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. |
|---|---|---|---|---|
| February 07, 2003 | C9B020048 | Hearing Panel Decision in Department of Enforcement v. John Michael Brack | Disciplinary Decision | |
| February 07, 2003 | C07020067 | Order Granting Motion in Limine | Disciplinary Order | 03-14 |
| February 05, 2003 | C8A020032 | Hearing Panel Decision in Department of Enforcement v. Leroy Avery | Disciplinary Decision | |
| January 30, 2003 | C8A020014 | Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger | Disciplinary Decision | |
| January 17, 2003 | CAF020007 | Order Granting Motion for Reconsideration | Disciplinary Order | 03-02 |
| January 14, 2003 | C9A020018 | Order Denying Request for Postponement of Hearing | Disciplinary Order | 03-03 |
| January 08, 2003 | C9B020037 | Hearing Panel Decision in Department of Enforcement v. Kenneth J. Gilmore | Disciplinary Decision | |
| January 06, 2003 | CAF020041 | Order Granting the Department of Enforcement's Motion for a Protective Order | Disciplinary Order | 03-01 |
| December 30, 2002 | C3B010016 | Hearing Panel Decision in Department of Enforcement v. Magellan Securities, Inc. and Terry M. Laymon | Disciplinary Decision | |
| December 26, 2002 | CAF020042 | Order Denying Motion for More Definite Statement | Disciplinary Order | 02-12 |
| December 20, 2002 | C3A020013 | Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr. | Disciplinary Decision | |
| December 20, 2002 | C10000122 | Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma | Disciplinary Decision | |
| December 14, 2002 | CAF000045 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| December 13, 2002 | C04020006 | Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. | Disciplinary Decision | |
| December 13, 2002 | C02020014 | Hearing Panel Decision in Department of Enforcement v. Young Min Kim | Disciplinary Decision | |
| November 27, 2002 | CAF000027 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 06, 2002 | C3A020020 | Hearing Panel Decision in Department of Enforcement v. Stephanie Ann Dixon | Disciplinary Decision | |
| November 05, 2002 | C01010009 | Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley | Disciplinary Decision | |
| October 07, 2002 | C01010018 | Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh | Disciplinary Decision | |
| October 03, 2002 | DFC020014 | NASD Treasurer, Complainant, v. Respondent | Expedited Decision, Rule 9530 Suspension Decisions | |
| September 24, 2002 | C01020003 | Hearing Panel Decision in Department of Enforcement v. Martin Herbert Meckler | Disciplinary Decision | |
| September 17, 2002 | C9B020016 | Hearing Panel Decision in Department of Enforcement v. Michael K. Kalmaer | Disciplinary Decision | |
| September 13, 2002 | C06010025 | Hearing Panel Decision in Department of Enforcement v. Arlie R. Horn, Jr. and Lindsay A. Byrum | Disciplinary Decision | |
| September 05, 2002 | C02010041 | Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate | Disciplinary Decision | |
| August 13, 2002 | C07010100 | Hearing Panel Decision in Department of Enforcement v. David William Haburjak | Disciplinary Decision |