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. Titlesort ascending Type Order No.
Sep 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference Disciplinary Order 06-37
Sep 5, 2017 2016051925301 Order Granting Motion Regarding Witness Sequestration Disciplinary Order 17-16
Feb 7, 2003 C07020067 Order Granting Motion in Limine Disciplinary Order 03-14
Sep 28, 2006 E8A2003091501 Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present Disciplinary Order 06-42
Jan 17, 2003 CAF020007 Order Granting Motion for Reconsideration Disciplinary Order 03-02
Jan 31, 2000 C9A990007 Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present Disciplinary Order 00-03
Aug 25, 2004 C3A030050 Order Granting Motion for Leave to Offer Telephone Testimony Disciplinary Order 04-15
Aug 1, 2018 2016050025401 Order Granting Motion for Leave to File Second Amended Complaint Disciplinary Order 18-14
Dec 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings Disciplinary Order 97-14
Aug 24, 2016 2014043020901 Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony Disciplinary Order 16-23
Oct 11, 2005 CAF040058 Order Granting Joint Motion for a Protective Order Disciplinary Order 05-33
Aug 17, 2004 C3A030050 Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252 Disciplinary Order 04-14
Aug 2, 2004 CAF040056 Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 04-13
Mar 29, 2005 C01040017 Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing Disciplinary Order 05-11
Apr 11, 2007 CAF040079 Order Granting in Part Respondent's Motion to Exceed Time Limits for Specific Witnesses and Denying Motion for Reconsideration of Total Number of Witnesses to Be Called Disciplinary Order 07-14
Apr 4, 2000 C0500006 Order Granting in Part Respondent Motion for More Definite Statement Disciplinary Order 00-09
Oct 26, 2003 CAF030011 Order Granting in Part Respondent 1 and Respondent 2's Motion for Production of Documents Under Rule 9251(a)(3) Disciplinary Order 03-21
Mar 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
Oct 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion Disciplinary Order 18-16
Dec 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List Disciplinary Order 97-12
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
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
Apr 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. Disciplinary Order 17-12
Mar 30, 2003 C3B020015 Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery Disciplinary Order 03-05
May 21, 2003 CAF030007 Order Granting in Part and Denying in Part Respondent's Motion for More Definite Statement Disciplinary Order 03-13

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