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. |
|---|---|---|---|---|
| Mar 25, 2016 | 2015044379701 | Order Denying Rule 9252 Request | Disciplinary Order | 16-14 |
| Mar 23, 2016 | 2010024522103 | APPEALED: Brett Ian Friedberg | Disciplinary Decision | |
| Mar 18, 2016 | 2012034719701 | APPEALED: Paul E. Taboada | Disciplinary Decision | |
| Mar 11, 2016 | 2013038418201 | Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents. | Disciplinary Order | 16-12 |
| Mar 10, 2016 | 2012031496501 | Order Denying Respondents’ Motion for Partial Summary Disposition. | Disciplinary Order | 16-11 |
| Mar 4, 2016 | 2014040501801 | Order Denying Respondents’ Motion for Summary Disposition | Disciplinary Order | 16-09 |
| Mar 4, 2016 | 2013036836801 | Order Denying Respondent’s Rule 9252 Request | Disciplinary Order | 16-10 |
| Mar 3, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | Disciplinary Order | 16-13 |
| Feb 29, 2016 | 2014043020901 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement | Disciplinary Order | 16-07 |
| Feb 29, 2016 | 2012034936005 | APPEALED: David Joseph Escarcega | Disciplinary Decision | |
| Feb 26, 2016 | 2014041724601 | Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel | Disciplinary Order | 16-16 |
| Feb 25, 2016 | 2014043020901 | Order Denying Respondent’s Motion to Compel Production of Documents | Disciplinary Order | 16-08 |
| Feb 22, 2016 | 2014040501801 | Order Denying Motion for Permission to Present Expert Testimony | Disciplinary Order | 16-06 |
| Feb 16, 2016 | 20080148227-02 | Order Denying Respondents’ Preclusion Motion | Disciplinary Order | 16-05 |
| Feb 12, 2016 | 2013036678201 | Tracy Chen | Disciplinary Decision | |
| Feb 3, 2016 | 2012033393401 | Order Granting in Part and Denying in Part Respondent’s Motion in Limine to Exclude the Testimony of KA, BS, and MC. | Disciplinary Order | 16-04 |
| Jan 29, 2016 | 2014040295201 | Order Denying Respondents’ Motion for Expert Testimony | Disciplinary Order | 16-02 |
| Jan 28, 2016 | 2015044379701 | Order Denying Motion to Dismiss | Disciplinary Order | 16-03 |
| Jan 20, 2016 | 2015044960501 | Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. | Disciplinary Order | 16-01 |
| Jan 15, 2016 | 2012033362101 | APPEALED: Thomas Edmund Connors | Disciplinary Decision | |
| Dec 22, 2015 | 2014040968501 | Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing | Disciplinary Order | 15-15 |
| Dec 18, 2015 | ARB150039 | Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) | Expedited Order | EXP15-02 |
| Dec 18, 2015 | 2012034393801 | APPEALED: Aon D. Miller | Disciplinary Decision | |
| Dec 3, 2015 | ARB150048 | Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action | Expedited Order | EXP15-03 |
| Dec 1, 2015 | 2010025087302 | APPEALED: Thaddeus J. North | Disciplinary Decision |