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.
October 20, 1998	C10970176	Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Related Documents	Disciplinary Decision
October 07, 1998	C06980001	Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Blake Vincent High	Disciplinary Decision
October 02, 1998	CAF970011	Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding	Disciplinary Order	98-28
October 02, 1998	CAF980022	Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss	Disciplinary Order	98-29
September 16, 1998	C9A970045	Order Denying Motion for Entry of Default Decision	Disciplinary Order	98-27
August 26, 1998	CMS970026	Hearing Panel Decision in Department of Enforcement v. Olde Discount Corporation and Todd Thomas Wodek	Disciplinary Decision
August 21, 1998	CO5970035	Hearing Panel Decision	Redacted Decision
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	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
March 10, 1998	C05970035	Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses	Disciplinary Order	98-22
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