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
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
Jan 6, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist Disciplinary Order 99-02
Mar 22, 1999 C02980073 Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-03
Mar 31, 1999 C11970032 Order Denying Motion to Disqualify Hearing Officer Disciplinary Order 99-04
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents Disciplinary Order 99-05
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits Disciplinary Order 99-06
Apr 27, 1999 C11970032 Order Granting Motion to Strike Affirmative Defenses Disciplinary Order 99-07
May 7, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action Disciplinary Order 99-08
May 7, 1999 CAF980031 Order Denying Motions to Sever Disciplinary Order 99-09
Jul 7, 1999 C8A990015 Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 99-10
Jul 17, 1999 C8A990015 Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-11
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 99-12
Jun 28, 1999 CAF990007 Order Granting Respondents' Motion for Reconsideration Disciplinary Order 99-13
Aug 27, 1999 C02980024 Order Granting Complainant's Motion to Strike Disciplinary Order 99-14
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
Sep 23, 1999 C02980034 Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint Disciplinary Order 99-16
Sep 27, 1999 C02990022 Order Denying Respondent's Request for Financial Assistance to Attend Hearing Disciplinary Order 99-17

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