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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.
November 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer Disciplinary Order 97-6
October 29, 1997 C10970160 Order Denying Motion for a More Definite Statement Disciplinary Order 97-5
October 29, 1997 CMS960105 Order Denying Motion for Disqualification of Hearing Officer Disciplinary Order 97-4
October 07, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent Disciplinary Order 97-3
September 18, 1997 C10970158 Order Extending Time for Respondents to Answer Disciplinary Order 97-2
September 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer Disciplinary Order 97-1
2016049565901 APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang Disciplinary Decision