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.sort ascending Title Type Order No.
Mar 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 06-27
Sep 13, 2006 E102003130804 Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill Disciplinary Decision
May 17, 2007 E102003025201 Order Denying Respondents' Request for Leave to Offer Expert Testimony Disciplinary Order 07-20
Apr 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng Disciplinary Decision
Jun 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
Sep 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference Disciplinary Order 06-37
Jun 28, 2007 E102003025201 Procedural Pre-Hearing Order Disciplinary Order 07-27
Jun 27, 2007 E102003025201 Order Regarding Pre-Hearing Motions Disciplinary Order 07-26
Dec 19, 2005 E1020010426-04 Order Denying Motion for More Definite Statement Disciplinary Order 05-44
Jan 16, 2009 E072005017201 Hearing Panel Decision in Department of Enforcement v. John B. Busacca III Disciplinary Decision
Sep 11, 2006 E072004088501 Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava Disciplinary Decision
May 22, 2006 E072004087801 Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen Disciplinary Decision
Sep 8, 2006 E072004072501 Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin Disciplinary Decision
Sep 14, 2006 E072004006101 and 2005002392101 Order Denying Respondent Firm's Motions to Consolidate Disciplinary Order 06-35
Mar 5, 2010 E052005007501 Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc. Disciplinary Decision
Feb 21, 2008 E0420030634-04 Hearing Panel Decision in Department of Enforcement v. John M. Repine Disciplinary Decision
Sep 1, 2006 E0220030845-01 Order Requiring Counsel to File Notice Pursuant to Rule 9142 Disciplinary Order 06-34
Aug 18, 2006 E0220030845-01 Order Postponing Hearing Disciplinary Order 06-33
Jun 9, 2006 E0220030425-01 Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz Disciplinary Decision
Apr 17, 2006 E0220030425-01 Order Denying Respondent's Motion to Disqualify Expert Witness Disciplinary Order 06-30
Mar 15, 2006 E0220030425-01 Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner Disciplinary Order 06-25
Aug 3, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 6, 1999 DFC990003 Rule 9530 Suspension Proceeding DFC990003 Expedited Decision, Rule 9530 Suspension Decisions
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
Jun 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01

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