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. Title Type Order No.sort descending
Jan 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery Disciplinary Order 06-07
Jan 12, 2006 C07050029 Order Denying Complainant's Motion to Preclude the Respondent from Offering Evidence, Revising the Pre-Hearing Schedule, and Denying Respondent's Motion to Reconsider Denial of Motion to Compel Discovery Disciplinary Order 06-08
Jan 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery Disciplinary Order 06-09
Jan 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist Disciplinary Order 06-10
Jan 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas Disciplinary Order 06-11
Jan 13, 2006 CLI050016 Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence Disciplinary Order 06-12
Jan 19, 2006 CLG050021 Order Establishing Procedure Governing Presentation of Expert Testimony Disciplinary Order 06-13
Jan 20, 2006 C05050015 Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine Disciplinary Order 06-14
Jan 31, 2006 C3A030008 Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision Disciplinary Order 06-15
Feb 1, 2006 C02040032 Order Denying Motion to Dismiss Disciplinary Order 06-16
Feb 7, 2006 C05050008 Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 Disciplinary Order 06-17
Feb 8, 2006 CAF040058 Order Denying Respondents' Motion to Invoke Procedural Rule 8210 Disciplinary Order 06-18
Feb 9, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information Disciplinary Order 06-19
Mar 3, 2006 E9B2003033501 Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report Disciplinary Order 06-20
Mar 8, 2006 CAF040079 Order Granting Enforcement's Motion to Offer Testimony Via Telephone Disciplinary Order 06-21
Mar 9, 2006 CAF040079 Order Granting Enforcement's Motion for Witness Sequestration Disciplinary Order 06-22
Mar 12, 2006 CAF040079 Order Denying Respondent's Motion for Summary Disposition Disciplinary Order 06-23
Mar 15, 2006 CLG050021 Order Denying Complainant's Motion to Continue Hearing Disciplinary Order 06-24
Mar 15, 2006 E0220030425-01 Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner Disciplinary Order 06-25
Apr 12, 2006 CLG050021 Order Partially Granting the Complainant's Motion to Disqualify Expert Witness Disciplinary Order 06-26
Mar 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 06-27
Mar 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing Disciplinary Order 06-28
Apr 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint Disciplinary Order 06-29
Apr 17, 2006 E0220030425-01 Order Denying Respondent's Motion to Disqualify Expert Witness Disciplinary Order 06-30
Apr 18, 2006 ARB060010 Order Dismissing Request for Hearing Disciplinary Order 06-31

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