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.
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Jun 23, 2003 C9A020052 Hearing Panel Decision in Department of Enforcement v. Guang Lu Disciplinary Decision
Jun 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk Disciplinary Decision
Jul 7, 2003 CAF020053 Order on Respondent's Expert Witness Designation Disciplinary Order 03-16
Jul 8, 2003 C01020025 Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen Disciplinary Decision
Jul 14, 2003 C10010004 Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel Disciplinary Decision
Jul 28, 2003 C01020012 Hearing Panel Decision in Department of Enforcement v. Kelmoore Investment Co., Inc., and Shawn Kelmon Young Disciplinary Decision
Aug 6, 2003 C9B020052 Hearing Panel Decision in Department of Enforcement v. Brian J. Clark Disciplinary Decision
Aug 7, 2003 CMS020143 Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II Disciplinary Decision
Aug 11, 2003 C3B020015 Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey Disciplinary Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Aug 27, 2003 C05020060 Hearing Panel Decision in Department of Enforcement v. John R. Bingham Disciplinary Decision
Aug 29, 2003 C10020076 Hearing Panel Decision in Department of Enforcement v. Jeffrey Mills Disciplinary Decision
Sep 3, 2003 CAF010011 Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander Disciplinary Decision
Sep 4, 2003 C9A020018 Hearing Panel Decision in Department of Enforcement v. John J. Katsock, Jr. Disciplinary Decision
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Sep 18, 2003 C3A030001 Order Denying Motion for Issuance of 8210 Requests Disciplinary Order 03-17
Sep 22, 2003 CAF000016 Hearing Panel Decision in Department of Enforcement v. Stephen Jay Drescher Disciplinary Decision
Sep 24, 2003 C02020055 Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto Disciplinary Decision
Sep 26, 2003 CLI030017 Order Granting Part Respondents' Motion for More Definite Statement Disciplinary Order 03-18
Sep 30, 2003 FPI030003 Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise Expedited Decision, Rule 9540 Suspension Decisions
Oct 1, 2003 C9A030017 Hearing Panel Decision in Department of Enforcement v. Eric J. Laucius Disciplinary Decision
Oct 2, 2003 C10020075 Hearing Panel Decision in Department of Enforcement v. Joseph Brian Shevlin, Jr. Disciplinary Decision
Oct 15, 2003 C01020022 Order Granting the Parties' Motions for Leave to Introduce Expert Testimony Disciplinary Order 03-19
Oct 15, 2003 CAF030008 Order Denying Respondent's Motion to Compel Production of Information Regarding Withheld Documents Disciplinary Order 03-20

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