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. |
|---|---|---|---|---|
| April 25, 2008 | CAF040079 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 23, 2008 | E102003025201 | Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng | Disciplinary Decision | |
| April 10, 2008 | 20060042305-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 04, 2008 | 2005003437102 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 08-07 |
| April 04, 2008 | 2005003437102 | Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing | Disciplinary Order | 08-08 |
| April 04, 2008 | 2005003437102 | Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense | Disciplinary Order | 08-06 |
| March 27, 2008 | C02050006 | Order Approving and Forwarding Contested Offer of Settlement | Disciplinary Order | 08-05 |
| March 18, 2008 | 2006005849101 | Order Denying Motion to Set Aside Default Decision | Disciplinary Order | 08-04 |
| March 18, 2008 | 2006004992601 | Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney | Disciplinary Decision | |
| February 29, 2008 | 20070077587 | Rulings on Pre-Hearing Motions and Notice of Hearing | Disciplinary Order | 08-03 |
| February 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | Disciplinary Order | 08-02 |
| February 21, 2008 | E0420030634-04 | Hearing Panel Decision in Department of Enforcement v. John M. Repine | Disciplinary Decision | |
| February 20, 2008 | 2006005005301 | Hearing Panel Decision in Department of Enforcement v. Shane A. Selewach | Disciplinary Decision | |
| February 15, 2008 | 2005003437102 | Order Denying Respondent's Motion to Compel Production of Documents | Disciplinary Order | 08-01 |
| February 07, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| February 07, 2008 | E102004083704 | Hearing Panel Decision in Department of Enforcement v. Marc Winters | Disciplinary Decision | |
| February 06, 2008 | E8A2003084806 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| January 10, 2008 | 2005001085001 | Hearing Panel Decision in Department of Enforcement v. Warren K. Hansen | Disciplinary Decision | |
| December 19, 2007 | C10040052 | Hearing Panel Decision in Department of Enforcement v. Scott Mathis | Disciplinary Decision | |
| December 11, 2007 | 20050000720-02 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 07, 2007 | ARB070050 | Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect | Expedited Order | 07-41 |
| December 06, 2007 | 20070086505-01 | Order to Show Cause | Disciplinary Order | 07-40 |
| November 30, 2007 | E8A2005014902 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| November 28, 2007 | EAF0400300001 | Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel | Disciplinary Decision | |
| November 26, 2007 | 2005000323905 | Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing | Disciplinary Order | 07-39 |