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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.
April 17, 2006 E0220030425-01 Order Denying Respondent's Motion to Disqualify Expert Witness

Related Documents

Disciplinary Order 06-30
April 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint

Related Documents

Disciplinary Order 06-29
April 12, 2006 CLG050021 Order Partially Granting the Complainant's Motion to Disqualify Expert Witness Disciplinary Order 06-26
April 05, 2006 DFC050011 Decision in NASD Treasurer v. Lee Fisher Expedited Decision, Rule 9550 Expedited Decisions
March 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing Disciplinary Order 06-28
March 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions Disciplinary Order 06-27
March 15, 2006 C05020055 Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel

Related Documents

Disciplinary Decision
March 15, 2006 CLG050021 Order Denying Complainant's Motion to Continue Hearing Disciplinary Order 06-24
March 15, 2006 E0220030425-01 Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner

Related Documents

Disciplinary Order 06-25
March 12, 2006 CAF040079 Order Denying Respondent's Motion for Summary Disposition Disciplinary Order 06-23
March 09, 2006 CAF040079 Order Granting Enforcement's Motion for Witness Sequestration Disciplinary Order 06-22
March 08, 2006 CAF040079 Order Granting Enforcement's Motion to Offer Testimony Via Telephone Disciplinary Order 06-21
March 07, 2006 CLG050048 Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
March 03, 2006 CAF030014 ; CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent

Related Documents

Redacted Decision
March 03, 2006 E9B2003033501 Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report Disciplinary Order 06-20
March 03, 2006 CLG050049 Hearing Panel Decision in Department of Market Regulation vs. Shawn E. Aaron Disciplinary Decision
March 01, 2006 C04050005 Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong

Related Documents

Disciplinary Decision
February 10, 2006 C04050014 Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper

Related Documents

Disciplinary Decision
February 10, 2006 C07040042 Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske

Related Documents

Disciplinary Decision
February 09, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information Disciplinary Order 06-19
February 08, 2006 CAF040058 Order Denying Respondents' Motion to Invoke Procedural Rule 8210

Related Documents

Disciplinary Order 06-18
February 07, 2006 C05050008 Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 Disciplinary Order 06-17
February 01, 2006 C02040032 Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort

Related Documents

Disciplinary Decision
February 01, 2006 C02040032 Order Denying Motion to Dismiss

Related Documents

Disciplinary Order 06-16
January 31, 2006 C3A030008 Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision Disciplinary Order 06-15