | Interim Scheduling and Case Management Order | Disciplinary Order | 07-18 |
| May 11, 2007 | CAF040079 | Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration | Disciplinary Order | 07-15 |
| April 28, 2007 | E8A2003062001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 24, 2007 | E9B2002010501 | Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek | Disciplinary Decision | |
| April 24, 2007 | 2005000127502 | Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli | Disciplinary Decision |