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 ascending Proceeding No. Title Type Order No.
Oct 7, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent Disciplinary Order 97-3
Sep 18, 1997 C10970158 Order Extending Time for Respondents to Answer Disciplinary Order 97-2
Sep 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer Disciplinary Order 97-1

Pages