Office of Hearing Officers’ Decisions and Orders

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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
January 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists Disciplinary Order 98-14
January 29, 1998 CAF970011 Order Denying Motion for Recusal of Hearing Officer Disciplinary Order 98-15
January 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
January 27, 1998 C3A970067 Order Granting Department of Enforcement's Motion for Telephone Testimony Disciplinary Order 98-13
January 22, 1998 CMS970026 Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 98-11
January 21, 1998 C04970029 Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference Disciplinary Order 98-9
January 21, 1998 C10970176 Order as to Respondent Disciplinary Order 98-10
January 20, 1998 C10970158 Order Denying Motion for More Definite Statement Disciplinary Order 98-8
January 20, 1998 C10970161 Order Disciplinary Order 98-7
January 15, 1998 C10970163 Order to Show Cause Disciplinary Order 98-6
January 13, 1998 C10970141 Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision Disciplinary Order 98-5
January 12, 1998 C3A970074 Order Setting Second Pre-Hearing Conference Disciplinary Order 98-4
January 08, 1998 C10970172 Order Denying Respondent's Request for Indefinite Postponement Disciplinary Order 98-3
January 02, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion Disciplinary Order 98-1
January 02, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2
December 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer Disciplinary Order 97-19
December 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18
December 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17
December 19, 1997 C01970032 Order Striking Answer Filed on Behalf of and Directing the Department of Enforcement to Send a Second Notice of Complaint Disciplinary Order 97-15
December 19, 1997 C10970172 Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference Disciplinary Order 97-16
December 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings Disciplinary Order 97-14
December 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List Disciplinary Order 97-12
December 15, 1997 C05970037 Order Denying Motion to Stay Proceeding Disciplinary Order 97-13
December 09, 1997 C10970128 Order Regarding Department of Enforcements Contact with Respondent's Counsel Disciplinary Order 97-11
November 28, 1997 CAF970002 Order Denying Motions for More Definite Statement Disciplinary Order 97-10