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Office of Hearing Officers

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 03, 2003 C3B020015 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition Disciplinary Order 03-06
March 30, 2003 C3B020015 Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery Disciplinary Order 03-05
March 27, 2003 C3A010036 Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3

Related Documents

Disciplinary Decision
March 19, 2003 C3A020039 Order Regarding Complainant's Motion for a Preclusion Order Disciplinary Order 03-04
March 16, 2003 C9A020017 Hearing Panel Decision in Department of Enforcement v. Emanuel L. Sarris Disciplinary Decision
March 04, 2003 C01020014 Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz

Related Documents

Disciplinary Decision
February 21, 2003 DFC020018 Hearing Panel Decision in NASD Treasurer v. Respondent Disciplinary Decision
February 13, 2003 C10010004 Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel Disciplinary Decision
February 10, 2003 C8A010094 Hearing Panel Decision in Department of Enforcement v. Jonathan B. Day Disciplinary Decision
February 07, 2003 C07020067 Order Granting Motion in Limine Disciplinary Order 03-14
February 07, 2003 C9B020048 Hearing Panel Decision in Department of Enforcement v. John Michael Brack Disciplinary Decision
February 05, 2003 C8A020032 Hearing Panel Decision in Department of Enforcement v. Leroy Avery Disciplinary Decision
January 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger

Related Documents

Disciplinary Decision
January 17, 2003 CAF020007 Order Granting Motion for Reconsideration Disciplinary Order 03-02
January 14, 2003 C9A020018 Order Denying Request for Postponement of Hearing Disciplinary Order 03-03
January 08, 2003 C9B020037 Hearing Panel Decision in Department of Enforcement v. Kenneth J. Gilmore Disciplinary Decision
January 06, 2003 CAF020041 Order Granting the Department of Enforcement's Motion for a Protective Order Disciplinary Order 03-01
December 30, 2002 C3B010016 Hearing Panel Decision in Department of Enforcement v. Magellan Securities, Inc. and Terry M. Laymon Disciplinary Decision
December 26, 2002 CAF020042 Order Denying Motion for More Definite Statement Disciplinary Order 02-12
December 20, 2002 C3A020013 Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr.

Related Documents

Disciplinary Decision
December 20, 2002 C10000122 Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma

Related Documents

Disciplinary Decision
December 14, 2002 CAF000045 Hearing Panel Decision as to Respondent

Related Documents

Redacted Decision
December 13, 2002 C02020014 Hearing Panel Decision in Department of Enforcement v. Young Min Kim Disciplinary Decision
December 13, 2002 C04020006 Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. Disciplinary Decision
November 27, 2002 CAF000027 Hearing Panel Decision as to Respondent Redacted Decision