Skip to main content

Office of Hearing Officers’ Decisions and Orders

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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
April 12, 2005 ARB050010 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Expedited Order 05-16
April 07, 2005 CAF040058 Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents

Related Documents

Disciplinary Order 05-15
April 06, 2005 C9B040020 In the Matter of Department of Enforcement, Complainant vs. Respondent

Related Documents

Disciplinary Decision
April 06, 2005 C9B040020 Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
April 05, 2005 CAF040002 Order Denying Complainant's Objection to Expert Testimony of Paul Mason Disciplinary Order 05-14
April 04, 2005 CAF040002 Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model Disciplinary Order 05-13
March 30, 2005 CAF040002 Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 Disciplinary Order 05-12
March 29, 2005 C02040044 Order Denying Motion for List of Documents Withheld Disciplinary Order 05-10
March 29, 2005 C01040017 Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing Disciplinary Order 05-11
March 22, 2005 C9B040069 Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger

Related Documents

Disciplinary Decision
March 20, 2005 CAF030058 Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition Disciplinary Order 05-09
March 17, 2005 CMS040202 Order Denying Motion for Order to Cease and Desist

Related Documents

Disciplinary Order 05-08
March 14, 2005 CAF040079 Order Denying Respondent's Motion to Quash and Motion for a Protective Order Disciplinary Order 05-07
March 14, 2005 C9B040036 Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty Disciplinary Decision
March 13, 2005 C9B040074 Hearing Panel Decision in Department of Enforcement vs. James C. Ackerman Disciplinary Decision
March 13, 2005 C9B040074 Hearing Panel Decision in Department of Enforcement vs. Respondent Firm and James C. Ackerman Disciplinary Decision
March 13, 2005 C10030095 Hearing Panel Decision in Department of Enforcement vs. John Audifferen

Related Documents

Disciplinary Decision
March 02, 2005 CAF040056 Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order Disciplinary Order 05-06
March 02, 2005 ARB040037 Hearing Panel Decision in Department of Enforcement vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
March 01, 2005 ARB050002 Order Granting Enforcement's Rule 9559(M) Motion and Dismissing Proceeding Expedited Order 05-05
February 28, 2005 C9B040059 Order Denying Motion to Disqualify Hearing Officer Witherspoon

Related Documents

Disciplinary Order 05-04
February 24, 2005 C3A040023 Order Regarding Respondents' Pre-Hearing Submissions

Related Documents

Disciplinary Order 05-03
February 18, 2005 FPI040007 Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg Expedited Decision, Rule 9540 Suspension Decisions
February 17, 2005 C8A030086 Hearing Panel Decision in Department of Enforcement vs. Lance Dahmer Disciplinary Decision
January 25, 2005 C07040074 Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. and Franklyn Ross Michelin Disciplinary Decision