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 Decisionsort descending Proceeding No. Title Type Order No.
Dec 6, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. Disciplinary Decision
Dec 26, 2000 C10000122 Order Granting Motion to Allow Telephone Testimony Disciplinary Order 00-32
Dec 26, 2000 DFC000003 Rule 9530 Suspension Proceeding DFC000003 Expedited Decision, Rule 9530 Suspension Decisions
Dec 27, 2000 C9B000007 Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis Disciplinary Decision
Jan 3, 2001 C10000037 Hearing Panel Decision in Department of Enforcement v. George M. Goritz Disciplinary Decision
Jan 3, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen Disciplinary Decision
Jan 16, 2001 C01000011 Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht Disciplinary Decision
Jan 23, 2001 C10000172 Order Denying Motion to Quash Disciplinary Order 01-01
Jan 26, 2001 CAF000045 Order Denying Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 01-02
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
Jan 31, 2001 C10000086 Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky Disciplinary Decision
Feb 2, 2001 C8A000024 Hearing Panel Decision in Department of Enforcement v. Paul E. Carney Disciplinary Decision
Feb 8, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. Disciplinary Decision
Feb 13, 2001 C10000122 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 01-03
Feb 14, 2001 CAF000045 Order Granting Motions to Quash Disciplinary Order 01-04
Feb 15, 2001 CMS000157 Order Granting Respondent's Motion to Exclude Documents Disciplinary Order 01-05
Feb 27, 2001 C8B000001 Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick Disciplinary Decision
Mar 2, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
Mar 2, 2001 C07000013 Hearing Panel Decision in Department of Enforcement v. John F. Brown Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein Disciplinary Decision
Mar 6, 2001 C02000037 Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper Disciplinary Decision
Mar 8, 2001 C9A000027 Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson Disciplinary Decision
Mar 20, 2001 C10000102 Hearing Panel Decision as to Respondent Redacted Decision
Mar 22, 2001 C07000058 Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr. Disciplinary Decision
Apr 3, 2001 C9A990029 Hearing Panel Decision in Department of Enforcement v. Shannon Johnson Disciplinary Decision

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