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 ascending Title Type Order No.
Oct 2, 1998 CAF980022 Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss Disciplinary Order 98-29
Dec 15, 1998 CAF980014 Order and Decision Granting Department of Enforcement's Motion for Summary Disposition in Department of Enforcement v. Michael Ploshnick Disciplinary Decision
Aug 12, 1998 CAF980014 Order Denying Motion to Disqualify as Premature Disciplinary Order 98-35
Dec 2, 1999 CAF980013 Hearing Panel Decision in Department of Enforcement v. Herman Epstein Disciplinary Decision
Aug 18, 1999 CAF980005 Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller Disciplinary Decision
Dec 6, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. Disciplinary Decision
Jan 6, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist Disciplinary Order 99-02
Mar 26, 2000 CAF980002 Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages Disciplinary Order 00-07
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits Disciplinary Order 99-06
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 99-12
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
Sep 27, 1999 CAF980002 Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 Disciplinary Order 99-18
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer Disciplinary Order 98-15
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jan 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists Disciplinary Order 98-14
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
Oct 2, 1998 CAF970011 Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding Disciplinary Order 98-28
Feb 5, 1998 CAF970002 Order Regarding Severance Disciplinary Order 98-17
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
Nov 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer Disciplinary Order 97-6
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List Disciplinary Order 97-7
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
Feb 17, 1999 CAF970002 Hearing Panel Decision in Department of Enforcement v. Robert J. Rosato Disciplinary Decision

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