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.
May 19, 1999 C05990006 Order Dismissing Respondent for Lack of Jurisdiction Redacted Decision
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
May 7, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action Disciplinary Order 99-08
May 7, 1999 CAF980031 Order Denying Motions to Sever Disciplinary Order 99-09
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
May 6, 1999 CAF980080 Hearing Panel Decision Redacted Decision
Apr 28, 1999 C02980070 Hearing Panel Decision in Department of Enforcement v. Frederick D. Smith Disciplinary Decision
Apr 27, 1999 C11970032 Order Granting Motion to Strike Affirmative Defenses Disciplinary Order 99-07
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits Disciplinary Order 99-06
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents Disciplinary Order 99-05
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Apr 9, 1999 C07980077 Hearing Panel Decision in Department of Enforcement v. Pier Luccarelli Disciplinary Decision
Mar 31, 1999 C11970032 Order Denying Motion to Disqualify Hearing Officer Disciplinary Order 99-04
Mar 28, 1999 ARB980029 Non-Summary Suspension Proceeding ARB980029 Expedited Decision, Non-Summary Proceeding
Mar 22, 1999 C02980073 Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-03
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Mar 14, 1999 CAF980025 Hearing Panel Decision in Department of Enforcement v. Richard Stephen Levitov; Hearing Panel Decision in Department of Enforcement v. Ralph Joseph Angeline Disciplinary Decision
Feb 17, 1999 CAF970002 Hearing Panel Decision in Department of Enforcement v. Robert J. Rosato Disciplinary Decision
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist Disciplinary Order 99-02
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Jan 27, 1999 C04980035 Hearing Panel Decision in Department of Enforcement v. Robert Lee Davis, Jr. Disciplinary Decision
Jan 20, 1999 C9A980020 Hearing Panel Decision in Department of Enforcement v. Sturdivant & Company, Inc., Harvey R. deKrafft, and Albert A. Sturdivant Disciplinary Decision
Jan 6, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Dec 22, 1998 C9A980032 Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction Disciplinary Order 98-33

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