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 2, 2018 2014041860801 Omnibus Order on Pre-Hearing Motions Disciplinary Order 18-07
May 3, 2018 2014039775501 Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses Disciplinary Order 18-08
May 3, 2018 2014039775501 Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits Disciplinary Order 18-09
Mar 5, 2018 2015047154001 Order Denying Respondent’s Motion for Admission of Additional Exhibits Disciplinary Order 18-10
Mar 20, 2018 2015046971701 Order Granting Motion to Allow De Bene Esse Deposition Disciplinary Order 18-11
Jan 10, 2018 2014041862701 Case Management and Scheduling Order Disciplinary Order 18-12
Jan 11, 2018 2015047069701 Case Management and Scheduling Order Disciplinary Order 18-13
Aug 1, 2018 2016050025401 Order Granting Motion for Leave to File Second Amended Complaint Disciplinary Order 18-14
Oct 8, 2018 2016048912703 Order Denying Bruce Meyers’ Motion to Compel Disciplinary Order 18-15
Oct 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion Disciplinary Order 18-16
Jan 25, 2019 ARB180037 Order Denying Motion to Dismiss; Expedited Order 19‐01
Sep 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer Disciplinary Order 97-1
Nov 28, 1997 CAF970002 Order Denying Motions for More Definite Statement Disciplinary Order 97-10
Dec 9, 1997 C10970128 Order Regarding Department of Enforcements Contact with Respondent's Counsel Disciplinary Order 97-11
Dec 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List Disciplinary Order 97-12
Dec 15, 1997 C05970037 Order Denying Motion to Stay Proceeding Disciplinary Order 97-13
Dec 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings Disciplinary Order 97-14
Dec 19, 1997 C01970032 Order Striking Answer Filed on Behalf of and Directing the Department of Enforcement to Send a Second Notice of Complaint Disciplinary Order 97-15
Dec 19, 1997 C10970172 Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference Disciplinary Order 97-16
Dec 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17
Dec 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18
Dec 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer Disciplinary Order 97-19
Sep 18, 1997 C10970158 Order Extending Time for Respondents to Answer Disciplinary Order 97-2
Oct 7, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent Disciplinary Order 97-3
Oct 29, 1997 CMS960105 Order Denying Motion for Disqualification of Hearing Officer Disciplinary Order 97-4

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