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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.
February 01, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
January 27, 1999 C04980035 Hearing Panel Decision in Department of Enforcement v. Robert Lee Davis, Jr. Disciplinary Decision
January 20, 1999 C9A980020 Hearing Panel Decision in Department of Enforcement v. Sturdivant & Company, Inc., Harvey R. deKrafft, and Albert A. Sturdivant Disciplinary Decision
January 06, 1999 CAF980002 Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents Disciplinary Order 99-01
December 23, 1998 C8A980045 Hearing Panel Decision Redacted Decision
December 22, 1998 C9A980032 Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction Disciplinary Order 98-33
December 21, 1998 CAF980025 Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions Disciplinary Order 98-32
December 15, 1998 CAF980014 Order and Decision Granting Department of Enforcement's Motion for Summary Disposition in Department of Enforcement v. Michael Ploshnick Disciplinary Decision
December 15, 1998 ARB980006 Non-Summary Suspension Proceeding ARB980006 Expedited Decision, Non-Summary Proceeding
December 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski

Related Documents

Disciplinary Decision
December 14, 1998 C10980041 Hearing Panel Decision in Department of Enforcement v. Harold Lee Jenkins Disciplinary Decision
December 11, 1998 ARB980009 Non-Summary Suspension Proceeding ARB980009 Expedited Decision, Non-Summary Proceeding
December 02, 1998 C8A980012 Department of Enforcement, Complainant v. Respondent Redacted Decision
December 02, 1998 C06980021 Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information Disciplinary Order 98-34
December 01, 1998 C10980025 Hearing Panel Decision in Department of Enforcement v. Kory E. Guglielminetti Disciplinary Decision
November 24, 1998 C06980015 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Terry Don Rader Disciplinary Decision
November 17, 1998 C02980025 Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz

Related Documents

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

Related Documents

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