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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.
December 14, 2005 C07050029 Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery

Related Documents

Disciplinary Order 05-41
December 07, 2005 C3A050003 Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley

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Disciplinary Decision
November 29, 2005 C9B050011 Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr.

Related Documents

Disciplinary Decision
November 18, 2005 CAF040058 Order Regarding Admissibility of Tape Recordings and Transcripts

Related Documents

Disciplinary Order 05-40
November 15, 2005 CMS040165 Order Denying Respondent's Motion for Reconsideration of Scheduling Order

Related Documents

Disciplinary Order 05-38
November 09, 2005 C02040044 Hearing Panel Decision in Department of Enforcement vs. Douglas A. Rauh Disciplinary Decision
November 09, 2005 C8A040091 Hearing Panel Decision in Department of Enforcement vs. Joyce English Disciplinary Decision
October 30, 2005 CAF040079 Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists Disciplinary Order 05-36
October 30, 2005 C3A040045 Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine Disciplinary Order 05-37
October 30, 2005 C9B040098 Hearing Panel Decision in Department of Enforcement vs. Scott Epstein

Related Documents

Disciplinary Decision
October 19, 2005 CAF040058 Order Granting the Parties' Motions for Leave to Introduce Expert Testimony

Related Documents

Disciplinary Order 05-35
October 12, 2005 C06030035 Hearing Panel Decision in Department of Enforcement vs. Doyle Mark White Disciplinary Decision
October 11, 2005 CAF040058 Order Granting Joint Motion for a Protective Order

Related Documents

Disciplinary Order 05-33
October 11, 2005 C9B050022 Order Denying Respondent's Motion for Discovery Disciplinary Order 05-34
October 05, 2005 CLG050049 Order Regarding Attendance of Wittnesses' Counsel at Hearing Disciplinary Order 05-32
September 27, 2005 C3A040001 Hearing Panel Decision in Department of Enforcement vs. Charles A. DaCruz & Thomas J. Linda

Related Documents

Disciplinary Decision
September 26, 2005 ARB040051 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
September 07, 2005 C01040025 Hearing Panel Decision in Department of Enforcement vs. Jimmie Lee Griffith

Related Documents

Disciplinary Decision
September 07, 2005 C01040029 Hearing Panel Decision in Department of Enforcement vs. Thomas James Carr Disciplinary Decision
August 30, 2005 CMS040094 Hearing Panel Decision in Department of Enforcement vs. Florida Discount Securities, Inc. Disciplinary Decision
August 19, 2005 CMS040165 Order on Remand From the National Adjudicatory Council Granting Complinant's Motion to Disqualify Counsel for Respondents 1 and 2

Related Documents

Disciplinary Order 05-31
August 10, 2005 ARB050014 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
August 08, 2005 C02050006 Hearing Panel Decision in Department of Enforcement vs. Malvinder Sonny Matharu

Related Documents

Disciplinary Decision
August 05, 2005 C3A040023 Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada

Related Documents

Disciplinary Decision
August 05, 2005 C3A040045 Order Denying Respondent's Motion for Summary Disposition on the Issue of Restitution Disciplinary Order 05-30