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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|May 7, 1999||CAF980031||Order Denying Motions to Sever||Disciplinary Order||99-09|
|Jul 7, 1999||C8A990015||Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses||Disciplinary Order||99-10|
|Jul 17, 1999||C8A990015||Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony||Disciplinary Order||99-11|
|Jun 21, 1999||CAF980002||Order Denying Respondents' Motion to Compel Production of Documents||Disciplinary Order||99-12|
|Jun 28, 1999||CAF990007||Order Granting Respondents' Motion for Reconsideration||Disciplinary Order||99-13|
|Aug 27, 1999||C02980024||Order Granting Complainant's Motion to Strike||Disciplinary Order||99-14|
|Sep 21, 1999||CAF980002||Order Regarding Court Reporting Services for the Hearing||Disciplinary Order||99-15|
|Sep 23, 1999||C02980034||Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint||Disciplinary Order||99-16|
|Sep 27, 1999||C02990022||Order Denying Respondent's Request for Financial Assistance to Attend Hearing||Disciplinary Order||99-17|
|Sep 27, 1999||CAF980002||Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252||Disciplinary Order||99-18|
|Sep 30, 1999||CMS920002||Order Directing Complainant to Comply with Rule 9251||Disciplinary Order||99-19|
|Oct 18, 1999||CMS920002||Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order||Disciplinary Order||99-20|
|Dec 30, 1999||CAF990018||Order Denying Motion for Summary Disposition||Disciplinary Order||99-21|
|May 5, 2006||CAF030007||Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice||Disciplinary Order||CAF030007|
|Mar 18, 2015||DFC140002||Order Granting Complainant's Motion to Dismiss Hearing Request||Expedited Order||EXP15-01|
|Dec 18, 2015||ARB150039||Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m)||Expedited Order||EXP15-02|
|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|