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.
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 C10990212 Order Granting Enforcement's Motion to Consolidate Disciplinary Order 00-10
May 5, 2000 CAF990007 Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony Disciplinary Order 00-11
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
Mar 19, 2000 C10990014 Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout Disciplinary Decision
Mar 10, 2000 C02980085 Hearing Panel Decision in Department of Enforcement v. Robert Tretiak Disciplinary Decision
Mar 10, 2000 C3A990067 Order Denying Respondent Second Motion for More Definite Statement Disciplinary Order 00-06
Mar 9, 2000 C8A990032 Order Vacating Default Against Respondent, Granting Complainant Leave to Re-Serve the Complaint, and Setting a Briefing Schedule on the Issue of Jurisdiction Disciplinary Order 00-05
Mar 9, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Mar 6, 2000 C8B990036 Hearing Panel Decision in Department of Enforcement v. Samuel Wereb Disciplinary Decision
Mar 6, 2000 C02990042 Hearing Panel Decision in Department of Enforcement v. Robert Tretiak Disciplinary Decision
Mar 1, 2000 C05990026 Order Rejecting Contested Offer of Settlement Disciplinary Order 00-04
Feb 17, 2000 C10990024 Hearing Panel Decision in Department of Enforcement v. Averell Golub Disciplinary Decision
Feb 16, 2000 C02980024 Hearing Panel Decision in Department of Enforcement v. Robert Joseph Kernweis, William Pohn Willis, Arnold Hinsdale Kraus, and Keith Allen Dieterich Disciplinary Decision
Feb 11, 2000 CAF980031 Hearing Panel Decision as to Respondent Redacted Decision
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

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