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
Apr 5, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery Disciplinary Order 12-02
Jul 6, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses Disciplinary Order 12-03
Aug 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents Disciplinary Order 12-04
Oct 17, 2012 2010024320101 Order to Provide Verification in Support of Request for Continuance of Hearing Disciplinary Order 12-05
Oct 23, 2012 2011026664301 Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer Disciplinary Order 12-06
Nov 9, 2012 2010020846601 Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony Disciplinary Order 12-07
Jan 2, 2013 2009019108901 Order Denying Motion by Respondent 1 for an Extension of Time – Hearing Disciplinary Order 13-01
Mar 13, 2013 2011026874301 Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense Disciplinary Order 13-02
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents Disciplinary Order 13-03
Jun 3, 2013 2009019042402 Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez Disciplinary Order 13-04
Jun 12, 2013 2011025780101 Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents Disciplinary Order 13-05
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. Disciplinary Order 13-06
Jun 17, 2014 2011026788801 Order Denying Summary Disposition Disciplinary Order 14-01
Jul 16, 2014 2012033128703 Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information Disciplinary Order 14-02
Jan 24, 2014 2010023218601 Order Denying Respondent’s Discovery Motions. Disciplinary Order 14-03
Sep 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents Disciplinary Order 14-04
Sep 9, 2014 2011025617702 Order Denying Respondents’ Motion to Permit Expert Testimony Disciplinary Order 14-05
Dec 1, 2014 2011025676501 Order Granting, In Part, Motion for More Definite Statement Disciplinary Order 14-06
Dec 8, 2014 2011030781201 Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer Disciplinary Order 14-07
Dec 10, 2014 2011026386001 Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates Disciplinary Order 14-08
Dec 30, 2014 20080148227-02 Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement Disciplinary Order 14-09
Mar 18, 2015 DFC140002 Order Granting Complainant’s Motion to Dismiss Hearing Request Disciplinary Order 15-01
Feb 23, 2015 2010024522103 Order Denying Respondents’ Motion Pursuant to Rule 9251 Disciplinary Order 15-02
Feb 13, 2015 2013036217601 Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony Disciplinary Order 15-03
Feb 3, 2015 2011025706401 Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony Disciplinary Order 15-04

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