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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| July 21, 2006 | CAF040073 | Hearing Panel Decision in Department of Enforcement vs. Morgan Keegan et al. | Disciplinary Decision | |
| July 21, 2006 | E8A2003080701 | Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins | Disciplinary Decision | |
| July 12, 2006 | C8A050055 | ; CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik | Disciplinary Decision | |
| June 28, 2006 | ARB060005 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 28, 2006 | FPI060005 | The Reid Group LLC | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 09, 2006 | E0220030425-01 | Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz | Disciplinary Decision | |
| June 05, 2006 | CAF040052 | Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al. | Disciplinary Decision | |
| May 31, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | Disciplinary Order | 06-59 |
| May 22, 2006 | E072004087801 | Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen | Disciplinary Decision | |
| May 15, 2006 | CMS040202 | Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field | Disciplinary Decision | |
| May 05, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | Disciplinary Order | 06-60 |
| April 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | Disciplinary Order | 06-32 |
| April 18, 2006 | ARB060010 | Order Dismissing Request for Hearing | Expedited Order | 06-31 |
| April 17, 2006 | CLI050016 | Hearing Panel Decision in Department of Enforcement vs. Frank P. Grasso | Disciplinary Decision | |
| April 17, 2006 | E0220030425-01 | Order Denying Respondent's Motion to Disqualify Expert Witness | Disciplinary Order | 06-30 |
| April 17, 2006 | E1020040926-01 | Order Directing the Respondents to File a Proper Answer to the Complaint | Disciplinary Order | 06-29 |
| April 12, 2006 | CLG050021 | Order Partially Granting the Complainant's Motion to Disqualify Expert Witness | Disciplinary Order | 06-26 |
| April 05, 2006 | DFC050011 | Decision in NASD Treasurer v. Lee Fisher | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 23, 2006 | CLI050007 | Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing | Disciplinary Order | 06-28 |
| March 23, 2006 | E102003130804 | Order Regarding Respondent's Pre-Hearing Submissions | Disciplinary Order | 06-27 |
| March 15, 2006 | C05020055 | Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel | Disciplinary Decision | |
| March 15, 2006 | CLG050021 | Order Denying Complainant's Motion to Continue Hearing | Disciplinary Order | 06-24 |
| March 15, 2006 | E0220030425-01 | Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner | Disciplinary Order | 06-25 |
| March 12, 2006 | CAF040079 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 06-23 |
| March 09, 2006 | CAF040079 | Order Granting Enforcement's Motion for Witness Sequestration | Disciplinary Order | 06-22 |