Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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.
Jun 30, 1998 C01980001 Hearing Panel Decision in Department of Enforcement v. Donald Clewell Maier Disciplinary Decision
Jul 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
Aug 12, 1998 CAF980014 Order Denying Motion to Disqualify as Premature Disciplinary Order 98-35
Aug 21, 1998 CO5970035 Hearing Panel Decision Redacted Decision
Aug 26, 1998 CMS970026 Hearing Panel Decision in Department of Enforcement v. Olde Discount Corporation and Todd Thomas Wodek Disciplinary Decision
Sep 16, 1998 C9A970045 Order Denying Motion for Entry of Default Decision Disciplinary Order 98-27
Oct 2, 1998 CAF970011 Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding Disciplinary Order 98-28
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
Oct 7, 1998 C06980001 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Blake Vincent High Disciplinary Decision
Oct 20, 1998 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Oct 23, 1998 C06980015 Order Denying Motion to Stay Proceeding Disciplinary Order 98-31
Oct 26, 1998 C3A980027 Order Granting Complainant's Motion for Leave to Offer Telephone Testimony Disciplinary Order 98-30
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision
Nov 17, 1998 C02980025 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz Disciplinary Decision
Nov 24, 1998 C06980015 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Terry Don Rader Disciplinary Decision
Dec 1, 1998 C10980025 Hearing Panel Decision in Department of Enforcement v. Kory E. Guglielminetti Disciplinary Decision
Dec 2, 1998 C8A980012 Department of Enforcement, Complainant v. Respondent Redacted Decision
Dec 2, 1998 C06980021 Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information Disciplinary Order 98-34
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
Dec 14, 1998 C10980041 Hearing Panel Decision in Department of Enforcement v. Harold Lee Jenkins Disciplinary Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
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
Dec 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
Dec 21, 1998 CAF980025 Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions Disciplinary Order 98-32

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