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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.
March 06, 2001 C02000037 Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper

Related Documents

Disciplinary Decision
March 02, 2001 C07000013 Hearing Panel Decision in Department of Enforcement v. John F. Brown Disciplinary Decision
March 02, 2001 EQS000002 Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. Expedited Decision, Rule 9540 Suspension Decisions
February 27, 2001 C8B000001 Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick Disciplinary Decision
February 15, 2001 CMS000157 Order Granting Respondent's Motion to Exclude Documents Disciplinary Order 01-05
February 14, 2001 CAF000045 Order Granting Motions to Quash Disciplinary Order 01-04
February 13, 2001 C10000122 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 01-03
February 08, 2001 C07000033 Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc.

Related Documents

Disciplinary Decision
February 02, 2001 C8A000024 Hearing Panel Decision in Department of Enforcement v. Paul E. Carney Disciplinary Decision
January 31, 2001 C10000086 Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky Disciplinary Decision
January 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision
January 26, 2001 CAF000045 Order Denying Complainant's Motion to Strike Affirmative Defenses Disciplinary Order 01-02
January 23, 2001 C10000172 Order Denying Motion to Quash Disciplinary Order 01-01
January 16, 2001 C01000011 Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht Disciplinary Decision
January 03, 2001 C10000037 Hearing Panel Decision in Department of Enforcement v. George M. Goritz

Related Documents

Disciplinary Decision
January 03, 2001 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen

Related Documents

Disciplinary Decision
December 27, 2000 C9B000007 Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis Disciplinary Decision
December 26, 2000 DFC000003 Rule 9530 Suspension Proceeding DFC000003 Expedited Decision, Rule 9530 Suspension Decisions
December 26, 2000 C10000122 Order Granting Motion to Allow Telephone Testimony Disciplinary Order 00-32
December 06, 2000 CAF980002 Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc.

Related Documents

Disciplinary Decision
November 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
November 06, 2000 C05990035 Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III

Related Documents

Disciplinary Decision
October 20, 2000 C10990121 Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached Disciplinary Decision
October 10, 2000 CAF000030 Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief Disciplinary Order 00-31
October 09, 2000 C07000023 Pre-Hearing Order Disciplinary Order 00-30