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.
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision
Jun 19, 2007 20050025930 Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard Disciplinary Decision
Dec 3, 2003 CMS030006 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp. Disciplinary Decision
Mar 27, 2003 C3A010036 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 Disciplinary Decision
Sep 15, 2011 2010023719601 Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney Disciplinary Decision
Jun 5, 2000 C05990034 Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr. Disciplinary Decision
May 14, 2001 C05000021 Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell Disciplinary Decision
Oct 3, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Mar 9, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Nov 5, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley Disciplinary Decision
Aug 5, 2002 C8A010048 Hearing Panel Decision in Department of Enforcement v. Christian W. Baker Disciplinary Decision
Jun 30, 1998 C3A970072 Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann Disciplinary Decision
Oct 12, 2009 2009017496501 Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott Disciplinary Decision
Sep 5, 2000 C05990026 Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez Disciplinary Decision
Jun 23, 2003 C3B020013 Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk Disciplinary Decision
Oct 14, 2008 2006006890801 Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin Disciplinary Decision
Jun 9, 2009 2008012026601 Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin Disciplinary Decision
Jun 25, 1999 CAF980022 Hearing Panel Decision in Department of Enforcement v. Coleman & Company Securities, Inc. and Aaron J. Yorke, IV Disciplinary Decision
Dec 13, 2002 C04020006 Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. Disciplinary Decision
Nov 19, 2003 CAF020007 Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes Disciplinary Decision
May 19, 2004 C10030076 Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim Disciplinary Decision
Oct 21, 2010 2007009181101 Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II Disciplinary Decision
Apr 2, 2012 2009019297801 Hearing Panel Decision in Department of Enforcement v. Dame Cisse Disciplinary Decision
May 3, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber Disciplinary Decision
Jun 6, 2000 C9A990007 Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff Disciplinary Decision

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