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. |
|---|---|---|---|---|
| November 17, 1998 | C02980025 | Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz | Disciplinary Decision | |
| October 29, 1998 | C3B980006 | Hearing Panel Decision in Department of Enforcement v. Carlton Case Ellis | Disciplinary Decision | |
| October 26, 1998 | C3A980027 | Order Granting Complainant's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 98-30 |
| October 23, 1998 | C06980015 | Order Denying Motion to Stay Proceeding | Disciplinary Order | 98-31 |
| October 20, 1998 | C10970176 | Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick | Disciplinary Decision | |
| October 07, 1998 | C06980001 | Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Blake Vincent High | Disciplinary Decision | |
| October 02, 1998 | CAF970011 | Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding | Disciplinary Order | 98-28 |
| October 02, 1998 | CAF980022 | Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss | Disciplinary Order | 98-29 |
| September 16, 1998 | C9A970045 | Order Denying Motion for Entry of Default Decision | Disciplinary Order | 98-27 |
| August 26, 1998 | CMS970026 | Hearing Panel Decision in Department of Enforcement v. Olde Discount Corporation and Todd Thomas Wodek | Disciplinary Decision | |
| August 21, 1998 | CO5970035 | Hearing Panel Decision | Redacted Decision | |
| August 12, 1998 | CAF980014 | Order Denying Motion to Disqualify as Premature | Disciplinary Order | 98-35 |
| August 04, 1998 | CAF970011 | Order Granting in Part and Denying in Part Complainant's Motion in Limine | Disciplinary Order | 98-26 |
| July 20, 1998 | C10970141 | Order Regarding Pre-Hearing Conference | Disciplinary Order | 98-25 |
| June 30, 1998 | C3A970072 | Hearing Panel Decision in Department of Enforcement v. Christopher E. Jann | Disciplinary Decision | |
| June 30, 1998 | C01980001 | Hearing Panel Decision in Department of Enforcement v. Donald Clewell Maier | Disciplinary Decision | |
| June 24, 1998 | C10970120 | Hearing Panel Decision in Department of Enforcement v. Frank Rocky Mazzei and GKN Securities Corporation | Disciplinary Decision | |
| June 16, 1998 | C3A970009 | Hearing Panel Decision in Department of Enforcement v. W.B. McKee Securities, et al | Disciplinary Decision | |
| June 03, 1998 | CMS970028 | Hearing Panel Decision | Redacted Decision | |
| May 18, 1998 | CAF970002 | Order Denying Motions for Production of Documents Pursuant to Rule 9252 | Disciplinary Order | 98-24 |
| May 14, 1998 | C10970033 | Hearing Panel Decision in Department of Enforcement v. Reynold Bradford Kern | Disciplinary Decision | |
| May 14, 1998 | C9B970016 | Hearing Panel Decision in Department of Enforcement v. Edward Golick | Disciplinary Decision | |
| May 06, 1998 | C10970141 | Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum | Disciplinary Order | 98-23 |
| March 19, 1998 | C07970055 | Hearing Panel Decision | Redacted Decision | |
| March 10, 1998 | CMS970026 | Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition | Disciplinary Order | 98-21 |