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 Decisionsort descending Proceeding No. Title Type Order No.
Jan 20, 1998 C10970161 Order Disciplinary Order 98-7
Jan 20, 1998 C10970158 Order Denying Motion for More Definite Statement Disciplinary Order 98-8
Jan 21, 1998 C04970029 Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference Disciplinary Order 98-9
Jan 21, 1998 C10970176 Order as to Respondent Disciplinary Order 98-10
Jan 22, 1998 CMS970026 Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 98-11
Jan 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
Jan 27, 1998 C3A970067 Order Granting Department of Enforcement's Motion for Telephone Testimony Disciplinary Order 98-13
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists Disciplinary Order 98-14
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer Disciplinary Order 98-15
Feb 2, 1998 C04970029 Order Staying Proceeding Disciplinary Order 98-16
Feb 5, 1998 CAF970002 Order Regarding Severance Disciplinary Order 98-17
Feb 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 Disciplinary Order 98-18
Feb 25, 1998 C10970033 Order Directing Written Submissions in Place of Hearing Disciplinary Order 98-19
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
Mar 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
Mar 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
Mar 19, 1998 C07970055 Hearing Panel Decision Redacted Decision
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23
May 14, 1998 C9B970016 Hearing Panel Decision in Department of Enforcement v. Edward Golick Disciplinary Decision
May 14, 1998 C10970033 Hearing Panel Decision in Department of Enforcement v. Reynold Bradford Kern Disciplinary Decision
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
Jun 3, 1998 CMS970028 Hearing Panel Decision Redacted Decision
Jun 16, 1998 C3A970009 Hearing Panel Decision in Department of Enforcement v. W.B. McKee Securities, et al Disciplinary Decision
Jun 24, 1998 C10970120 Hearing Panel Decision in Department of Enforcement v. Frank Rocky Mazzei and GKN Securities Corporation Disciplinary Decision
Jun 30, 1998 C3A970072 Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann Disciplinary Decision

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