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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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
September 01, 2006 E0220030845-01 Order Requiring Counsel to File Notice Pursuant to Rule 9142 Disciplinary Order 06-34
August 30, 2006 CE3050003 Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc.

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Disciplinary Decision
August 28, 2006 E8A2004095901 Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig

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Disciplinary Decision
August 18, 2006 E0220030845-01 Order Postponing Hearing Disciplinary Order 06-33
August 16, 2006 E8A2004065102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
August 10, 2006 C07050029 Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano

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Disciplinary Decision
August 10, 2006 C07050050 Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar

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Disciplinary Decision
August 09, 2006 E9A2004001901 Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth

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Disciplinary Decision
August 03, 2006 E0120040071-01 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
August 01, 2006 C05050015 Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne

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Disciplinary Decision
July 28, 2006 C3B050012 Hearing Panel Decision in Department of Enforcement vs. Ronald Pellegrino

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Disciplinary Decision
July 21, 2006 CAF040073 Hearing Panel Decision in Department of Enforcement vs. Morgan Keegan et al. Disciplinary Decision
July 21, 2006 E8A2003080701 Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins Disciplinary Decision
July 12, 2006 C8A050055 ; CALLED FOR REVIEW: Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik

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Disciplinary Decision
June 28, 2006 FPI060005 The Reid Group LLC Expedited Decision, Rule 9550 Expedited Decisions
June 28, 2006 ARB060005 Decision in Department of Enforcement v. Respondent Expedited Decision, Rule 9550 Expedited Decisions
June 09, 2006 E0220030425-01 Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz

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Disciplinary Decision
June 05, 2006 CAF040052 Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al.

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Disciplinary Decision
May 31, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order 06-59
May 22, 2006 E072004087801 Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen Disciplinary Decision
May 15, 2006 CMS040202 Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field

Related Documents

Disciplinary Decision
May 05, 2006 CAF030007 Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice Disciplinary Order 06-60
April 25, 2006 CLG050021 Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine Disciplinary Order 06-32
April 18, 2006 ARB060010 Order Dismissing Request for Hearing Expedited Order 06-31
April 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint

Related Documents

Disciplinary Order 06-29