Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 18, 2015 DFC140002 Order Granting Complainant's Motion to Dismiss Hearing Request Expedited Order EXP15-01 DFC140002
Dec 18, 2015 ARB150039 Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) Expedited Order EXP15-02 ARB150039
Dec 3, 2015 ARB150048 Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action Expedited Order EXP15-03 ARB150048

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