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. | Title | Type | Order No. |
|---|---|---|---|---|
| Jul 28, 2000 | C9B000007 | Order Denying Motion to Compel Production of Documents | Disciplinary Order | 00-19 |
| 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 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 | |
| May 17, 2000 | C10970143 | Order Denying Respondents' Motion to Compel Production of Information and Documents from Customer Witnesses | Disciplinary Order | 00-12 |
| May 5, 2000 | CAF990007 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | Disciplinary Order | 00-11 |
| May 5, 2000 | C10990212 | Order Granting Enforcement's Motion to Consolidate | Disciplinary Order | 00-10 |
| Apr 24, 2000 | C8A990032 | Hearing Panel Decision in Department of Enforcement v. Marcus K. Hughes and Christopher Aden | Disciplinary Decision | |
| Apr 4, 2000 | C0500006 | Order Granting in Part Respondent Motion for More Definite Statement | Disciplinary Order | 00-09 |
| Mar 28, 2000 | C1000010 | Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents | Disciplinary Order | 00-08 |
| Mar 27, 2000 | C10970176 | Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick | Disciplinary Decision | |
| Mar 26, 2000 | CAF980002 | Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages | Disciplinary Order | 00-07 |