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. Title Type Order No.sort descending
Oct 29, 1997 C10970160 Order Denying Motion for a More Definite Statement Disciplinary Order 97-5
Nov 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer Disciplinary Order 97-6
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List Disciplinary Order 97-7
Nov 14, 1997 C10970141 Order Extending Time for Respondents to Answer Disciplinary Order 97-8
Nov 15, 1997 C07970055 Final Pre-hearing Conference Order Disciplinary Order 97-9
Jan 2, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion Disciplinary Order 98-1
Jan 21, 1998 C10970176 Order as to Respondent Disciplinary Order 98-10
Jan 22, 1998 CMS970026 Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 98-11
Jan 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
Jan 27, 1998 C3A970067 Order Granting Department of Enforcement's Motion for Telephone Testimony Disciplinary Order 98-13
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists Disciplinary Order 98-14
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer Disciplinary Order 98-15
Feb 2, 1998 C04970029 Order Staying Proceeding Disciplinary Order 98-16
Feb 5, 1998 CAF970002 Order Regarding Severance Disciplinary Order 98-17
Feb 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 Disciplinary Order 98-18
Feb 25, 1998 C10970033 Order Directing Written Submissions in Place of Hearing Disciplinary Order 98-19
Jan 2, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
Mar 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
Mar 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum Disciplinary Order 98-23
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 Disciplinary Order 98-24
Jul 20, 1998 C10970141 Order Regarding Pre-Hearing Conference Disciplinary Order 98-25
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine Disciplinary Order 98-26
Sep 16, 1998 C9A970045 Order Denying Motion for Entry of Default Decision Disciplinary Order 98-27