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. |
|---|---|---|---|---|
| Feb 8, 2000 | C02990034 | Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green | Disciplinary Decision | |
| Jan 31, 2000 | C9A990007 | Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present | Disciplinary Order | 00-03 |
| Jan 18, 2000 | C02990052 | Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 00-02 |
| Jan 13, 2000 | C02990017 | Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi | Disciplinary Decision | |
| Jan 13, 2000 | C3A990050 | Hearing Panel Decision in Department of Enforcement v. Jim Newcomb | Disciplinary Decision | |
| Jan 4, 2000 | C10990121 | Order Denying Enforcement's Motion For Summary Disposition | Disciplinary Order | 00-01 |
| Dec 30, 1999 | CAF990018 | Order Denying Motion for Summary Disposition | Disciplinary Order | 99-21 |
| Dec 10, 1999 | C10970145 | Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein | Disciplinary Decision | |
| Dec 2, 1999 | CAF980013 | Hearing Panel Decision in Department of Enforcement v. Herman Epstein | Disciplinary Decision | |
| Dec 1, 1999 | C11970032 | Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard | Disciplinary Decision | |
| Nov 22, 1999 | C10990058 | Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan | Disciplinary Decision | |
| Nov 19, 1999 | C8A990017 | Hearing Panel Decision in Department of Enforcement v. David L. Foran | Disciplinary Decision | |
| Nov 18, 1999 | C8A990015 | Hearing Panel Decision | Redacted Decision | |
| Oct 18, 1999 | CMS920002 | Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order | Disciplinary Order | 99-20 |
| Oct 18, 1999 | C07990013 | Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz | Disciplinary Decision | |
| Oct 6, 1999 | DFC990003 | Rule 9530 Suspension Proceeding DFC990003 | Expedited Decision, Rule 9530 Suspension Decisions | |
| Sep 30, 1999 | CMS920002 | Order Directing Complainant to Comply with Rule 9251 | Disciplinary Order | 99-19 |
| Sep 27, 1999 | C02990022 | Order Denying Respondent's Request for Financial Assistance to Attend Hearing | Disciplinary Order | 99-17 |
| Sep 27, 1999 | CAF980002 | Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 | Disciplinary Order | 99-18 |
| Sep 23, 1999 | C02980034 | Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint | Disciplinary Order | 99-16 |
| Sep 21, 1999 | CAF980002 | Order Regarding Court Reporting Services for the Hearing | Disciplinary Order | 99-15 |
| Sep 17, 1999 | C3A980077 | Hearing Panel Decision in Department of Enforcement v. Richard F. Dambakly | Disciplinary Decision | |
| Sep 1, 1999 | C02980073 | Hearing Panel Decision in Department of Enforcement v. McLaughlin, Piven, Vogel Securities, Inc. and James Cecil McLaughlin | Disciplinary Decision | |
| Aug 27, 1999 | C02980024 | Order Granting Complainant's Motion to Strike | Disciplinary Order | 99-14 |
| Aug 18, 1999 | CAF980005 | Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller | Disciplinary Decision |