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.
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Aug 22, 2000 C3A990035 Order Consolidating Proceedings Disciplinary Order 00-23
Aug 3, 2000 C01000003 Order Denying Respondents' Request for a Second Continuance of the Hearing Disciplinary Order 00-22
Aug 2, 2000 ARB000005 Non-Summary Suspension Proceeding ARB000005 Expedited Decision, Non-Summary Proceeding
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Aug 2, 2000 C3A990071 Protective Order Regarding Complainant's Rule 8210 Requests to Respondents Disciplinary Order 00-21
Jul 31, 2000 CMS960174 Order Denying Respondent's Motion to Sever and Preclude Disciplinary Order 00-20
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
Jul 28, 2000 C9B000007 Order Denying Motion to Compel Production of Documents Disciplinary Order 00-19
Jul 20, 2000 C3A000007 Order Denying Respondents' Motions to Compel Testimony Disciplinary Order 00-18
Jul 18, 2000 C10000046 Order Regarding Respondent's Motion for Leave to File a Late Answer Disciplinary Order 00-17
Jul 6, 2000 C3A990067 Order Denying Motion for Summary Disposition Disciplinary Order 00-16
Jul 5, 2000 C01000003 Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony Disciplinary Order 00-15
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Jun 27, 2000 C02990052 Hearing Panel Decision in Department of Enforcement v. Shailesh B. Patel Disciplinary Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Jun 23, 2000 C10990121 Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached Disciplinary Decision
Jun 14, 2000 C8A000022 Order Denying Respondent's Motion for Withheld Document List Disciplinary Order 00-14
Jun 13, 2000 CMS000015 Notice of Withdrawal of Hearing Officer Disciplinary Order 00-13
Jun 13, 2000 C8A990025 Hearing Panel Decision in Department of Enforcement v. Timothy James Fergus, Frank Thomas Devine, and Richard Alan Blake Disciplinary Decision
Jun 12, 2000 C10990172 Hearing Panel Decision in Department of Enforcement v. John L. Bauer Disciplinary Decision
Jun 8, 2000 C07990033 Hearing Panel Decision in Department of Enforcement v. Len K. Furman Disciplinary Decision
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Jun 5, 2000 C05990034 Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr. Disciplinary Decision

Pages