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. |
|---|---|---|---|---|
| September 23, 2004 | C3A040009 | Hearing Panel Decision in Department of Enforcement v. Michael Hanchar | Disciplinary Decision | |
| September 22, 2004 | C10030087 | Hearing Panel Decision in Department of Enforcement v. Gilbert Alan Cardillo | Disciplinary Decision | |
| September 17, 2004 | C01040003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| September 17, 2004 | CAF040056 | Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order | Disciplinary Order | 04-20 |
| September 16, 2004 | C9B040033 | Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson | Disciplinary Decision | |
| September 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | Disciplinary Order | 04-19 |
| September 15, 2004 | CAF040056 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. | Disciplinary Decision | |
| September 13, 2004 | C3A030049 | Order Precluding Evidence | Disciplinary Order | 04-18 |
| September 09, 2004 | C9B040033 | Order Requiring Respondent to Supplement his Rule 9252 Requests | Disciplinary Order | 04-17 |
| August 27, 2004 | CAF030042 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| August 25, 2004 | C3A030050 | Order Granting Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 04-15 |
| August 19, 2004 | ARB040029 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Disciplinary Decision | |
| August 19, 2004 | C01040001 | Hearing Panel Decision as to Respondent IA and GH | Redacted Decision | |
| August 17, 2004 | C3A030050 | Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252 | Disciplinary Order | 04-14 |
| August 11, 2004 | C07030065 | In the Matter of Department of Enforcement, Complainant vs. Respondent 1 and Respondent 2 | Redacted Decision | |
| August 06, 2004 | CLI030013 | Hearing Panel Decision as to Respondent 1, 2, and 3 | Redacted Decision | |
| August 06, 2004 | CMS030257 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| August 02, 2004 | CAF040056 | Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 04-13 |
| July 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | Disciplinary Order | 04-12 |
| July 16, 2004 | C01020022 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| July 13, 2004 | C3A030015 | Hearing Panel Decision in Department of Enforcement v. Herbert I. Kay | Disciplinary Decision | |
| July 07, 2004 | C8A030100 | Order Granting in Part and Deferring in Part Complainant's Motion for Summary Disposition, and Denying Respondents' Motion for Summary Disposition | Disciplinary Order | 04-11 |
| July 06, 2004 | CAF030013 | Hearing Panel Decision in Department of Enforcement v. Richard L. Newburg | Disciplinary Decision | |
| July 01, 2004 | C9B030076 | Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider | Disciplinary Order | 04-10 |
| June 30, 2004 | C10030082 | Hearing Panel Decision in Department of Enforcement v. Stephen Nicholas Thomas | Disciplinary Decision |