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
May 17, 2007 E102003025201 Order Denying Respondents' Request for Leave to Offer Expert Testimony Disciplinary Order 07-20
Jun 11, 2007 E102003025201 Order Ruling on (1) Objections to Witnesses, (2) Motion to Substitute Exhibit, (3) Motions in Limine, and (4) Motions to Strike the Respondents' Affirmative Defenses Disciplinary Order 07-21
Jun 12, 2007 2005000191701 Order Denying Respondent 3's Two Discovery Requests Disciplinary Order 07-22
Jun 13, 2007 2006004494201 Order Quashing Post-Complaint Rule 8210 Request for Information Disciplinary Order 07-23
Jun 13, 2007 20050000720-02 Order Prohibiting Use of Subpoenas Disciplinary Order 07-24
Jun 26, 2007 20050000720-02 Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order Disciplinary Order 07-25
Jun 27, 2007 E102003025201 Order Regarding Pre-Hearing Motions Disciplinary Order 07-26
Jun 28, 2007 E102003025201 Procedural Pre-Hearing Order Disciplinary Order 07-27
Jul 2, 2007 2005000323905 Order Denying Respondent 1's Motion for a More Definite Statement Disciplinary Order 07-28
Jul 13, 2007 2005001919501 Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents Disciplinary Order 07-29
Jun 13, 2007 ARB070023 Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final Disciplinary Order 07-30
Jul 30, 2007 20050000720-02 Order Overruling the Parties' Objections to Exhibits and Witnesses Disciplinary Order 07-31
Aug 2, 2007 20060050165-01 Order Establishing Pre-Hearing and Hearing Schedule and Procedures Disciplinary Order 07-32
Aug 7, 2007 20060042305-01 Scheduling Order Disciplinary Order 07-33
Aug 7, 2007 CAF040079 Order Regarding Post-Hearing Briefs Disciplinary Order 07-34
Aug 9, 2007 2005000323905 Order Regarding Respondent 2's Motions for Official Notice Disciplinary Order 07-35
Aug 16, 2007 E112005002003 Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents Disciplinary Order 07-36
Oct 16, 2007 2005001919501 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition Disciplinary Order 07-37
Oct 31, 2007 20070077587 Order Resolving Certain Pre-Hearing Motions Disciplinary Order 07-38
Nov 26, 2007 2005000323905 Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing Disciplinary Order 07-39
Dec 6, 2007 20070086505-01 Order to Show Cause Disciplinary Order 07-40
Dec 7, 2007 ARB070050 Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect Disciplinary Order 07-41
Feb 15, 2008 2005003437102 Order Denying Respondent's Motion to Compel Production of Documents Disciplinary Order 08-01
Feb 26, 2008 2005003437102 Order Denying Motion for Leave to Offer Expert Testimony Disciplinary Order 08-02
Feb 29, 2008 20070077587 Rulings on Pre-Hearing Motions and Notice of Hearing Disciplinary Order 08-03

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