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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.
January 26, 2006 FPI050010 Decision in Department of Enforcement v. James J. Brazil Expedited Decision, Rule 9550 Expedited Decisions
January 20, 2006 C05050015 Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine

Related Documents

Disciplinary Order 06-14
January 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas

Related Documents

Disciplinary Order 06-11
January 19, 2006 CLG050021 Order Establishing Procedure Governing Presentation of Expert Testimony Disciplinary Order 06-13
January 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist Disciplinary Order 06-10
January 13, 2006 CLI050016 Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence Disciplinary Order 06-12
January 12, 2006 C07050029 Order Denying Complainant's Motion to Preclude the Respondent from Offering Evidence, Revising the Pre-Hearing Schedule, and Denying Respondent's Motion to Reconsider Denial of Motion to Compel Discovery

Related Documents

Disciplinary Order 06-08
January 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery Disciplinary Order 06-09
January 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery Disciplinary Order 06-07
January 10, 2006 E8A2004065102 Order Requiring Respondent to Supplement His Rule 9252 Request Disciplinary Order 06-04
January 10, 2006 CLI050016 Order Denying Respondent's Motion to Compel Discovery Disciplinary Order 06-05
January 10, 2006 CLI050016 Order Denying Respondent's Motion to Disqualify Hearing Panelist Disciplinary Order 06-06
January 09, 2006 C8A050041 Order Denying Respondent's Motion to Set Aside Default Disciplinary Order 06-03
January 06, 2006 CLI050004 Order Denying Respondent's Motion to Adjourn Hearing Disciplinary Order 06-01
January 06, 2006 C05050015 Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253

Related Documents

Disciplinary Order 06-02
January 04, 2006 C06050004 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
December 30, 2005 C8A050027 Hearing Panel Decision in Department of Enforcement vs. Marylan Taylor

Related Documents

Disciplinary Decision
December 29, 2005 C06040027 Hearing Panel Decision in Department of Enforcement vs. Sterling Scott Lee & Dennis Todd Lloyd Gordon

Related Documents

Disciplinary Decision
December 21, 2005 C01050008 Hearing Panel Decision as to Respondent Redacted Decision
December 21, 2005 CAF040084 Hearing Panel Decision in Department of Enforcement vs. Christopher W. Black Disciplinary Decision
December 20, 2005 FPI050008 Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh Expedited Decision, Rule 9550 Expedited Decisions
December 19, 2005 E1020010426-04 Order Denying Motion for More Definite Statement Disciplinary Order 05-44
December 15, 2005 CE3050003 Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony

Related Documents

Disciplinary Order 05-42
December 15, 2005 C9B040080 Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein

Related Documents

Disciplinary Decision
December 15, 2005 C05050005 Order Denying Respondent's Motion Under Rule 9253 Disciplinary Order 05-43