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 Decisionsort ascending Proceeding No. Title Type Order No.
Nov 15, 2001 C06010015 Hearing Panel Decision in Department of Enforcement v. Tanya N. Vu Disciplinary Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Nov 12, 2001 C05010012 Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden Disciplinary Decision
Oct 22, 2001 C10000122 Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma Disciplinary Decision
Oct 15, 2001 CMS000142 Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa Disciplinary Decision
Oct 4, 2001 CAF000045 Order Regarding Production of Documents Disciplinary Order 01-16
Oct 2, 2001 C9A000038 Hearing Panel Decision in Department of Enforcement v. Jeffrey L. Farley Disciplinary Decision
Sep 18, 2001 C01000017 Hearing Panel Decision in Department of Enforcement v. Raymon Salinas Disciplinary Decision
Sep 10, 2001 C9B000015 Hearing Panel Decision in Department of Enforcement v. Michael Dabney Disciplinary Decision
Aug 31, 2001 C9A010011 Order Granting Complainant's Motion for Partial Summary Disposition Disciplinary Order 01-17
Aug 27, 2001 CAF000030 Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello Disciplinary Decision
Aug 20, 2001 C8A010014 Hearing Panel Decision in Department of Enforcement v. Salam Aburas Disciplinary Decision
Aug 3, 2001 C10000046 Hearing Panel Decision in Department of Enforcement v. Quentin T. Quintana Disciplinary Decision
Aug 2, 2001 C07000090 Hearing Panel Decision in Department of Enforcement v. Walter Reinhardt Disciplinary Decision
Jul 26, 2001 ARB010001 Non-Summary Suspension Consolidated Proceeding ARB010001 Expedited Decision, Non-Summary Proceeding
Jul 25, 2001 ARB010018 Non-Summary Suspension Consolidated Proceeding ARB010018 Expedited Decision, Non-Summary Proceeding
Jul 23, 2001 C10000029 Hearing Panel Decision in Department of Enforcement v. Michael Henry Christ Disciplinary Decision
Jul 19, 2001 C8A000059 Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson Disciplinary Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Jul 3, 2001 C3A000007 Hearing Panel Decision as to Respondent Redacted Decision
Jun 28, 2001 C3A000054 Hearing Panel Decision in Department of Enforcement v. Robert M. McCulley Disciplinary Decision
Jun 27, 2001 CAF000033 Hearing Panel Decision in Department of Enforcement v. Dennis Sturm Disciplinary Decision
Jun 26, 2001 CAF000040 Hearing Panel Decision in Department of Enforcement v. Michelle McDonough Disciplinary Decision
Jun 5, 2001 C10000006 Hearing Panel Decision in Department of Enforcement v. Leonard Vincent Lombardo Disciplinary Decision
May 29, 2001 C8B000013 Hearing Panel Decision in Department of Enforcement v. Patrick A. Brady Disciplinary Decision

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