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.
May 21, 1999 C3A980069 Amended Hearing Panel Decision in Department of Enforcement v. Michael A. Usher Disciplinary Decision
Jun 1, 1999 ARB980026 Non-Summary Suspension Proceeding ARB980026 Expedited Decision, Non-Summary Proceeding
Jun 1, 1999 ARB990008 Non-Summary Suspension Proceeding ARB990008 Expedited Decision, Non-Summary Proceeding
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jun 18, 1999 C10980070 Hearing Panel Decision in Department of Enforcement v. John J. Lee Disciplinary Decision
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 99-12
Jun 25, 1999 CAF980022 Hearing Panel Decision in Department of Enforcement v. Coleman & Company Securities, Inc. and Aaron J. Yorke, IV Disciplinary Decision
Jun 28, 1999 CAF990007 Order Granting Respondents' Motion for Reconsideration Disciplinary Order 99-13
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Jul 7, 1999 C8A990015 Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 99-10
Jul 17, 1999 C8A990015 Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-11
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Aug 3, 1999 ARB990014 Non-Summary Suspension Proceeding ARB990014 Expedited Decision, Non-Summary Proceeding
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
Aug 18, 1999 CAF980005 Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller Disciplinary Decision
Aug 27, 1999 C02980024 Order Granting Complainant's Motion to Strike Disciplinary Order 99-14
Sep 1, 1999 C02980073 Hearing Panel Decision in Department of Enforcement v. McLaughlin, Piven, Vogel Securities, Inc. and James Cecil McLaughlin Disciplinary Decision
Sep 17, 1999 C3A980077 Hearing Panel Decision in Department of Enforcement v. Richard F. Dambakly Disciplinary Decision
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
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 27, 1999 C02990022 Order Denying Respondent's Request for Financial Assistance to Attend Hearing Disciplinary Order 99-17
Sep 27, 1999 CAF980002 Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 Disciplinary Order 99-18
Sep 30, 1999 CMS920002 Order Directing Complainant to Comply with Rule 9251 Disciplinary Order 99-19
Oct 6, 1999 DFC990003 Rule 9530 Suspension Proceeding DFC990003 Expedited Decision, Rule 9530 Suspension Decisions
Oct 18, 1999 C07990013 Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz Disciplinary Decision

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