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 Decision Proceeding No. Titlesort descending Type Order No.
Mar 7, 2007 2005000316701 Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence Disciplinary Order 07-09
Jul 16, 2014 2012033128703 Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information Disciplinary Order 14-02
Sep 5, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony Disciplinary Order 17-17
Apr 27, 1999 C11970032 Order Granting Motion to Strike Affirmative Defenses Disciplinary Order 99-07
Oct 7, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent Disciplinary Order 97-3
Feb 14, 2001 CAF000045 Order Granting Motions to Quash Disciplinary Order 01-04
May 17, 2005 C9B040098 Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony Disciplinary Order 05-21
Sep 26, 2003 CLI030017 Order Granting Part Respondents' Motion for More Definite Statement Disciplinary Order 03-18
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Dec 21, 1998 CAF980025 Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions Disciplinary Order 98-32
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Sep 15, 2006 EAF0400300001 Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing Disciplinary Order 06-38
Jun 7, 2005 C05050015 Order Granting Respondent 2's Motion for More Definite Statement Disciplinary Order 05-24
Jan 6, 2006 C05050015 Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253 Disciplinary Order 06-02
Jul 12, 2010 2008014621701 Order Granting Respondent 2's Motion to File a Reply and Denying Respondent 2's Motion for More Definite Statement Disciplinary Order 10-04
Jun 15, 2004 CAF030058 Order Granting Respondent's Motion for in Camera Inspection of Documents Disciplinary Order 04-05
Feb 9, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information Disciplinary Order 06-19
Feb 7, 2006 C05050008 Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 Disciplinary Order 06-17
Apr 4, 2008 2005003437102 Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing Disciplinary Order 08-08
Feb 15, 2001 CMS000157 Order Granting Respondent's Motion to Exclude Documents Disciplinary Order 01-05
Nov 4, 2003 CAF030008 Order Granting Respondent's Motion to Quash Rule 8210 Request Disciplinary Order 03-23
May 11, 2001 C05010012 Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252 Disciplinary Order 01-12
Oct 4, 2004 C9B040036 Order Granting Respondents Rule 9261(C) Request Disciplinary Order 04-22
Aug 28, 2000 C3A990071 Order Granting Respondents Motion in Limine Requesting Production of Documents Disciplinary Order 00-24
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23

Pages