Office of Hearing Officers

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 Decisionsort descending Proceeding No. Title Type Order No.
Jan 28, 2002 CAF010028 Order Denying Motion To Disqualify Hearing Officer Disciplinary Order 02-02
Jan 28, 2002 ARB010016 Non-Summary Suspension Consolidated Proceeding ARB010016 Expedited Decision, Non-Summary Proceeding
Jan 30, 2002 C3A010036 Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents Disciplinary Order 02-03
Feb 8, 2002 EQS010002 Order Granting Complainant's Motion To Dismiss Disciplinary Order 02-04
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
Mar 4, 2002 C05010017 Hearing Panel Decision in Department of Enforcement v. James S. Davenport Disciplinary Decision
Mar 14, 2002 ARB010032 Non-Summary Suspension Proceeding ARB010032 Expedited Decision, Non-Summary Proceeding
Mar 24, 2002 FPI010004 Hearing Panel Decision in Department of Enforcement v. Toni Valentino Expedited Decision, Rule 9540 Suspension Decisions
Mar 24, 2002 C05010033 Hearing Panel Decision in Department of Enforcement v. Michael G. Grimes Disciplinary Decision
Mar 25, 2002 C8A010063 Hearing Panel Decision in Department of Enforcement v. Bobby R. Turner, Jr. Disciplinary Decision
Apr 1, 2002 CMS000157 Hearing Panel Decision as to Respondent Redacted Decision
Apr 4, 2002 C02010041 Pre-Hearing Order Disciplinary Order 02-05
Apr 19, 2002 FPI010002 Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg Expedited Decision, Rule 9540 Suspension Decisions
Apr 23, 2002 CAF000027 Order Following Final Pre-Hearing Conference Disciplinary Order 02-06
Apr 29, 2002 C01010017 Order Pursuant To Conduct Rule 9143 Disciplinary Order 02-07
May 3, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber Disciplinary Decision
May 6, 2002 C07010095 Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith Disciplinary Decision
May 8, 2002 C10010145 Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction Disciplinary Order 02-08
May 14, 2002 C01010009 Order Deferring Decision On Complainant's Motion For Summary Disposition Disciplinary Order 02-09
May 15, 2002 CAF010021 Order Denying Motion to Sever Disciplinary Order 02-10
May 21, 2002 C07010100 Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions Disciplinary Order 02-11
May 31, 2002 C07010084 Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris Disciplinary Decision
Jun 12, 2002 C8A010060 Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire Disciplinary Decision
Jul 8, 2002 C07010091 Hearing Panel Decision in Department of Enforcement v. Luis G. Sarmiento Disciplinary Decision
Jul 9, 2002 C9B010041 Hearing Panel Decision in Department of Enforcement v. James B. Moran Disciplinary Decision

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