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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.
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

Related Documents

Disciplinary Decision
August 13, 2002 C01010017 Hearing Panel Decision in Department of Enforcement v. James Richard Wamsley Disciplinary Decision
August 13, 2002 C07010100 Hearing Panel Decision in Department of Enforcement v. David William Haburjak Disciplinary Decision
August 05, 2002 C8A010048 Hearing Panel Decision in Department of Enforcement v. Christian W. Baker Disciplinary Decision
July 09, 2002 C9B010041 Hearing Panel Decision in Department of Enforcement v. James B. Moran Disciplinary Decision
July 09, 2002 C01000003 Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen

Related Documents

Disciplinary Decision
July 08, 2002 C07010091 Hearing Panel Decision in Department of Enforcement v. Luis G. Sarmiento Disciplinary Decision
June 12, 2002 C8A010060 Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire Disciplinary Decision
May 31, 2002 C07010084 Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris Disciplinary Decision
May 21, 2002 C07010100 Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions Disciplinary Order 02-11
May 15, 2002 CAF010021 Order Denying Motion to Sever Disciplinary Order 02-10
May 14, 2002 C01010009 Order Deferring Decision On Complainant's Motion For Summary Disposition Disciplinary Order 02-09
May 08, 2002 C10010145 Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction Disciplinary Order 02-08
May 06, 2002 C07010095 Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith Disciplinary Decision
May 03, 2002 CAF010009 Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber

Related Documents

Disciplinary Decision
April 29, 2002 C01010017 Order Pursuant To Conduct Rule 9143 Disciplinary Order 02-07
April 23, 2002 CAF000027 Order Following Final Pre-Hearing Conference Disciplinary Order 02-06
April 19, 2002 FPI010002 Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg Expedited Decision, Rule 9540 Suspension Decisions
April 04, 2002 C02010041 Pre-Hearing Order Disciplinary Order 02-05
April 01, 2002 CMS000157 Hearing Panel Decision as to Respondent Redacted Decision
March 25, 2002 C8A010063 Hearing Panel Decision in Department of Enforcement v. Bobby R. Turner, Jr. Disciplinary Decision
March 24, 2002 C05010033 Hearing Panel Decision in Department of Enforcement v. Michael G. Grimes Disciplinary Decision
March 24, 2002 FPI010004 Hearing Panel Decision in Department of Enforcement v. Toni Valentino

Related Documents

Expedited Decision, Rule 9540 Suspension Decisions
March 14, 2002 ARB010032 Non-Summary Suspension Proceeding ARB010032 Expedited Decision, Non-Summary Proceeding