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.
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision
Oct 26, 1998 C3A980027 Order Granting Complainant's Motion for Leave to Offer Telephone Testimony Disciplinary Order 98-30
Oct 23, 1998 C06980015 Order Denying Motion to Stay Proceeding Disciplinary Order 98-31
Oct 20, 1998 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Oct 7, 1998 C06980001 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Blake Vincent High Disciplinary Decision
Oct 2, 1998 CAF970011 Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding Disciplinary Order 98-28
Oct 2, 1998 CAF980022 Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss Disciplinary Order 98-29
Sep 16, 1998 C9A970045 Order Denying Motion for Entry of Default Decision Disciplinary Order 98-27
Aug 26, 1998 CMS970026 Hearing Panel Decision in Department of Enforcement v. Olde Discount Corporation and Todd Thomas Wodek Disciplinary Decision
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Aug 12, 1998 CAF980014 Order Denying Motion to Disqualify as Premature Disciplinary Order 98-35
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
Jul 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
Jun 30, 1998 C3A970072 Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann Disciplinary Decision
Jun 30, 1998 C01980001 Hearing Panel Decision in Department of Enforcement v. Donald Clewell Maier Disciplinary Decision
Jun 24, 1998 C10970120 Hearing Panel Decision in Department of Enforcement v. Frank Rocky Mazzei and GKN Securities Corporation Disciplinary Decision
Jun 16, 1998 C3A970009 Hearing Panel Decision in Department of Enforcement v. W.B. McKee Securities, et al Disciplinary Decision
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
May 14, 1998 C9B970016 Hearing Panel Decision in Department of Enforcement v. Edward Golick Disciplinary Decision
May 14, 1998 C10970033 Hearing Panel Decision in Department of Enforcement v. Reynold Bradford Kern Disciplinary Decision
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Mar 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
Mar 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22

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