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 ascending
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. Disciplinary Order 13-06
Jun 12, 2013 2011025780101 Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents Disciplinary Order 13-05
Jun 3, 2013 2009019042402 Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez Disciplinary Order 13-04
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents Disciplinary Order 13-03
Mar 13, 2013 2011026874301 Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense Disciplinary Order 13-02
Jan 2, 2013 2009019108901 Order Denying Motion by Respondent 1 for an Extension of Time – Hearing Disciplinary Order 13-01
Nov 9, 2012 2010020846601 Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony Disciplinary Order 12-07
Oct 23, 2012 2011026664301 Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer Disciplinary Order 12-06
Oct 17, 2012 2010024320101 Order to Provide Verification in Support of Request for Continuance of Hearing Disciplinary Order 12-05
Aug 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents Disciplinary Order 12-04
Jul 6, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses Disciplinary Order 12-03
Apr 5, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery Disciplinary Order 12-02
Mar 14, 2012 2009018771602 Order Denying Respondent’s Motion to Present Expert Witness Disciplinary Order 12-01
Jun 8, 2011 2007010398802 Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part Disciplinary Order 11-11
Jul 28, 2011 2008012925001 Order Regarding Pending Motions and Pre-Hearing Issues Disciplinary Order 11-10
Sep 22, 2011 20090192254 Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision Disciplinary Order 11-09
Sep 7, 2011 2009017798201 Order Denying Respondent’s Motion for Stay of Hearing Disciplinary Order 11-08
Jun 1, 2011 2010021196801 Order Regarding Respondent’s Motion to Stay Disciplinary Order 11-07
May 18, 2011 2007010580702 Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony Disciplinary Order 11-06
May 16, 2011 2007011413501 Order Denying Respondents’ Motion to Exclude Certain Portions of the Expert Report of HGF and to Preclude His Expert Testimony on the Issue of Suitability Disciplinary Order 11-05
Mar 24, 2011 2009017798201 Order Denying Respondent’s Motion for Leave to Offer Expert Testimony Disciplinary Order 11-04
Mar 18, 2011 2007011413501 Order Denying the Respondents’ Motion to Compel Production of Documents; for Production of a List of Withheld Documents; and to Extend Deadlines and Hearing Dates Disciplinary Order 11-03
Feb 8, 2011 2006007105101 Order Denying Respondent’s Motion for Summary Disposition Disciplinary Order 11-02
Jan 28, 2011 2008014621701 Order Granting Enforcement’s Motion to Permit Certain Witnesses to Have Counsel Present Disciplinary Order 11-01
Dec 6, 2010 20050007427 Respondent Firm and Respondent 2 Disciplinary Order 10-07

Pages