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. |
|---|---|---|---|---|
| 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 |