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. |
|---|---|---|---|---|
| Jul 31, 2000 | CMS960174 | Order Denying Respondent's Motion to Sever and Preclude | Disciplinary Order | 00-20 |
| Aug 2, 2000 | ARB000005 | Non-Summary Suspension Proceeding ARB000005 | Expedited Decision, Non-Summary Proceeding | |
| Aug 2, 2000 | C01990013 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Aug 2, 2000 | C3A990071 | Protective Order Regarding Complainant's Rule 8210 Requests to Respondents | Disciplinary Order | 00-21 |
| Aug 3, 2000 | C01000003 | Order Denying Respondents' Request for a Second Continuance of the Hearing | Disciplinary Order | 00-22 |
| Aug 22, 2000 | C05990019 | Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions | Disciplinary Decision | |
| Aug 22, 2000 | C05990019 | Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions | Disciplinary Decision | |
| Aug 22, 2000 | C3A990035 | Order Consolidating Proceedings | Disciplinary Order | 00-23 |
| Aug 28, 2000 | C02990022 | Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace | Disciplinary Decision | |
| Aug 28, 2000 | C3A990071 | Order Granting Respondents Motion in Limine Requesting Production of Documents | Disciplinary Order | 00-24 |
| Sep 5, 2000 | C05990026 | Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez | Disciplinary Decision | |
| Sep 5, 2000 | C05000002 | Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf | Disciplinary Decision | |
| Sep 6, 2000 | C8A000019 | Order Convening Settlement Conference | Disciplinary Order | 00-25 |
| Sep 13, 2000 | CAF990018 | Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds | Disciplinary Decision | |
| Sep 19, 2000 | C10990212 | Order Denying Enforcement's Motion for Partial Summary Disposition Against Respondent | Disciplinary Order | 00-26 |
| Sep 25, 2000 | C8A990081 | Hearing Panel Decision in Department of Enforcement v. James B. Chase | Disciplinary Decision | |
| Sep 28, 2000 | C10000140 | Order Denying Motion for More Definite Statement | Disciplinary Order | 00-27 |
| Oct 3, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| Oct 5, 2000 | C05000021 | Order Granting Complainant's Motion for Leave to Offer Telephone Testimony and to Allow Witness to be Assisted by (Remote) Interpreter | Disciplinary Order | 00-28 |
| Oct 6, 2000 | C9B000013 | Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony | Disciplinary Order | 00-29 |
| Oct 9, 2000 | C07000023 | Pre-Hearing Order | Disciplinary Order | 00-30 |
| Oct 10, 2000 | CAF000030 | Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief | Disciplinary Order | 00-31 |
| Oct 20, 2000 | C10990121 | Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached | Disciplinary Decision | |
| Nov 6, 2000 | C05990035 | Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III | Disciplinary Decision | |
| Nov 15, 2000 | C3A990067 | Hearing Panel Decision as to Respondent | Redacted Decision |