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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.
December 13, 2002 C02020014 Hearing Panel Decision in Department of Enforcement v. Young Min Kim Disciplinary Decision
November 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision
November 06, 2002 C3A020020 Hearing Panel Decision in Department of Enforcement v. Stephanie Ann Dixon Disciplinary Decision
November 05, 2002 C01010009 Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley

Related Documents

Disciplinary Decision
October 07, 2002 C01010018 Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh Disciplinary Decision
October 03, 2002 DFC020014 NASD Treasurer, Complainant, v. Respondent Expedited Decision, Rule 9530 Suspension Decisions
September 24, 2002 C01020003 Hearing Panel Decision in Department of Enforcement v. Martin Herbert Meckler Disciplinary Decision
September 17, 2002 C9B020016 Hearing Panel Decision in Department of Enforcement v. Michael K. Kalmaer Disciplinary Decision
September 13, 2002 C06010025 Hearing Panel Decision in Department of Enforcement v. Arlie R. Horn, Jr. and Lindsay A. Byrum Disciplinary Decision
September 05, 2002 C02010041 Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate

Related Documents

Disciplinary Decision
August 13, 2002 C07010100 Hearing Panel Decision in Department of Enforcement v. David William Haburjak Disciplinary Decision
August 13, 2002 C01010017 Hearing Panel Decision in Department of Enforcement v. James Richard Wamsley Disciplinary Decision
August 05, 2002 C8A010048 Hearing Panel Decision in Department of Enforcement v. Christian W. Baker Disciplinary Decision
July 09, 2002 C9B010041 Hearing Panel Decision in Department of Enforcement v. James B. Moran Disciplinary Decision
July 09, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen

Related Documents

Disciplinary Decision
July 08, 2002 C07010091 Hearing Panel Decision in Department of Enforcement v. Luis G. Sarmiento Disciplinary Decision
June 12, 2002 C8A010060 Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire Disciplinary Decision
May 31, 2002 C07010084 Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris Disciplinary Decision
May 21, 2002 C07010100 Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions Disciplinary Order 02-11
May 15, 2002 CAF010021 Order Denying Motion to Sever Disciplinary Order 02-10
May 14, 2002 C01010009 Order Deferring Decision On Complainant's Motion For Summary Disposition Disciplinary Order 02-09
May 08, 2002 C10010145 Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction Disciplinary Order 02-08
May 06, 2002 C07010095 Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith Disciplinary Decision
May 03, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber

Related Documents

Disciplinary Decision
April 29, 2002 C01010017 Order Pursuant To Conduct Rule 9143 Disciplinary Order 02-07