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.
Jan 18, 2000 C02990052 Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 00-02
Jan 13, 2000 C02990017 Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi Disciplinary Decision
Jan 13, 2000 C3A990050 Hearing Panel Decision in Department of Enforcement v. Jim Newcomb Disciplinary Decision
Jan 4, 2000 C10990121 Order Denying Enforcement's Motion For Summary Disposition Disciplinary Order 00-01
Dec 30, 1999 CAF990018 Order Denying Motion for Summary Disposition Disciplinary Order 99-21
Dec 10, 1999 C10970145 Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein Disciplinary Decision
Dec 2, 1999 CAF980013 Hearing Panel Decision in Department of Enforcement v. Herman Epstein Disciplinary Decision
Dec 1, 1999 C11970032 Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard Disciplinary Decision
Nov 22, 1999 C10990058 Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan Disciplinary Decision
Nov 19, 1999 C8A990017 Hearing Panel Decision in Department of Enforcement v. David L. Foran Disciplinary Decision
Nov 18, 1999 C8A990015 Hearing Panel Decision Redacted Decision
Oct 18, 1999 CMS920002 Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order Disciplinary Order 99-20
Oct 18, 1999 C07990013 Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz Disciplinary Decision
Oct 6, 1999 DFC990003 Rule 9530 Suspension Proceeding DFC990003 Expedited Decision, Rule 9530 Suspension Decisions
Sep 30, 1999 CMS920002 Order Directing Complainant to Comply with Rule 9251 Disciplinary Order 99-19
Sep 27, 1999 C02990022 Order Denying Respondent's Request for Financial Assistance to Attend Hearing Disciplinary Order 99-17
Sep 27, 1999 CAF980002 Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 Disciplinary Order 99-18
Sep 23, 1999 C02980034 Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint Disciplinary Order 99-16
Sep 21, 1999 CAF980002 Order Regarding Court Reporting Services for the Hearing Disciplinary Order 99-15
Sep 17, 1999 C3A980077 Hearing Panel Decision in Department of Enforcement v. Richard F. Dambakly Disciplinary Decision
Sep 1, 1999 C02980073 Hearing Panel Decision in Department of Enforcement v. McLaughlin, Piven, Vogel Securities, Inc. and James Cecil McLaughlin Disciplinary Decision
Aug 27, 1999 C02980024 Order Granting Complainant's Motion to Strike Disciplinary Order 99-14
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

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