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.
Oct 26, 2003 CAF030011 Order Granting in Part Respondent 1 and Respondent 2's Motion for Production of Documents Under Rule 9251(a)(3) Disciplinary Order 03-21
Oct 29, 2003 CAF030008 Order Regarding the Department's Motions in Limine Disciplinary Order 03-22
Nov 4, 2003 CAF030008 Order Granting Respondent's Motion to Quash Rule 8210 Request Disciplinary Order 03-23
Nov 7, 2003 C10020090 Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante Disciplinary Decision
Nov 10, 2003 C3A020039 Hearing Panel Decision in Department of Enforcement v. Salvatore Clark Disciplinary Decision
Nov 14, 2003 C02030015 Hearing Panel Decision in Department of Enforcement v. Louis S. Gray Disciplinary Decision
Nov 19, 2003 CAF020007 Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes Disciplinary Decision
Nov 24, 2003 C01020024 Hearing Panel Decision in Department of Enforcement v. Douglas Conant Day Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Dec 4, 2003 C02030026 Hearing Panel Decision in Department of Enforcement v. David T. Kaagan Disciplinary Decision
Dec 10, 2003 C3A030001 Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino Disciplinary Decision
Dec 15, 2003 C01020027 Hearing Panel Decision in Department of Enforcement v. Aurangzeb Rashid Pirzada Disciplinary Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Dec 29, 2003 C8B030012 Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko Disciplinary Decision
Dec 30, 2003 C01020023 Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood Disciplinary Decision
Dec 30, 2003 C3A030017 Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker Disciplinary Decision
Jan 16, 2004 CAF030008 Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone Disciplinary Decision
Jan 23, 2004 C3A030024 Hearing Panel Decision in Department of Enforcement v. Richard S. Jacobson Disciplinary Decision
Feb 9, 2004 C02020057 Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision
Feb 18, 2004 C3A030012 Hearing Panel Decision in Department of Enforcement v. Gregory A. Eastman Disciplinary Decision
Mar 10, 2004 CAF020022 Hearing Panel Decision in Department of Enforcement v. Hornblower & Weeks, Inc., John R. Rooney, Eric Ellenhorn, and Paul E. Taboada Disciplinary Decision
Mar 17, 2004 CAF030014 Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process Disciplinary Order 04-01
Mar 23, 2004 CAF030014 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision
Mar 28, 2004 DFC040005 Order Denying Respondent's Motion to Dismiss the Suspension Proceeding Disciplinary Order 04-02
Mar 29, 2004 CMS030269 Hearing Panel Decision in Market Regulation Department v. Anthony John Orlando, Jr., and Philip Anthony Orlando Disciplinary Decision

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