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
Mar 25, 2016 2015044379701 Order Denying Rule 9252 Request Disciplinary Order 16-14
Mar 30, 2016 2013036681701 Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. Disciplinary Order 16-15
Feb 26, 2016 2014041724601 Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel Disciplinary Order 16-16
May 20, 2016 2013038333001 Order Denying Respondent’s Motion for Request for Documents and Information Disciplinary Order 16-17
May 24, 2016 2014043020901 Order Ruling on Witness Objections Disciplinary Order 16-18
Jul 28, 2016 2013035817701 Protective Order Governing Personal Confidential Information Disciplinary Order 16-19
Jul 28, 2016 20120342425-01 Order Concerning Parties’ Motion for Leave to Present Expert Testimony Disciplinary Order 16-20
Aug 15, 2016 2013038986001 Order Rejecting Offer of Settlement Disciplinary Order 16-21
Aug 16, 2016 2014039173301 Case Management and Scheduling Order Disciplinary Order 16-22
Aug 24, 2016 2014043020901 Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony Disciplinary Order 16-23
Aug 30, 2016 2014043020901 Order Granting Enforcement’s Motion for Exception From Sequestration. Disciplinary Order 16-24
Sep 13, 2016 2012033105901 Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. Disciplinary Order 16-26
Oct 14, 2016 201303641201 Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 16-27
Oct 31, 2016 2014042524301 Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. Disciplinary Order 16-28
Nov 4, 2016 2014039839101 Order Granting Enforcement’s Motion for Partial Summary Disposition. Disciplinary Order 16-29
Nov 14, 2016 2014040476901 Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. Disciplinary Order 16-30
Nov 23, 2016 20080148227-02 Order Deferring Ruling on Joint Motion to Stay Proceedings. Disciplinary Order 16-31
Dec 14, 2016 2015044823501 Order Denying Respondent Beyn’s Motion for Additional Discovery. Disciplinary Order 16-33
Dec 28, 2016 2014042690502 Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. Disciplinary Order 16-34
Sep 7, 2016 2013038986001 Order Denying Respondent’s Motion to Continue Hearing Disciplinary Order 16‐25
Jun 12, 2017 DFC170003 Order Dismissing Request for Hearing Expedited Order 17-01
Jan 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence Disciplinary Order 17-01
Feb 7, 2017 2014042291901 Order Denying Respondents’ Motion for Summary Disposition. Disciplinary Order 17-02
Feb 24, 2017 2014042059701 Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. Disciplinary Order 17-03
Mar 8, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. Disciplinary Order 17-04

Pages