Office of Hearing Officers
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.|
|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|