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.
Jan 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger Disciplinary Decision
Mar 30, 2004 C01030030 Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler Disciplinary Decision
Jan 22, 2010 2008013087201 Hearing Panel Decision in Department of Enforcement v. Bradford Orosey Disciplinary Decision
Oct 7, 2002 C01010018 Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh Disciplinary Decision
Mar 18, 2008 2006004992601 Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney Disciplinary Decision
Aug 6, 2003 C9B020052 Hearing Panel Decision in Department of Enforcement v. Brian J. Clark Disciplinary Decision
Jul 12, 2007 E9A2004048801 Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly Disciplinary Decision
Jul 8, 2003 C01020025 Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Jun 24, 2011 2008011725901 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision
Mar 21, 2013 2010024837301 Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro Disciplinary Decision
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision
Jun 19, 2007 20050025930 Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Mar 27, 2003 C3A010036 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 Disciplinary Decision
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision
Jun 5, 2000 C05990034 Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr. Disciplinary Decision
May 14, 2001 C05000021 Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell Disciplinary Decision
Oct 3, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Mar 9, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Aug 5, 2002 C8A010048 Hearing Panel Decision in Department of Enforcement v. Christian W. Baker Disciplinary Decision
Jun 30, 1998 C3A970072 Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann Disciplinary Decision
Oct 12, 2009 2009017496501 Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott Disciplinary Decision
Sep 5, 2000 C05990026 Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez Disciplinary Decision

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