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. Titlesort descending Type Order No.
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Sep 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Aug 6, 2004 CMS030257 Hearing Panel Decision as to Respondent Redacted Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Aug 6, 2004 CLI030013 Hearing Panel Decision as to Respondent 1, 2, and 3 Redacted Decision
Aug 19, 2004 C01040001 Hearing Panel Decision as to Respondent IA and GH Redacted Decision
Dec 6, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. Disciplinary Decision
Nov 1, 2012 2011025643201 Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay Disciplinary Decision
Sep 19, 2011 2009019637001 Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Thomas Thanh Doan Disciplinary Decision
Feb 21, 2013 2011029760201 Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. Disciplinary Decision
Jul 20, 2012 FPI110005 Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener Expedited Decision, Rule 9550 Expedited Decisions
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Apr 25, 2011 2007008239001 CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume Disciplinary Decision

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