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.
Sep 22, 2009 E3A20050037-02 Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino Disciplinary Decision
Feb 1, 2007 E3A20050065 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 07-01
Jul 27, 2007 E8A2002109804 Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza Disciplinary Decision
Feb 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
Apr 28, 2007 E8A2003062001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery Disciplinary Order 06-09
Jul 21, 2006 E8A2003080701 Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins Disciplinary Decision
Dec 28, 2006 E8A2003084806 Order Granting Complainant's Motion in Limine Disciplinary Order 06-58
Feb 6, 2008 E8A2003084806 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Sep 28, 2006 E8A2003091501 Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present Disciplinary Order 06-42
May 18, 2007 E8A2003091501 Hearing Panel Decision in Department of Enforcement v. Roy M. Strong Disciplinary Decision
Jan 10, 2006 E8A2004065102 Order Requiring Respondent to Supplement His Rule 9252 Request Disciplinary Order 06-04
Aug 16, 2006 E8A2004065102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jul 6, 2009 E8A2004072203 Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
Jul 31, 2007 E8A20041203102 Hearing Panel Decision in Department of Enforcement v. Michelle M. Mayo Disciplinary Decision
Nov 30, 2007 E8A2005014902 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Dec 12, 2006 E8A20050252 Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin Disciplinary Decision
Aug 9, 2006 E9A2004001901 Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth Disciplinary Decision
Jul 12, 2007 E9A2004048801 Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly Disciplinary Decision
Apr 24, 2007 E9B2002010501 Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek Disciplinary Decision
Oct 20, 2006 E9B2002055601 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary Decision
Mar 3, 2006 E9B2003033501 Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report Disciplinary Order 06-20
Feb 9, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information Disciplinary Order 06-19

Pages