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. |
|---|---|---|---|---|
| December 26, 2000 | DFC000003 | Rule 9530 Suspension Proceeding DFC000003 | Expedited Decision, Rule 9530 Suspension Decisions | |
| December 06, 2000 | CAF980002 | Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc. | Disciplinary Decision | |
| November 15, 2000 | C3A990067 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 06, 2000 | C05990035 | Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III | Disciplinary Decision | |
| October 20, 2000 | C10990121 | Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached | Disciplinary Decision | |
| October 10, 2000 | CAF000030 | Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief | Disciplinary Order | 00-31 |
| October 09, 2000 | C07000023 | Pre-Hearing Order | Disciplinary Order | 00-30 |
| October 06, 2000 | C9B000013 | Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony | Disciplinary Order | 00-29 |
| October 05, 2000 | C05000021 | Order Granting Complainant's Motion for Leave to Offer Telephone Testimony and to Allow Witness to be Assisted by (Remote) Interpreter | Disciplinary Order | 00-28 |
| October 03, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| September 28, 2000 | C10000140 | Order Denying Motion for More Definite Statement | Disciplinary Order | 00-27 |
| September 25, 2000 | C8A990081 | Hearing Panel Decision in Department of Enforcement v. James B. Chase | Disciplinary Decision | |
| September 19, 2000 | C10990212 | Order Denying Enforcement's Motion for Partial Summary Disposition Against Respondent | Disciplinary Order | 00-26 |
| September 13, 2000 | CAF990018 | Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds | Disciplinary Decision | |
| September 05, 2000 | C05000002 | Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf | Disciplinary Decision | |
| September 05, 2000 | C05990026 | Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez | Disciplinary Decision | |
| August 28, 2000 | C3A990071 | Order Granting Respondents Motion in Limine Requesting Production of Documents | Disciplinary Order | 00-24 |
| August 28, 2000 | C02990022 | Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace | Disciplinary Decision | |
| August 22, 2000 | C3A990035 | Order Consolidating Proceedings | Disciplinary Order | 00-23 |
| August 22, 2000 | C05990019 | Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions | Disciplinary Decision | |
| August 22, 2000 | C05990019 | Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions | Disciplinary Decision | |
| August 03, 2000 | C01000003 | Order Denying Respondents' Request for a Second Continuance of the Hearing | Disciplinary Order | 00-22 |
| August 02, 2000 | ARB000005 | Non-Summary Suspension Proceeding ARB000005 | Expedited Decision, Non-Summary Proceeding | |
| August 02, 2000 | C3A990071 | Protective Order Regarding Complainant's Rule 8210 Requests to Respondents | Disciplinary Order | 00-21 |
| August 02, 2000 | C01990013 | Hearing Panel Decision as to Respondent | Redacted Decision |