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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|Dec 19, 1997||C10970172||Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference||Disciplinary Order||97-16|
|Dec 18, 1997||C05970037||Order Granting Motion for Consolidation of Disciplinary Proceedings||Disciplinary Order||97-14|
|Dec 15, 1997||CMS970028||Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List||Disciplinary Order||97-12|
|Dec 15, 1997||C05970037||Order Denying Motion to Stay Proceeding||Disciplinary Order||97-13|
|Dec 9, 1997||C10970128||Order Regarding Department of Enforcements Contact with Respondent's Counsel||Disciplinary Order||97-11|
|Nov 28, 1997||CAF970002||Order Denying Motions for More Definite Statement||Disciplinary Order||97-10|
|Nov 15, 1997||C07970055||Final Pre-hearing Conference Order||Disciplinary Order||97-9|
|Nov 14, 1997||C10970141||Order Extending Time for Respondents to Answer||Disciplinary Order||97-8|
|Nov 13, 1997||CAF970002||Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List||Disciplinary Order||97-7|
|Nov 11, 1997||CAF970002||Order Denying Motion of Respondents and for Extension of Time to Answer||Disciplinary Order||97-6|
|Oct 29, 1997||C10970160||Order Denying Motion for a More Definite Statement||Disciplinary Order||97-5|
|Oct 29, 1997||CMS960105||Order Denying Motion for Disqualification of Hearing Officer||Disciplinary Order||97-4|
|Oct 7, 1997||C3A970066||Order Granting Motion to Withdraw as Counsel to Respondent||Disciplinary Order||97-3|
|Sep 18, 1997||C10970158||Order Extending Time for Respondents to Answer||Disciplinary Order||97-2|
|Sep 15, 1997||C10970142||Order Denying Request for Extension of Time in Which to Answer||Disciplinary Order||97-1|