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.
May 2, 2001 C10000116 Hearing Panel Decision in Department of Enforcement v. Vincent P. Coniglione Disciplinary Decision
May 1, 2001 C3A000056 Order Denying Motion for Reconsideration Disciplinary Order 01-10
Apr 30, 2001 C10000139 Hearing Panel Decision in Department of Enforcement v. Frank A. Persico Disciplinary Decision
Apr 26, 2001 ARB000026 Non-Summary Suspension Proceeding ARB000026 Expedited Decision, Non-Summary Proceeding
Apr 26, 2001 ARB000011 Non-Summary Suspension Consolidated Proceeding ARB000011 Expedited Decision, Non-Summary Proceeding
Apr 20, 2001 C3A000056 Order Denying Motion to Dismiss, in Part, Deferring Decision on Motion, in Part, and Directing Enforcement to Supplement its Opposition Disciplinary Order 01-09
Apr 20, 2001 C10010004 Order Granting Complainant's Motion to Amend the Complaint; Denying Complainant's Motion for Leave to File a Reply to Respondent's Opposition to Motion to Amend; and Denying Respondent's Motion to Sever Disciplinary Order 01-08
Apr 18, 2001 CAF000015 Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc. Disciplinary Decision
Apr 17, 2001 CAF000013 Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents Disciplinary Order 01-07
Apr 6, 2001 C07000084 Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision Disciplinary Order 01-06
Apr 3, 2001 C9A990029 Hearing Panel Decision in Department of Enforcement v. Shannon Johnson Disciplinary Decision
Mar 22, 2001 C07000058 Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr. Disciplinary Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Mar 8, 2001 C9A000027 Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein Disciplinary Decision
Mar 6, 2001 C02000037 Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper Disciplinary Decision
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Mar 2, 2001 C07000013 Hearing Panel Decision in Department of Enforcement v. John F. Brown Disciplinary Decision
Feb 27, 2001 C8B000001 Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick Disciplinary Decision
Feb 15, 2001 CMS000157 Order Granting Respondent's Motion to Exclude Documents Disciplinary Order 01-05
Feb 14, 2001 CAF000045 Order Granting Motions to Quash Disciplinary Order 01-04
Feb 13, 2001 C10000122 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 01-03
Feb 8, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. Disciplinary Decision
Feb 2, 2001 C8A000024 Hearing Panel Decision in Department of Enforcement v. Paul E. Carney Disciplinary Decision
Jan 31, 2001 C10000086 Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky Disciplinary Decision

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