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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.
January 24, 2005 C9B040033 Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson

Related Documents

Disciplinary Decision
January 21, 2005 CMS040069 Hearing Panel Decision in Department of Enforcement vs. Nicholas R. Sciascia

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Disciplinary Decision
January 14, 2005 CAF040058 Order Denying Respondents' Motion Pursuant to Rule 9252 and for an Extension of Time

Related Documents

Disciplinary Order 05-01
January 14, 2005 CAF040056 Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. Disciplinary Decision
January 14, 2005 CAF040056 Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. Disciplinary Decision
January 14, 2005 C10040025 Hearing Panel Decision in Department of Enforcement vs. John Brigandi

Related Documents

Disciplinary Decision
January 14, 2005 ARB040045 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Expedited Order 05-02
January 14, 2005 CAF040056 Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. Disciplinary Decision
January 10, 2005 C9B040013 Hearing Panel Decision in Department of Enforcement vs. Hennion & Walsh, Inc. Disciplinary Decision
January 07, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
January 06, 2005 C01040010 Hearing Panel Decision in Department of Enforcement vs. Patrick Orvil Nugent

Related Documents

Disciplinary Decision
January 04, 2005 CAF030067 Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc.

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Disciplinary Decision
January 03, 2005 C9A030041 Hearing Panel Decision in Department of Enforcement vs. James M. Coyne, Sr. Disciplinary Decision
December 15, 2004 CAF040042 Hearing Panel Decision in Department of Enforcement v. LH Ross & Company, Inc. Disciplinary Decision
December 10, 2004 CMS030182 Hearing Panel Decision in Department of Enforcement v. Yankee Financial Group, Inc.

Related Documents

Disciplinary Decision
November 30, 2004 C9B030076 Hearing Panel Decision in Department of Enforcement v. Raghavan Sathianathan

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Disciplinary Decision
November 29, 2004 C02040016 Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes

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Disciplinary Decision
November 26, 2004 C9B030076 Order Denying Respondent's Amended Motion to Reconsider Order Denying Motion to Dismiss

Related Documents

Disciplinary Order 04-09
November 24, 2004 C9A040020 Hearing Panel Decision in Department of Enforcement v. Paul V. Roddy, Jr. Disciplinary Decision
November 19, 2004 C05030036 Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al.

Related Documents

Disciplinary Decision
November 16, 2004 C10040019 Hearing Panel Decision in Department of Enforcement v. Oscar Montenegro Disciplinary Decision
October 28, 2004 CAF040020 Order Ruling On Pre-Hearing Motions Disciplinary Order 04-29
October 19, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss Expedited Order 04-28
October 19, 2004 C07040048 Hearing Panel Decision in Department of Enforcement v. Lacy M. Walthall, III Disciplinary Decision
October 12, 2004 CAF040020 Order Ruling On Pre-Hearing Motions Disciplinary Decision