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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| June 08, 2005 | C8A040082 | Hearing Panel Decision in Department of Enforcement vs. Samuel J. Trigillo | Disciplinary Decision | |
| June 07, 2005 | C05050015 | Order Denying Respondent 1's Motion for More Definite Statement | Disciplinary Order | 05-23 |
| June 07, 2005 | C05050015 | Order Granting Respondent 2's Motion for More Definite Statement | Disciplinary Order | 05-24 |
| June 03, 2005 | C9B040093 | Hearing Panel Decision in Department of Enforcement vs. Joel E. Moskowitz | Disciplinary Decision | |
| May 27, 2005 | C06040023 | Order Denying Request for Subpoena | Disciplinary Order | 05-22 |
| May 24, 2005 | C9A040024 | Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV | Disciplinary Decision | |
| May 17, 2005 | C9B040098 | Order Denying Relief Sought in Notice to Produce and Application for Protective Order | Disciplinary Order | 05-20 |
| May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | Disciplinary Order | 05-21 |
| May 11, 2005 | C3A030050 | Hearing Panel Decision in Department of Enforcement vs. Roger P. May | Disciplinary Decision | |
| May 05, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | Disciplinary Order | 05-19 |
| April 25, 2005 | C07040084 | Order Granting Complainant's Motion for Telephone Testimony | Disciplinary Order | 05-18 |
| April 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | Disciplinary Order | 05-17 |
| April 18, 2005 | C01040019 | Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. | Disciplinary Decision | |
| April 15, 2005 | CAF040025 | Hearing Panel Decision in Department of Enforcement vs. Steven C. Kirsch | Disciplinary Decision | |
| April 12, 2005 | ARB050010 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 05-16 |
| April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | Disciplinary Order | 05-15 |
| April 06, 2005 | C9B040020 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 06, 2005 | C9B040020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision | |
| April 05, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | Disciplinary Order | 05-14 |
| April 04, 2005 | CAF040002 | Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model | Disciplinary Order | 05-13 |
| March 30, 2005 | CAF040002 | Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 | Disciplinary Order | 05-12 |
| March 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | Disciplinary Order | 05-11 |
| March 29, 2005 | C02040044 | Order Denying Motion for List of Documents Withheld | Disciplinary Order | 05-10 |
| March 22, 2005 | C9B040069 | Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger | Disciplinary Decision | |
| March 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | Disciplinary Order | 05-09 |