Office of Hearing Officers
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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|Nov 8, 2017||2014041985401||APPEALED: James Larkin Powers||Disciplinary Decision|
|Nov 8, 2017||2014040809501||Eddie Basora, Jr.||Disciplinary Decision|
|Dec 20, 2017||2016047565702||Order Regarding Motion for Order Directing Zipper to File a Proposed Answer||Disciplinary Order||17-14|