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
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
Jan 27, 2015 2012034936005 Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion Disciplinary Order 15-05
Apr 2, 2015 2013036217601 Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 15-07
Apr 8, 2015 2011025622001 Order Denying Respondent's Motion for Leave to Permit Expert Testimony Disciplinary Order 15-08
Apr 8, 2015 2010024522103 Order Denying Motion Pursuant to FINRA Rule 9234 Disciplinary Order 15-09
Jun 4, 2015 2011025444501 Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix Disciplinary Order 15-10
Sep 21, 2015 20080148227-02 Order Granting Respondents’ Preclusion Motion Disciplinary Order 15-12
Oct 1, 2015 2013035344201 Protective Order Governing Personal Confidential Information Disciplinary Order 15-13
Oct 22, 2015 201203564701 Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 15-14
Dec 22, 2015 2014040968501 Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing Disciplinary Order 15-15
Jan 20, 2016 2015044960501 Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. Disciplinary Order 16-01
Jan 29, 2016 2014040295201 Order Denying Respondents’ Motion for Expert Testimony Disciplinary Order 16-02
Jan 28, 2016 2015044379701 Order Denying Motion to Dismiss Disciplinary Order 16-03
Feb 3, 2016 2012033393401 Order Granting in Part and Denying in Part Respondent’s Motion in Limine to Exclude the Testimony of KA, BS, and MC. Disciplinary Order 16-04
Feb 16, 2016 20080148227-02 Order Denying Respondents’ Preclusion Motion Disciplinary Order 16-05
Feb 22, 2016 2014040501801 Order Denying Motion for Permission to Present Expert Testimony Disciplinary Order 16-06
Feb 29, 2016 2014043020901 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement Disciplinary Order 16-07

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