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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.
August 02, 2005 ARB050016 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
July 29, 2005 C8A030071 Hearing Panel Decision in Department of Enforcement vs. Northwestern Mutual Investment Services, LLC, Diane B. Horn & Respondent 3 Disciplinary Decision
July 18, 2005 C3A040030 Hearing Panel Decision in Department of Enforcement vs. Michael Fantetti Disciplinary Decision
July 08, 2005 C8A040079 Hearing Panel Decision in Department of Enforcement vs. Gregory R. Masceri

Related Documents

Disciplinary Decision
July 07, 2005 C07040086 Hearing Panel Decision in Department of Enforcement vs. Brad D. Wilson Disciplinary Decision
June 30, 2005 C05050015 Order Denying Motions to Quash

Related Documents

Disciplinary Order 05-27
June 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 Disciplinary Order 05-28
June 15, 2005 C3A040030 Order Denying Respondent's Motion to Re-Open Hearing and Denying Complainant's Motion to Strike Respondent's Testimony Disciplinary Order 05-26
June 14, 2005 CAF040058 Order Prohibiting Use of Subpoenas

Related Documents

Disciplinary Order 05-39
June 10, 2005 C9B050020 Order Conditionally Denying Motion for More Definite Statement Disciplinary Order 05-25
June 08, 2005 C8A040082 Hearing Panel Decision in Department of Enforcement vs. Samuel J. Trigillo Disciplinary Decision
June 07, 2005 C05050015 Order Denying Respondent 1's Motion for More Definite Statement

Related Documents

Disciplinary Order 05-23
June 07, 2005 C05050015 Order Granting Respondent 2's Motion for More Definite Statement

Related Documents

Disciplinary Order 05-24
June 03, 2005 C9B040093 Hearing Panel Decision in Department of Enforcement vs. Joel E. Moskowitz Disciplinary Decision
May 27, 2005 C06040023 Order Denying Request for Subpoena Disciplinary Order 05-22
May 24, 2005 C9A040024 Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV

Related Documents

Disciplinary Decision
May 17, 2005 C9B040098 Order Denying Relief Sought in Notice to Produce and Application for Protective Order

Related Documents

Disciplinary Order 05-20
May 17, 2005 C9B040098 Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony

Related Documents

Disciplinary Order 05-21
May 11, 2005 C3A030050 Hearing Panel Decision in Department of Enforcement vs. Roger P. May Disciplinary Decision
May 05, 2005 C02040032 Order Denying Respondent's Request for Leave to Offer Expert Testimony

Related Documents

Disciplinary Order 05-19
April 25, 2005 C07040084 Order Granting Complainant's Motion for Telephone Testimony Disciplinary Order 05-18
April 21, 2005 CAF040070 Order Denying Respondents' Motion for Leave to Introduce Expert Testimony Disciplinary Order 05-17
April 18, 2005 C01040019 Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc.

Related Documents

Disciplinary Decision
April 15, 2005 CAF040025 Hearing Panel Decision in Department of Enforcement vs. Steven C. Kirsch Disciplinary Decision
April 12, 2005 ARB050010 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Expedited Order 05-16