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.|
|November 11, 1997||CAF970002||Order Denying Motion of Respondents and for Extension of Time to Answer||Disciplinary Order||97-6|
|October 29, 1997||CMS960105||Order Denying Motion for Disqualification of Hearing Officer||Disciplinary Order||97-4|
|October 29, 1997||C10970160||Order Denying Motion for a More Definite Statement||Disciplinary Order||97-5|
|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|