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 Decisionsort descending Proceeding No. Title Type Order No.
Oct 18, 1999 C07990013 Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz Disciplinary Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Nov 19, 1999 C8A990017 Hearing Panel Decision in Department of Enforcement v. David L. Foran Disciplinary Decision
Nov 22, 1999 C10990058 Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan Disciplinary Decision
Dec 1, 1999 C11970032 Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard Disciplinary Decision
Dec 2, 1999 CAF980013 Hearing Panel Decision in Department of Enforcement v. Herman Epstein Disciplinary Decision
Dec 10, 1999 C10970145 Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein Disciplinary Decision
Dec 30, 1999 CAF990018 Order Denying Motion for Summary Disposition Disciplinary Order 99-21
Jan 4, 2000 C10990121 Order Denying Enforcement's Motion For Summary Disposition Disciplinary Order 00-01
Jan 13, 2000 C02990017 Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi Disciplinary Decision
Jan 13, 2000 C3A990050 Hearing Panel Decision in Department of Enforcement v. Jim Newcomb Disciplinary Decision
Jan 18, 2000 C02990052 Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 00-02
Jan 31, 2000 C9A990007 Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present Disciplinary Order 00-03
Feb 8, 2000 C02990034 Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green Disciplinary Decision
Feb 11, 2000 CAF980031 Hearing Panel Decision as to Respondent Redacted Decision
Feb 16, 2000 C02980024 Hearing Panel Decision in Department of Enforcement v. Robert Joseph Kernweis, William Pohn Willis, Arnold Hinsdale Kraus, and Keith Allen Dieterich Disciplinary Decision
Feb 17, 2000 C10990024 Hearing Panel Decision in Department of Enforcement v. Averell Golub Disciplinary Decision
Mar 1, 2000 C05990026 Order Rejecting Contested Offer of Settlement Disciplinary Order 00-04
Mar 6, 2000 C8B990036 Hearing Panel Decision in Department of Enforcement v. Samuel Wereb Disciplinary Decision
Mar 6, 2000 C02990042 Hearing Panel Decision in Department of Enforcement v. Robert Tretiak Disciplinary Decision
Mar 9, 2000 C8A990032 Order Vacating Default Against Respondent, Granting Complainant Leave to Re-Serve the Complaint, and Setting a Briefing Schedule on the Issue of Jurisdiction Disciplinary Order 00-05
Mar 9, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Mar 10, 2000 C02980085 Hearing Panel Decision in Department of Enforcement v. Robert Tretiak Disciplinary Decision
Mar 10, 2000 C3A990067 Order Denying Respondent Second Motion for More Definite Statement Disciplinary Order 00-06
Mar 19, 2000 C10990014 Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout Disciplinary Decision

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