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.
Apr 23, 2008 E102003025201 Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng Disciplinary Decision
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
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
May 15, 2008 E112005002003 Hearing Panel Decision in Department of Enforcement v. StoneGate Partners, LLC and Brian W. Bernier Disciplinary Decision
Aug 16, 2007 E112005002003 Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents Disciplinary Order 07-36
Aug 8, 2008 E3A20030495-01 Order Denying Respondent's Motion to Dismiss the Complaint Disciplinary Order 08-11
Sep 22, 2009 E3A20050037-02 Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino Disciplinary Decision
Feb 1, 2007 E3A20050065 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 07-01
Jul 27, 2007 E8A2002109804 Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza Disciplinary Decision
Feb 22, 2007 E8A2002109804 Order Granting the Parties' Motions for Telephone Testimony and Deferring Ruling on Respondent's Objection to Enforcement's Proposed Exhibit CX-7 Disciplinary Order 07-07
Apr 28, 2007 E8A2003062001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery Disciplinary Order 06-09
Jul 21, 2006 E8A2003080701 Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins Disciplinary Decision
Dec 28, 2006 E8A2003084806 Order Granting Complainant's Motion in Limine Disciplinary Order 06-58

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