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.
Jul 9, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Aug 5, 2002 C8A010048 Hearing Panel Decision in Department of Enforcement v. Christian W. Baker Disciplinary Decision
Aug 13, 2002 C01010017 Hearing Panel Decision in Department of Enforcement v. James Richard Wamsley Disciplinary Decision
Aug 13, 2002 C07010100 Hearing Panel Decision in Department of Enforcement v. David William Haburjak Disciplinary Decision
Sep 5, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate Disciplinary Decision
Sep 13, 2002 C06010025 Hearing Panel Decision in Department of Enforcement v. Arlie R. Horn, Jr. and Lindsay A. Byrum Disciplinary Decision
Sep 17, 2002 C9B020016 Hearing Panel Decision in Department of Enforcement v. Michael K. Kalmaer Disciplinary Decision
Sep 24, 2002 C01020003 Hearing Panel Decision in Department of Enforcement v. Martin Herbert Meckler Disciplinary Decision
Oct 3, 2002 DFC020014 NASD Treasurer, Complainant, v. Respondent Expedited Decision, Rule 9530 Suspension Decisions
Oct 7, 2002 C01010018 Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh Disciplinary Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Nov 6, 2002 C3A020020 Hearing Panel Decision in Department of Enforcement v. Stephanie Ann Dixon Disciplinary Decision
Nov 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision
Dec 13, 2002 C04020006 Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. Disciplinary Decision
Dec 13, 2002 C02020014 Hearing Panel Decision in Department of Enforcement v. Young Min Kim Disciplinary Decision
Dec 14, 2002 CAF000045 Hearing Panel Decision as to Respondent Redacted Decision
Dec 20, 2002 C3A020013 Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr. Disciplinary Decision
Dec 20, 2002 C10000122 Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma Disciplinary Decision
Dec 26, 2002 CAF020042 Order Denying Motion for More Definite Statement Disciplinary Order 02-12
Dec 30, 2002 C3B010016 Hearing Panel Decision in Department of Enforcement v. Magellan Securities, Inc. and Terry M. Laymon Disciplinary Decision
Jan 6, 2003 CAF020041 Order Granting the Department of Enforcement's Motion for a Protective Order Disciplinary Order 03-01
Jan 8, 2003 C9B020037 Hearing Panel Decision in Department of Enforcement v. Kenneth J. Gilmore Disciplinary Decision
Jan 14, 2003 C9A020018 Order Denying Request for Postponement of Hearing Disciplinary Order 03-03
Jan 17, 2003 CAF020007 Order Granting Motion for Reconsideration Disciplinary Order 03-02
Jan 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger Disciplinary Decision

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