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 Decision Proceeding No. Title Type Order No.sort descending
Apr 4, 2013 20070094013 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 29, 2015 20110263957-01 Jack Lawrence Howard Disciplinary Decision
Jan 11, 2017 2013037097602 Jeffery A. Vaughn Disciplinary Decision
Apr 28, 2007 E8A2003062001 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 3, 1999 ARB990014 Non-Summary Suspension Proceeding ARB990014 Expedited Decision, Non-Summary Proceeding
Aug 16, 2017 2014043020901 Matthew J. Dodds Disciplinary Decision
Dec 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
Oct 20, 2006 E9B2002055601 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 28, 2002 ARB010016 Non-Summary Suspension Consolidated Proceeding ARB010016 Expedited Decision, Non-Summary Proceeding
Oct 12, 2004 CAF040020 Order Ruling On Pre-Hearing Motions Disciplinary Decision
Jun 24, 2015 20070092503-01 Robin Maranda Oscher Disciplinary Decision
May 19, 1999 C05990006 Order Dismissing Respondent for Lack of Jurisdiction Redacted Decision
Aug 2, 2017 2014042690502 Stephen Brown and James Goetz Disciplinary Decision
Aug 27, 2004 CAF030042 Hearing Panel Decision as to Respondent Redacted Decision
Oct 25, 2012 2010022128301 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 4, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 25, 2002 ARB010013 Non-Summary Suspension Proceeding ARB010013 Expedited Decision, Non-Summary Proceeding
Jun 26, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss Disciplinary Decision
Aug 6, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Jun 1, 1999 ARB980026 Non-Summary Suspension Proceeding ARB980026 Expedited Decision, Non-Summary Proceeding
Mar 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari Disciplinary Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Nov 21, 2001 C07010017 Hearing Panel Decision as to Respondent Redacted Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision

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