Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 Decision Proceeding No. Titlesort descending Type Order No.
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Sep 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
Aug 19, 2003 03-01 Hearing Panel Decision as to Respondent Redacted Decision
Aug 6, 2004 CMS030257 Hearing Panel Decision as to Respondent Redacted Decision
Jun 26, 2000 C10980008 Hearing Panel Decision as to Respondent Redacted Decision
Sep 8, 2003 03-02 Hearing Panel Decision as to Respondent Redacted Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision
Jul 3, 2000 C9B990019 Hearing Panel Decision as to Respondent Redacted Decision
Nov 15, 2001 C07010010 Hearing Panel Decision as to Respondent Redacted Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Dec 22, 2003 03-03 Hearing Panel Decision as to Respondent Redacted Decision
Apr 1, 2002 CMS000157 Hearing Panel Decision as to Respondent Redacted Decision
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Nov 21, 2001 C07010017 Hearing Panel Decision as to Respondent Redacted Decision
Oct 12, 2004 C10030030 Hearing Panel Decision as to Respondent Redacted Decision
Feb 11, 2000 CAF980031 Hearing Panel Decision as to Respondent Redacted Decision
Nov 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision

Pages