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. Title Type Order No.sort descending
Feb 25, 1998 C10970033 Order Directing Written Submissions in Place of Hearing Disciplinary Order 98-19
Jan 2, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
Mar 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
Mar 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
Jul 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
Sep 16, 1998 C9A970045 Order Denying Motion for Entry of Default Decision Disciplinary Order 98-27
Oct 2, 1998 CAF970011 Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding Disciplinary Order 98-28
Oct 2, 1998 CAF980022 Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss Disciplinary Order 98-29
Jan 8, 1998 C10970172 Order Denying Respondent's Request for Indefinite Postponement Disciplinary Order 98-3
Oct 26, 1998 C3A980027 Order Granting Complainant's Motion for Leave to Offer Telephone Testimony Disciplinary Order 98-30
Oct 23, 1998 C06980015 Order Denying Motion to Stay Proceeding Disciplinary Order 98-31
Dec 21, 1998 CAF980025 Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions Disciplinary Order 98-32
Dec 22, 1998 C9A980032 Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction Disciplinary Order 98-33
Dec 2, 1998 C06980021 Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information Disciplinary Order 98-34
Aug 12, 1998 CAF980014 Order Denying Motion to Disqualify as Premature Disciplinary Order 98-35
Jan 12, 1998 C3A970074 Order Setting Second Pre-Hearing Conference Disciplinary Order 98-4
Jan 13, 1998 C10970141 Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision Disciplinary Order 98-5
Jan 15, 1998 C10970163 Order to Show Cause Disciplinary Order 98-6
Jan 20, 1998 C10970161 Order Disciplinary Order 98-7
Jan 20, 1998 C10970158 Order Denying Motion for More Definite Statement Disciplinary Order 98-8
Jan 21, 1998 C04970029 Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference Disciplinary Order 98-9

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