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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|October 18, 1999||CMS920002||Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order||Disciplinary Order||99-20|
|October 06, 1999||DFC990003||Rule 9530 Suspension Proceeding DFC990003||Expedited Decision, Rule 9530 Suspension Decisions|
|September 30, 1999||CMS920002||Order Directing Complainant to Comply with Rule 9251||Disciplinary Order||99-19|
|September 27, 1999||C02990022||Order Denying Respondent's Request for Financial Assistance to Attend Hearing||Disciplinary Order||99-17|
|September 27, 1999||CAF980002||Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252||Disciplinary Order||99-18|
|September 23, 1999||C02980034||Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint||Disciplinary Order||99-16|
|September 21, 1999||CAF980002||Order Regarding Court Reporting Services for the Hearing||Disciplinary Order||99-15|
|September 17, 1999||C3A980077||Hearing Panel Decision in Department of Enforcement v. Richard F. Dambakly||Disciplinary Decision|
|September 01, 1999||C02980073||Hearing Panel Decision in Department of Enforcement v. McLaughlin, Piven, Vogel Securities, Inc. and James Cecil McLaughlin||Disciplinary Decision|
|August 27, 1999||C02980024||Order Granting Complainant's Motion to Strike||Disciplinary Order||99-14|
|August 18, 1999||CAF980005||Hearing Panel Decision in Department of Enforcement v. VTR Capital, Inc., Edward J. McCune, Howard R. Perles, and Laurence M. Geller||Disciplinary Decision|
|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||CAF970011||Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc.||Disciplinary Decision|
|June 18, 1999||C10980070||Hearing Panel Decision in Department of Enforcement v. John J. Lee||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|