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 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 | 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 | Disciplinary Decision | |
| September 26, 2005 | ARB040051 | Decision in Department of Enforcement v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| September 07, 2005 | C01040029 | Hearing Panel Decision in Department of Enforcement vs. Thomas James Carr | Disciplinary Decision | |
| September 07, 2005 | C01040025 | Hearing Panel Decision in Department of Enforcement vs. Jimmie Lee Griffith | 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 | 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 | Disciplinary Decision | |
| August 05, 2005 | C3A040023 | Hearing Panel Decision in Department of Enforcement vs. John M. Meyers, Brian C. Klein & Israel E. Lozada | Disciplinary Decision | |
| August 05, 2005 | C3A040045 | Order Denying Respondent's Motion for Summary Disposition on the Issue of Restitution | Disciplinary Order | 05-30 |
| August 04, 2005 | C9B040098 | Order Denying Motion to Disqualify Hearing Officer | Disciplinary Order | 05-29 |
| 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 | 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 | 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 | Disciplinary Order | 05-39 |
| June 10, 2005 | C9B050020 | Order Conditionally Denying Motion for More Definite Statement | Disciplinary Order | 05-25 |