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. |
---|---|---|---|---|
November 04, 2003 | CAF030008 | Order Granting Respondent's Motion to Quash Rule 8210 Request | Disciplinary Order | 03-23 |
October 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | Disciplinary Order | 03-22 |
October 26, 2003 | CAF030011 | Order Granting in Part Respondent 1 and Respondent 2's Motion for Production of Documents Under Rule 9251(a)(3) | Disciplinary Order | 03-21 |
October 15, 2003 | C01020022 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | Disciplinary Order | 03-19 |
October 15, 2003 | CAF030008 | Order Denying Respondent's Motion to Compel Production of Information Regarding Withheld Documents | Disciplinary Order | 03-20 |
October 02, 2003 | C10020075 | Hearing Panel Decision in Department of Enforcement v. Joseph Brian Shevlin, Jr. | Disciplinary Decision | |
October 01, 2003 | C9A030017 | Hearing Panel Decision in Department of Enforcement v. Eric J. Laucius | Disciplinary Decision | |
September 30, 2003 | FPI030003 | Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise | Expedited Decision, Rule 9540 Suspension Decisions | |
September 26, 2003 | CLI030017 | Order Granting Part Respondents' Motion for More Definite Statement | Disciplinary Order | 03-18 |
September 24, 2003 | C02020055 | Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto | Disciplinary Decision | |
September 22, 2003 | CAF000016 | Hearing Panel Decision in Department of Enforcement v. Stephen Jay Drescher | Disciplinary Decision | |
September 18, 2003 | C3A030001 | Order Denying Motion for Issuance of 8210 Requests | Disciplinary Order | 03-17 |
September 08, 2003 | 03-02 | Hearing Panel Decision as to Respondent | Redacted Decision | 03-02 |
September 04, 2003 | C9A020018 | Hearing Panel Decision in Department of Enforcement v. John J. Katsock, Jr. | Disciplinary Decision | |
September 03, 2003 | CAF010011 | Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander | Disciplinary Decision | |
August 29, 2003 | C10020076 | Hearing Panel Decision in Department of Enforcement v. Jeffrey Mills | Disciplinary Decision | |
August 27, 2003 | C05020060 | Hearing Panel Decision in Department of Enforcement v. John R. Bingham | Disciplinary Decision | |
August 19, 2003 | 03-01 | Hearing Panel Decision as to Respondent | Redacted Decision | |
August 11, 2003 | C3B020015 | Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey | Disciplinary Decision | |
August 07, 2003 | CMS020143 | Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II | Disciplinary Decision | |
August 06, 2003 | C9B020052 | Hearing Panel Decision in Department of Enforcement v. Brian J. Clark | Disciplinary Decision | |
July 28, 2003 | C01020012 | Hearing Panel Decision in Department of Enforcement v. Kelmoore Investment Co., Inc., and Shawn Kelmon Young | Disciplinary Decision | |
July 14, 2003 | C10010004 | Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel | Disciplinary Decision | |
July 08, 2003 | C01020025 | Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen | Disciplinary Decision | |
July 07, 2003 | CAF020053 | Order on Respondent's Expert Witness Designation | Disciplinary Order | 03-16 |