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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|July 20, 2000||C3A000007||Order Denying Respondents' Motions to Compel Testimony||Disciplinary Order||00-18|
|July 18, 2000||C10000046||Order Regarding Respondent's Motion for Leave to File a Late Answer||Disciplinary Order||00-17|
|July 06, 2000||C3A990067||Order Denying Motion for Summary Disposition||Disciplinary Order||00-16|
|July 05, 2000||C01000003||Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony||Disciplinary Order||00-15|
|July 03, 2000||C9B990019||Hearing Panel Decision as to Respondent||Redacted Decision|
|June 27, 2000||C02990052||Hearing Panel Decision in Department of Enforcement v. Shailesh B. Patel||Disciplinary Decision|
|June 26, 2000||C10980008||Hearing Panel Decision as to Respondent||Redacted Decision|
|June 23, 2000||C10990121||Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached||Disciplinary Decision|
|June 14, 2000||C8A000022||Order Denying Respondent's Motion for Withheld Document List||Disciplinary Order||00-14|
|June 13, 2000||CMS000015||Notice of Withdrawal of Hearing Officer||Disciplinary Order||00-13|
|June 13, 2000||C8A990025||Hearing Panel Decision in Department of Enforcement v. Timothy James Fergus, Frank Thomas Devine, and Richard Alan Blake||Disciplinary Decision|
|June 12, 2000||C10990172||Hearing Panel Decision in Department of Enforcement v. John L. Bauer||Disciplinary Decision|
|June 08, 2000||C07990033||Hearing Panel Decision in Department of Enforcement v. Len K. Furman||Disciplinary Decision|
|June 06, 2000||C9A990007||Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff||Disciplinary Decision|
|June 05, 2000||C05990034||Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr.||Disciplinary Decision|
|May 17, 2000||C10970143||Order Denying Respondents' Motion to Compel Production of Information and Documents from Customer Witnesses||Disciplinary Order||00-12|
|May 05, 2000||C10990212||Order Granting Enforcement's Motion to Consolidate||Disciplinary Order||00-10|
|May 05, 2000||CAF990007||Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony||Disciplinary Order||00-11|
|April 24, 2000||C8A990032||Hearing Panel Decision in Department of Enforcement v. Marcus K. Hughes and Christopher Aden||Disciplinary Decision|
|April 04, 2000||C0500006||Order Granting in Part Respondent Motion for More Definite Statement||Disciplinary Order||00-09|
|March 28, 2000||C1000010||Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents||Disciplinary Order||00-08|
|March 27, 2000||C10970176||Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick||Disciplinary Decision|
|March 26, 2000||CAF980002||Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages||Disciplinary Order||00-07|
|March 19, 2000||C10990014||Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout||Disciplinary Decision|
|March 10, 2000||C3A990067||Order Denying Respondent Second Motion for More Definite Statement||Disciplinary Order||00-06|