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.
Nov 7, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 Disciplinary Order 06-52
Jan 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas Disciplinary Order 06-11
Jun 14, 2005 CAF040058 Order Prohibiting Use of Subpoenas Disciplinary Order 05-39
Jun 13, 2007 20050000720-02 Order Prohibiting Use of Subpoenas Disciplinary Order 07-24
Apr 29, 2002 C01010017 Order Pursuant To Conduct Rule 9143 Disciplinary Order 02-07
Jun 13, 2007 2006004494201 Order Quashing Post-Complaint Rule 8210 Request for Information Disciplinary Order 07-23
Nov 18, 2005 CAF040058 Order Regarding Admissibility of Tape Recordings and Transcripts Disciplinary Order 05-40
Oct 5, 2005 CLG050049 Order Regarding Attendance of Wittnesses' Counsel at Hearing Disciplinary Order 05-32
Mar 19, 2003 C3A020039 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 03-04
Feb 13, 2001 C10000122 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 01-03
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
Dec 9, 1997 C10970128 Order Regarding Department of Enforcements Contact with Respondent's Counsel Disciplinary Order 97-11
May 3, 2018 2014039775501 Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits Disciplinary Order 18-09
Nov 1, 2006 EAF0400300001 Order Regarding Hearing Procedures Disciplinary Order 06-51
Dec 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer Disciplinary Order 17-22
Dec 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proposed Answer Disciplinary Order 17-14
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List Disciplinary Order 97-7
Dec 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18
Jul 28, 2011 2008012925001 Order Regarding Pending Motions and Pre-Hearing Issues Disciplinary Order 11-10
Aug 7, 2007 CAF040079 Order Regarding Post-Hearing Briefs Disciplinary Order 07-34
Jul 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
Mar 27, 2007 2005000440701 Order Regarding Pre-Hearing Motions Disciplinary Order 07-12
Jun 27, 2007 E102003025201 Order Regarding Pre-Hearing Motions Disciplinary Order 07-26

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