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. |
|---|---|---|---|---|
| Oct 3, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| Sep 28, 2000 | C10000140 | Order Denying Motion for More Definite Statement | Disciplinary Order | 00-27 |
| Sep 25, 2000 | C8A990081 | Hearing Panel Decision in Department of Enforcement v. James B. Chase | Disciplinary Decision | |
| Sep 19, 2000 | C10990212 | Order Denying Enforcement's Motion for Partial Summary Disposition Against Respondent | Disciplinary Order | 00-26 |
| Sep 13, 2000 | CAF990018 | Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds | Disciplinary Decision | |
| Sep 6, 2000 | C8A000019 | Order Convening Settlement Conference | Disciplinary Order | 00-25 |
| Sep 5, 2000 | C05990026 | Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez | Disciplinary Decision | |
| Sep 5, 2000 | C05000002 | Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf | Disciplinary Decision | |
| Aug 28, 2000 | C3A990071 | Order Granting Respondents Motion in Limine Requesting Production of Documents | Disciplinary Order | 00-24 |
| Aug 28, 2000 | C02990022 | Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace | Disciplinary Decision | |
| Aug 22, 2000 | C3A990035 | Order Consolidating Proceedings | Disciplinary Order | 00-23 |
| 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 3, 2000 | C01000003 | Order Denying Respondents' Request for a Second Continuance of the Hearing | Disciplinary Order | 00-22 |
| Aug 2, 2000 | C3A990071 | Protective Order Regarding Complainant's Rule 8210 Requests to Respondents | Disciplinary Order | 00-21 |
| 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 | |
| Jul 31, 2000 | CMS960174 | Order Denying Respondent's Motion to Sever and Preclude | Disciplinary Order | 00-20 |
| 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 |