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.sort descending Title Type Order No.
Jul 13, 2007 2005001919501 Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents Disciplinary Order 07-29
Jun 18, 2008 2005001919501 Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan Disciplinary Decision
Oct 16, 2007 2005001919501 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition Disciplinary Order 07-37
Aug 6, 2010 2005001988201 Amended Hearing Panel Decision in Department of Enforcement v. Mark B. Beloyan and Tradespot Markets, Inc. Disciplinary Decision
Apr 8, 2010 200500224102 Order Limiting the Dissemination of Personal, Confidential Information Disciplinary Order 10-01
Dec 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 20, 2007 2005002570601 Hearing Panel Decision in Department of Enforcement v. Paul Douglas Paratore Disciplinary Decision
Jun 19, 2007 20050025930 Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard Disciplinary Decision
Aug 27, 2008 2005003188901 Order Denying Respondent's Motion to Compel Production of Documents Disciplinary Order 08-12
Jan 29, 2009 2005003188901 Amended Hearing Panel Decision in Department of Enforcement v. Richard G. Cody Disciplinary Decision
Mar 19, 2009 2005003295801 Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn Disciplinary Decision
Apr 4, 2008 2005003437102 Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense Disciplinary Order 08-06
Apr 4, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition Disciplinary Order 08-07
Apr 4, 2008 2005003437102 Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing Disciplinary Order 08-08
Apr 17, 2009 2005003437102 Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock Disciplinary Decision
Feb 26, 2008 2005003437102 Order Denying Motion for Leave to Offer Expert Testimony Disciplinary Order 08-02
Feb 15, 2008 2005003437102 Order Denying Respondent's Motion to Compel Production of Documents Disciplinary Order 08-01
Sep 19, 2006 2005003490801 Hearing Panel Decision in Department of Enforcement vs. Kenneth D. Schacht Disciplinary Decision
May 6, 2010 2005003610701 Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm Disciplinary Decision
Aug 31, 2009 2006003672401 Hearing Panel Decision in Department of Enforcement v. Patrick F. Harte, Jr. Disciplinary Decision
Dec 18, 2008 2006003738501 Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick Disciplinary Decision
Dec 19, 2008 2006003825001 Hearing Panel Decision in Department of Enforcement v. Joseph William Hagan Disciplinary Decision
Dec 11, 2008 2006003834901 Hearing Panel Decision in Department of Moustafa M. Zayed Disciplinary Decision
Apr 20, 2010 2006003916901 Hearing Panel Decision in Department of Enforcement v. Richard Michael Bowers Disciplinary Decision
Oct 1, 2008 2006003995001 Hearing Panel Decision in Department of Enforcement v. Eddmon Mark Hodge Disciplinary Decision

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