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. |
|---|---|---|---|---|
| November 16, 2007 | E102004083703 | Hearing Panel Decision in Department of Enforcement v. Harvey M. Schwartz | Disciplinary Decision | |
| November 06, 2007 | 2006005936701 | Hearing Panel Decision in Department of Enforcement v. William D. Mattes, Sr. | Disciplinary Decision | |
| November 06, 2007 | 2006004494201 | Hearing Panel Decision in Department of Enforcement v. Todd William Cowle | Disciplinary Decision | |
| November 01, 2007 | ELI2004026701 | Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq | Disciplinary Decision | |
| October 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | Disciplinary Order | 07-38 |
| October 16, 2007 | 2005001919501 | Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 07-37 |
| October 15, 2007 | C11040006 | Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken | Disciplinary Decision | |
| September 27, 2007 | 2005001305701 | Hearing Panel Decision in Department of Enforcement v. Harvest Capital Investments, LLC and Dennis Cotto | Disciplinary Decision | |
| September 07, 2007 | 2006004240301 | Hearing Panel Decision in Department of Enforcement v. Trent A. Johnson | Disciplinary Decision | |
| August 16, 2007 | E112005002003 | Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents | Disciplinary Order | 07-36 |
| August 14, 2007 | 2005001819101 | Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. | Disciplinary Decision | |
| August 09, 2007 | 2005000323905 | Order Regarding Respondent 2's Motions for Official Notice | Disciplinary Order | 07-35 |
| August 07, 2007 | 20060042305-01 | Scheduling Order | Disciplinary Order | 07-33 |
| August 07, 2007 | CAF040079 | Order Regarding Post-Hearing Briefs | Disciplinary Order | 07-34 |
| July 31, 2007 | E8A20041203102 | Hearing Panel Decision in Department of Enforcement v. Michelle M. Mayo | Disciplinary Decision | |
| July 30, 2007 | 20050000720-02 | Order Overruling the Parties' Objections to Exhibits and Witnesses | Disciplinary Order | 07-31 |
| July 27, 2007 | E8A2002109804 | Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza | Disciplinary Decision | |
| July 13, 2007 | 2005001919501 | Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents | Disciplinary Order | 07-29 |
| July 13, 2007 | E102004083702 | Hearing Panel Decision in Department of Enforcement v. John Christopher Correro | Disciplinary Decision | |
| July 12, 2007 | E9A2004048801 | Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly | Disciplinary Decision | |
| July 02, 2007 | 2005000323905 | Order Denying Respondent 1's Motion for a More Definite Statement | Disciplinary Order | 07-28 |
| July 02, 2007 | 2005000960801 | Hearing Panel Decision in Department of Enforcement v. Mangri Mohini Harlal | Disciplinary Decision | |
| June 28, 2007 | E102003025201 | Procedural Pre-Hearing Order | Disciplinary Order | 07-27 |
| June 27, 2007 | E102003025201 | Order Regarding Pre-Hearing Motions | Disciplinary Order | 07-26 |
| June 26, 2007 | 20050000720-02 | Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order | Disciplinary Order | 07-25 |