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.
Mar 14, 1999 CAF980025 Hearing Panel Decision in Department of Enforcement v. Richard Stephen Levitov; Hearing Panel Decision in Department of Enforcement v. Ralph Joseph Angeline Disciplinary Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Feb 17, 1999 CAF970002 Hearing Panel Decision in Department of Enforcement v. Robert J. Rosato Disciplinary Decision
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist Disciplinary Order 99-02
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Jan 27, 1999 C04980035 Hearing Panel Decision in Department of Enforcement v. Robert Lee Davis, Jr. Disciplinary Decision
Jan 20, 1999 C9A980020 Hearing Panel Decision in Department of Enforcement v. Sturdivant & Company, Inc., Harvey R. deKrafft, and Albert A. Sturdivant Disciplinary Decision
Jan 6, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01
Dec 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
Dec 22, 1998 C9A980032 Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction Disciplinary Order 98-33
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
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 14, 1998 C10980041 Hearing Panel Decision in Department of Enforcement v. Harold Lee Jenkins Disciplinary Decision
Dec 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
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 1, 1998 C10980025 Hearing Panel Decision in Department of Enforcement v. Kory E. Guglielminetti 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
Nov 17, 1998 C02980025 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz Disciplinary Decision
Oct 29, 1998 C3B980006 Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis Disciplinary Decision
Oct 26, 1998 C3A980027 Order Granting Complainant's Motion for Leave to Offer Telephone Testimony Disciplinary Order 98-30
Oct 23, 1998 C06980015 Order Denying Motion to Stay Proceeding Disciplinary Order 98-31
Oct 20, 1998 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision

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