Office of Hearing Officers’ Decisions and Orders
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. |
|---|---|---|---|---|
| August 13, 1999 | C9A980041 | Hearing Panel Decision | Redacted Decision | |
| August 03, 1999 | ARB990014 | Non-Summary Suspension Proceeding ARB990014 | Expedited Decision, Non-Summary Proceeding | |
| July 29, 1999 | CMS980108 | Hearing Panel Decision | Redacted Decision | |
| July 17, 1999 | C8A990015 | Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony | Disciplinary Order | 99-11 |
| July 07, 1999 | C8A990015 | Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses | Disciplinary Order | 99-10 |
| July 06, 1999 | C02980051 | Hearing Panel Decision in Department of Enforcement v. Gordon Kerr | Disciplinary Decision | |
| June 28, 1999 | CAF990007 | Order Granting Respondents' Motion for Reconsideration | Disciplinary Order | 99-13 |
| June 25, 1999 | CAF980022 | Hearing Panel Decision in Department of Enforcement v. Coleman & Company Securities, Inc. and Aaron J. Yorke, IV | Disciplinary Decision | |
| June 21, 1999 | CAF980002 | Order Denying Respondents' Motion to Compel Production of Documents | Disciplinary Order | 99-12 |
| June 18, 1999 | C10980070 | Hearing Panel Decision in Department of Enforcement v. John J. Lee | Disciplinary Decision | |
| June 18, 1999 | CAF970011 | Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. | Disciplinary Decision | |
| June 01, 1999 | ARB980026 | Non-Summary Suspension Proceeding ARB980026 | Expedited Decision, Non-Summary Proceeding | |
| June 01, 1999 | ARB990008 | Non-Summary Suspension Proceeding ARB990008 | Expedited Decision, Non-Summary Proceeding | |
| May 21, 1999 | C3A980069 | Amended Hearing Panel Decision in Department of Enforcement v. Michael A. Usher | Disciplinary Decision | |
| May 19, 1999 | C05990006 | Order Dismissing Respondent for Lack of Jurisdiction | Redacted Decision | |
| May 07, 1999 | C8A990015 | Order Denying Respondent's Motion for Separate Proceedings and Stay of Action | Disciplinary Order | 99-08 |
| May 07, 1999 | CAF980031 | Order Denying Motions to Sever | Disciplinary Order | 99-09 |
| May 07, 1999 | CAF980094 | Hearing Panel Decision | Redacted Decision | |
| May 06, 1999 | C07980021 | Hearing Panel Decision | Redacted Decision | |
| May 06, 1999 | CAF980080 | Hearing Panel Decision | Redacted Decision | |
| April 28, 1999 | C02980070 | Hearing Panel Decision in Department of Enforcement v. Frederick D. Smith | Disciplinary Decision | |
| April 27, 1999 | C11970032 | Order Granting Motion to Strike Affirmative Defenses | Disciplinary Order | 99-07 |
| April 14, 1999 | CAF980002 | Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits | Disciplinary Order | 99-06 |
| April 13, 1999 | CMS980108 | Order with Respect to Respondent's Motion to Compel Production of Documents | Disciplinary Order | 99-05 |
| April 12, 1999 | C10980054 | Hearing Panel Decision | Redacted Decision |