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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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
October 20, 2006 2005000127502 Order Denying Complainant's Motion for Partial Summary Disposition

Related Documents

Disciplinary Order 06-48
October 20, 2006 E9B2002055601 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
October 11, 2006 EAF0400300001 Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony

Related Documents

Disciplinary Order 06-47
October 10, 2006 EAF0400300001 Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers

Related Documents

Disciplinary Order 06-46
October 09, 2006 20042000056-01 Order Deferring Ruling on Motion for Summary Disposition Disciplinary Order 06-45
October 04, 2006 ARB060029 Order Dismissing Defense and Granting Respondents Leave to File a Motion for Leave to Amend Their Request for Hearing Expedited Order 06-44
October 03, 2006 EAF0400300001 Order Directing Respondents to File Exhibits and Witness List in Compliance With Pre-Hearing Order, and Extending Related Deadlines

Related Documents

Disciplinary Order 06-43
September 28, 2006 ARB060022 Order Deeming Defense as Abandoned, Hearing as Waived, and NASD Suspension Notice as Final Expedited Order 06-41
September 28, 2006 E8A2003091501 Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present

Related Documents

Disciplinary Order 06-42
September 20, 2006 ARB060029 Order Clarifying Agenda for Pre-Hearing Conference Expedited Order 06-40
September 19, 2006 2005003490801 Hearing Panel Decision in Department of Enforcement vs. Kenneth D. Schacht Disciplinary Decision
September 19, 2006 C07050042 Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears

Related Documents

Disciplinary Decision
September 18, 2006 CAF030042 Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard

Related Documents

Disciplinary Decision
September 15, 2006 EAF0400300001 Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing

Related Documents

Disciplinary Order 06-38
September 15, 2006 FPI060008 Decision in Department of Market Regulation v. Respondent Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision
September 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing Expedited Order 06-39
September 14, 2006 E072004006101 and 2005002392101 Order Denying Respondent Firm's Motions to Consolidate Disciplinary Order 06-35
September 14, 2006 DFC060004 Order Setting a Pre-Hearing Conference Expedited Order 06-56
September 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference

Related Documents

Disciplinary Order 06-37
September 13, 2006 E102003130804 Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill Disciplinary Decision
September 12, 2006 2005000631501 Hearing Panel Decision in Department of Enforcement vs. Bryan L. Claggett Disciplinary Decision
September 11, 2006 E072004088501 Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava Disciplinary Decision
September 08, 2006 E072004072501 Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin

Related Documents

Disciplinary Decision
September 08, 2006 CAF040079 Order Denying Respondent's Request for Leave to File Motion in Limine Disciplinary Order 06-36
September 07, 2006 CMS040165 Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian

Related Documents

Disciplinary Decision