Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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.sort ascending
Dec 3, 2015 ARB150048 Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action Expedited Order EXP15-03
Dec 18, 2015 ARB150039 Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) Expedited Order EXP15-02
Mar 18, 2015 DFC140002 Order Granting Complainant's Motion to Dismiss Hearing Request Expedited Order EXP15-01
May 5, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order CAF030007
Dec 30, 1999 CAF990018 Order Denying Motion for Summary Disposition Disciplinary Order 99-21
Oct 18, 1999 CMS920002 Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order Disciplinary Order 99-20
Sep 30, 1999 CMS920002 Order Directing Complainant to Comply with Rule 9251 Disciplinary Order 99-19
Sep 27, 1999 CAF980002 Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 Disciplinary Order 99-18
Sep 27, 1999 C02990022 Order Denying Respondent's Request for Financial Assistance to Attend Hearing Disciplinary Order 99-17
Sep 23, 1999 C02980034 Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint Disciplinary Order 99-16
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
Aug 27, 1999 C02980024 Order Granting Complainant's Motion to Strike Disciplinary Order 99-14
Jun 28, 1999 CAF990007 Order Granting Respondents' Motion for Reconsideration Disciplinary Order 99-13
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 99-12
Jul 17, 1999 C8A990015 Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-11
Jul 7, 1999 C8A990015 Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 99-10
May 7, 1999 CAF980031 Order Denying Motions to Sever Disciplinary Order 99-09
May 7, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action Disciplinary Order 99-08
Apr 27, 1999 C11970032 Order Granting Motion to Strike Affirmative Defenses Disciplinary Order 99-07
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits Disciplinary Order 99-06
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents Disciplinary Order 99-05
Mar 31, 1999 C11970032 Order Denying Motion to Disqualify Hearing Officer Disciplinary Order 99-04
Mar 22, 1999 C02980073 Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-03
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist Disciplinary Order 99-02
Jan 6, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01

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