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.
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
Aug 13, 1999 C9A980041 Hearing Panel Decision Redacted Decision
Aug 3, 1999 ARB990014 Non-Summary Suspension Proceeding ARB990014 Expedited Decision, Non-Summary Proceeding
Jul 29, 1999 CMS980108 Hearing Panel Decision Redacted Decision
Jul 17, 1999 C8A990015 Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony Disciplinary Order 99-11
Jul 7, 1999 C8A990015 Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 99-10
Jul 6, 1999 C02980051 Hearing Panel Decision in Department of Enforcement v. Gordon Kerr Disciplinary Decision
Jun 28, 1999 CAF990007 Order Granting Respondents' Motion for Reconsideration Disciplinary Order 99-13
Jun 25, 1999 CAF980022 Hearing Panel Decision in Department of Enforcement v. Coleman & Company Securities, Inc. and Aaron J. Yorke, IV Disciplinary Decision
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 99-12
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jun 18, 1999 C10980070 Hearing Panel Decision in Department of Enforcement v. John J. Lee Disciplinary Decision
Jun 1, 1999 ARB980026 Non-Summary Suspension Proceeding ARB980026 Expedited Decision, Non-Summary Proceeding
Jun 1, 1999 ARB990008 Non-Summary Suspension Proceeding ARB990008 Expedited Decision, Non-Summary Proceeding
May 21, 1999 C3A980069 Amended Hearing Panel Decision in Department of Enforcement v. Michael A. Usher Disciplinary Decision
May 19, 1999 C05990006 Order Dismissing Respondent for Lack of Jurisdiction Redacted Decision
May 7, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action Disciplinary Order 99-08
May 7, 1999 CAF980031 Order Denying Motions to Sever Disciplinary Order 99-09
May 7, 1999 CAF980094 Hearing Panel Decision Redacted Decision
May 6, 1999 C07980021 Hearing Panel Decision Redacted Decision
May 6, 1999 CAF980080 Hearing Panel Decision Redacted Decision
Apr 28, 1999 C02980070 Hearing Panel Decision in Department of Enforcement v. Frederick D. Smith Disciplinary Decision
Apr 27, 1999 C11970032 Order Granting Motion to Strike Affirmative Defenses Disciplinary Order 99-07
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
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents Disciplinary Order 99-05

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