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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| April 20, 2007 | 2005002570601 | Hearing Panel Decision in Department of Enforcement v. Paul Douglas Paratore | Disciplinary Decision | |
| April 18, 2007 | C11040006 | Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition | Disciplinary Order | 07-16 |
| April 16, 2007 | ARB060031 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| April 12, 2007 | E1020040926-01 | Hearing Panel Decision in Department of Enforcement v. Respondents | Redacted Decision | |
| April 11, 2007 | CAF040079 | Order Granting in Part Respondent's Motion to Exceed Time Limits for Specific Witnesses and Denying Motion for Reconsideration of Total Number of Witnesses to Be Called | Disciplinary Order | 07-14 |
| April 11, 2007 | CLG050021 | Hearing Panel Decision in Department of Market Regulation v. John Patrick Leighton and Kenneth D. Pasternak | Disciplinary Decision | |
| April 09, 2007 | 2006004493301 | Hearing Panel Decision in Department of Enforcement v. Mark S. Ritchey | Disciplinary Decision | |
| March 30, 2007 | 20042000056-01 | Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| March 28, 2007 | CAF040079 | Order Regarding Witnesses | Disciplinary Order | 07-13 |
| March 27, 2007 | 2005000440701 | Order Regarding Pre-Hearing Motions | Disciplinary Order | 07-12 |
| March 22, 2007 | C10040052 | Order Denying Respondents' Motion for Partial Summary Disposition | Disciplinary Order | 07-11 |
| March 20, 2007 | E9B2003026301 | Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan | Disciplinary Decision | |
| March 16, 2007 | C02050006 | Order Requiring Counsel to File Notice of Representation or Withdrawal | Disciplinary Order | 07-10 |
| March 15, 2007 | ARB060035 | Wedbush Morgan Securities, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 07, 2007 | 2005000316701 | Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence | Disciplinary Order | 07-09 |
| February 28, 2007 | 2005001305701 | Order Setting Philadelphia, Pa as Venue for Disciplinary Proceeding | Disciplinary Order | 07-08 |
| February 28, 2007 | 2005001514501 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| February 22, 2007 | E8A2002109804 | Order Granting the Parties' Motions for Telephone Testimony and Deferring Ruling on Respondent's Objection to Enforcement's Proposed Exhibit CX-7 | Disciplinary Order | 07-07 |
| February 20, 2007 | 2005001305701 | Order Denying Respondents' Three Discovery Motions | Disciplinary Order | 07-06 |
| February 20, 2007 | CLI050014 | Hearing Panel Decision in Department of Enforcement v. Erik Matz | Disciplinary Decision | |
| February 16, 2007 | 2005000316701 | Order Ruling on Respondents' Motions to Strike Department of Enforcement's Exhibits | Disciplinary Order | 07-05 |
| February 15, 2007 | 2005000316701 | Order Ruling on Department of Enforcement's (1) Objections to Witnesses and Documents, (2) Motion to Partially Strike Respondents' Pre-Hearing Brief, (3) Motion in Limine, and (4) Motion for Ruling on the Admissibility of Documents and Business Records | Disciplinary Order | 07-04 |
| February 13, 2007 | 2005000094001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | Disciplinary Order | 07-03 |
| February 05, 2007 | 2005001305701 | Order Denying the Respondents' Motion for a More Definite Statement | Disciplinary Order | 07-02 |
| February 01, 2007 | E3A20050065 | Order Regarding Respondent's Pre-Hearing Submissions | Disciplinary Order | 07-01 |