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 ascending Proceeding No. Title Type Order No.
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Nov 6, 2000 C05990035 Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III Disciplinary Decision
Oct 20, 2000 C10990121 Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached Disciplinary Decision
Oct 10, 2000 CAF000030 Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief Disciplinary Order 00-31
Oct 9, 2000 C07000023 Pre-Hearing Order Disciplinary Order 00-30
Oct 6, 2000 C9B000013 Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony Disciplinary Order 00-29
Oct 5, 2000 C05000021 Order Granting Complainant's Motion for Leave to Offer Telephone Testimony and to Allow Witness to be Assisted by (Remote) Interpreter Disciplinary Order 00-28
Oct 3, 2000 C3A990031 Hearing Panel Decision in Department of Enforcement v. Charles W. Testino Disciplinary Decision
Sep 28, 2000 C10000140 Order Denying Motion for More Definite Statement Disciplinary Order 00-27
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase Disciplinary Decision
Sep 19, 2000 C10990212 Order Denying Enforcement's Motion for Partial Summary Disposition Against Respondent Disciplinary Order 00-26
Sep 13, 2000 CAF990018 Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds Disciplinary Decision
Sep 6, 2000 C8A000019 Order Convening Settlement Conference Disciplinary Order 00-25
Sep 5, 2000 C05990026 Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez Disciplinary Decision
Sep 5, 2000 C05000002 Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf Disciplinary Decision
Aug 28, 2000 C3A990071 Order Granting Respondents Motion in Limine Requesting Production of Documents Disciplinary Order 00-24
Aug 28, 2000 C02990022 Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace Disciplinary Decision
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Aug 22, 2000 C05990019 Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions Disciplinary Decision
Aug 22, 2000 C3A990035 Order Consolidating Proceedings Disciplinary Order 00-23
Aug 3, 2000 C01000003 Order Denying Respondents' Request for a Second Continuance of the Hearing Disciplinary Order 00-22
Aug 2, 2000 ARB000005 Non-Summary Suspension Proceeding ARB000005 Expedited Decision, Non-Summary Proceeding
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision
Aug 2, 2000 C3A990071 Protective Order Regarding Complainant's Rule 8210 Requests to Respondents Disciplinary Order 00-21
Jul 31, 2000 CMS960174 Order Denying Respondent's Motion to Sever and Preclude Disciplinary Order 00-20

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