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 23, 2003 | C9A020052 | Hearing Panel Decision in Department of Enforcement v. Guang Lu | Disciplinary Decision | |
| June 23, 2003 | C3B020013 | Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk | Disciplinary Decision | |
| June 05, 2003 | C10020060 | Hearing Panel Decision in Department of Enforcement v. Andrew Knight | Disciplinary Decision | |
| June 04, 2003 | C9A030006 | Order Denying Motion for Summary Disposition | Disciplinary Order | 03-15 |
| May 27, 2003 | C07010099 | Hearing Panel Decision in Department of Enforcement v. Thomas A. Timberlake | Disciplinary Decision | |
| May 21, 2003 | CAF030007 | Order Granting in Part and Denying in Part Respondent's Motion for More Definite Statement | Disciplinary Order | 03-13 |
| May 21, 2003 | C07010099 | Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai | Disciplinary Decision | |
| May 14, 2003 | C9B020060 | Hearing Panel Decision in Department of Enforcement v. Mark Paul Adler | Disciplinary Decision | |
| April 30, 2003 | CMS020143 | Order Denying Complainant's Motion in Limine | Disciplinary Order | 03-11 |
| April 30, 2003 | CMS020143 | Order Denying Complainant's Motion to Disqualify Counsel | Disciplinary Order | 03-10 |
| April 30, 2003 | C3B020015 | Order Rejecting Contested Offer of Settlement | Disciplinary Order | 03-12 |
| April 28, 2003 | C9B020046 | Hearing Panel Decision in Department of Enforcement v. Justin E. Apgar | Disciplinary Decision | |
| April 25, 2003 | C06020003 | Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms | Disciplinary Decision | |
| April 17, 2003 | C01020025 | Order Denying Motion to Bifurcate Hearing | Disciplinary Order | 03-09 |
| April 08, 2003 | CAF020048 | Pre-Hearing Order Directing ___________ to File a Power of Attorney | Disciplinary Order | 03-07 |
| April 08, 2003 | CAF020023 | Order Granting Complainant's Motion in Limine | Disciplinary Order | 03-08 |
| April 03, 2003 | C3B020015 | Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition | Disciplinary Order | 03-06 |
| March 30, 2003 | C3B020015 | Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery | Disciplinary Order | 03-05 |
| March 27, 2003 | C3A010036 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 | Disciplinary Decision | |
| March 19, 2003 | C3A020039 | Order Regarding Complainant's Motion for a Preclusion Order | Disciplinary Order | 03-04 |
| March 16, 2003 | C9A020017 | Hearing Panel Decision in Department of Enforcement v. Emanuel L. Sarris | Disciplinary Decision | |
| March 04, 2003 | C01020014 | Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz | Disciplinary Decision | |
| February 21, 2003 | DFC020018 | Hearing Panel Decision in NASD Treasurer v. Respondent | Disciplinary Decision | |
| February 13, 2003 | C10010004 | Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel | Disciplinary Decision | |
| February 10, 2003 | C8A010094 | Hearing Panel Decision in Department of Enforcement v. Jonathan B. Day | Disciplinary Decision |