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.sort descending Title Type Order No.
Aug 18, 2006 E0220030845-01 Order Postponing Hearing Disciplinary Order 06-33
Feb 21, 2008 E0420030634-04 Hearing Panel Decision in Department of Enforcement v. John M. Repine Disciplinary Decision
Mar 5, 2010 E052005007501 Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc. Disciplinary Decision
Sep 14, 2006 E072004006101 and 2005002392101 Order Denying Respondent Firm's Motions to Consolidate Disciplinary Order 06-35
Sep 8, 2006 E072004072501 Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin Disciplinary Decision
May 22, 2006 E072004087801 Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen Disciplinary Decision
Sep 11, 2006 E072004088501 Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava Disciplinary Decision
Jan 16, 2009 E072005017201 Hearing Panel Decision in Department of Enforcement v. John B. Busacca III Disciplinary Decision
Dec 19, 2005 E1020010426-04 Order Denying Motion for More Definite Statement Disciplinary Order 05-44
May 17, 2007 E102003025201 Order Denying Respondents' Request for Leave to Offer Expert Testimony Disciplinary Order 07-20
Jun 11, 2007 E102003025201 Order Ruling on (1) Objections to Witnesses, (2) Motion to Substitute Exhibit, (3) Motions in Limine, and (4) Motions to Strike the Respondents' Affirmative Defenses Disciplinary Order 07-21
Sep 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference Disciplinary Order 06-37
Apr 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng Disciplinary Decision
Jun 28, 2007 E102003025201 Procedural Pre-Hearing Order Disciplinary Order 07-27
Jun 27, 2007 E102003025201 Order Regarding Pre-Hearing Motions Disciplinary Order 07-26
Mar 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 06-27
Sep 13, 2006 E102003130804 Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill Disciplinary Decision
Jul 13, 2007 E102004083702 Hearing Panel Decision in Department of Enforcement v. John Christopher Correro Disciplinary Decision
Nov 16, 2007 E102004083703 Hearing Panel Decision in Department of Enforcement v. Harvey M. Schwartz Disciplinary Decision
Feb 7, 2008 E102004083704 Hearing Panel Decision in Department of Enforcement v. Marc Winters Disciplinary Decision
Feb 7, 2008 E102004083705 Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi Disciplinary Decision
Apr 12, 2007 E1020040926-01 Hearing Panel Decision in Department of Enforcement v. Respondents Redacted Decision
Nov 7, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 Disciplinary Order 06-52
Apr 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint Disciplinary Order 06-29
Aug 16, 2007 E112005002003 Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents Disciplinary Order 07-36

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