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.
Mar 26, 2000 CAF980002 Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages Disciplinary Order 00-07
Mar 27, 2000 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Mar 28, 2000 C1000010 Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents Disciplinary Order 00-08
Apr 4, 2000 C0500006 Order Granting in Part Respondent Motion for More Definite Statement Disciplinary Order 00-09
Apr 24, 2000 C8A990032 Hearing Panel Decision in Department of Enforcement v. Marcus K. Hughes and Christopher Aden Disciplinary Decision
May 5, 2000 C10990212 Order Granting Enforcement's Motion to Consolidate Disciplinary Order 00-10
May 5, 2000 CAF990007 Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony Disciplinary Order 00-11
May 17, 2000 C10970143 Order Denying Respondents' Motion to Compel Production of Information and Documents from Customer Witnesses Disciplinary Order 00-12
Jun 5, 2000 C05990034 Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr. Disciplinary Decision
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision
Jun 8, 2000 C07990033 Hearing Panel Decision in Department of Enforcement v. Len K. Furman Disciplinary Decision
Jun 12, 2000 C10990172 Hearing Panel Decision in Department of Enforcement v. John L. Bauer Disciplinary Decision
Jun 13, 2000 CMS000015 Notice of Withdrawal of Hearing Officer Disciplinary Order 00-13
Jun 13, 2000 C8A990025 Hearing Panel Decision in Department of Enforcement v. Timothy James Fergus, Frank Thomas Devine, and Richard Alan Blake Disciplinary Decision
Jun 14, 2000 C8A000022 Order Denying Respondent's Motion for Withheld Document List Disciplinary Order 00-14
Jun 23, 2000 C10990121 Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached Disciplinary Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Jun 27, 2000 C02990052 Hearing Panel Decision in Department of Enforcement v. Shailesh B. Patel Disciplinary Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Jul 5, 2000 C01000003 Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony Disciplinary Order 00-15
Jul 6, 2000 C3A990067 Order Denying Motion for Summary Disposition Disciplinary Order 00-16
Jul 18, 2000 C10000046 Order Regarding Respondent's Motion for Leave to File a Late Answer Disciplinary Order 00-17
Jul 20, 2000 C3A000007 Order Denying Respondents' Motions to Compel Testimony Disciplinary Order 00-18
Jul 28, 2000 C9B000007 Order Denying Motion to Compel Production of Documents Disciplinary Order 00-19
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision

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