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 Decision Proceeding No.sort descending Title Type Order No.
Jul 6, 2009 E8A2004072203 Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba Disciplinary Decision
Aug 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig Disciplinary Decision
Jul 31, 2007 E8A20041203102 Hearing Panel Decision in Department of Enforcement v. Michelle M. Mayo Disciplinary Decision
Nov 30, 2007 E8A2005014902 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Dec 12, 2006 E8A20050252 Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin Disciplinary Decision
Aug 9, 2006 E9A2004001901 Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth Disciplinary Decision
Jul 12, 2007 E9A2004048801 Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly Disciplinary Decision
Apr 24, 2007 E9B2002010501 Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek Disciplinary Decision
Oct 20, 2006 E9B2002055601 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Mar 20, 2007 E9B2003026301 Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan Disciplinary Decision
Jan 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery Disciplinary Order 06-07
Mar 3, 2006 E9B2003033501 Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report Disciplinary Order 06-20
Feb 9, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information Disciplinary Order 06-19
Aug 11, 2010 E9B2003033701 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Nov 9, 2006 EAF0300770001 Order For Sequestration of Witnesses Disciplinary Order 06-53
Oct 23, 2006 EAF0300770001 Order Permitting Expert Testimony Disciplinary Order 06-49
Jan 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas Disciplinary Order 06-11
Nov 1, 2006 EAF0400300001 Order Regarding Hearing Procedures Disciplinary Order 06-51
Sep 15, 2006 EAF0400300001 Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing Disciplinary Order 06-38
Oct 11, 2006 EAF0400300001 Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony Disciplinary Order 06-47
Oct 10, 2006 EAF0400300001 Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers Disciplinary Order 06-46
Oct 3, 2006 EAF0400300001 Order Directing Respondents to File Exhibits and Witness List in Compliance With Pre-Hearing Order, and Extending Related Deadlines Disciplinary Order 06-43
Nov 28, 2007 EAF0400300001 Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
Dec 16, 2008 EAF0400630001 Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. Disciplinary Decision
Nov 1, 2007 ELI2004026701 Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq Disciplinary Decision

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