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 12, 1998 CAF980014 Order Denying Motion to Disqualify as Premature Disciplinary Order 98-35
August 04, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
July 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
June 30, 1998 C3A970072 Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann Disciplinary Decision
June 30, 1998 C01980001 Hearing Panel Decision in Department of Enforcement v. Donald Clewell Maier Disciplinary Decision
June 24, 1998 C10970120 Hearing Panel Decision in Department of Enforcement v. Frank Rocky Mazzei and GKN Securities Corporation Disciplinary Decision
June 16, 1998 C3A970009 Hearing Panel Decision in Department of Enforcement v. W.B. McKee Securities, et al Disciplinary Decision
June 03, 1998 CMS970028 Hearing Panel Decision Redacted Decision
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
May 14, 1998 C9B970016 Hearing Panel Decision in Department of Enforcement v. Edward Golick Disciplinary Decision
May 14, 1998 C10970033 Hearing Panel Decision in Department of Enforcement v. Reynold Bradford Kern Disciplinary Decision
May 06, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23
March 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
March 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
March 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
February 25, 1998 C10970033 Order Directing Written Submissions in Place of Hearing Disciplinary Order 98-19
February 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
February 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 Disciplinary Order 98-18
February 05, 1998 CAF970002 Order Regarding Severance Disciplinary Order 98-17
February 02, 1998 C04970029 Order Staying Proceeding Disciplinary Order 98-16
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 to Disqualify Counsel for Recusal of Hearing Officer Disciplinary Order 98-15
January 27, 1998 C3A970067 Order Granting Department of Enforcement's Motion for Telephone Testimony Disciplinary Order 98-13
January 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
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