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. |
|---|---|---|---|---|
| March 19, 2000 | C10990014 | Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout | Disciplinary Decision | |
| March 10, 2000 | C02980085 | Hearing Panel Decision in Department of Enforcement v. Robert Tretiak | Disciplinary Decision | |
| March 10, 2000 | C3A990067 | Order Denying Respondent Second Motion for More Definite Statement | Disciplinary Order | 00-06 |
| March 09, 2000 | C3A990031 | Hearing Panel Decision in Department of Enforcement v. Charles W. Testino | Disciplinary Decision | |
| March 09, 2000 | C8A990032 | Order Vacating Default Against Respondent, Granting Complainant Leave to Re-Serve the Complaint, and Setting a Briefing Schedule on the Issue of Jurisdiction | Disciplinary Order | 00-05 |
| March 06, 2000 | C02990042 | Hearing Panel Decision in Department of Enforcement v. Robert Tretiak | Disciplinary Decision | |
| March 06, 2000 | C8B990036 | Hearing Panel Decision in Department of Enforcement v. Samuel Wereb | Disciplinary Decision | |
| March 01, 2000 | C05990026 | Order Rejecting Contested Offer of Settlement | Disciplinary Order | 00-04 |
| February 17, 2000 | C10990024 | Hearing Panel Decision in Department of Enforcement v. Averell Golub | Disciplinary Decision | |
| February 16, 2000 | C02980024 | Hearing Panel Decision in Department of Enforcement v. Robert Joseph Kernweis, William Pohn Willis, Arnold Hinsdale Kraus, and Keith Allen Dieterich | Disciplinary Decision | |
| February 11, 2000 | CAF980031 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| February 08, 2000 | C02990034 | Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green | Disciplinary Decision | |
| January 31, 2000 | C9A990007 | Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present | Disciplinary Order | 00-03 |
| January 18, 2000 | C02990052 | Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 00-02 |
| January 13, 2000 | C02990017 | Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi | Disciplinary Decision | |
| January 13, 2000 | C3A990050 | Hearing Panel Decision in Department of Enforcement v. Jim Newcomb | Disciplinary Decision | |
| January 04, 2000 | C10990121 | Order Denying Enforcement's Motion For Summary Disposition | Disciplinary Order | 00-01 |
| December 30, 1999 | CAF990018 | Order Denying Motion for Summary Disposition | Disciplinary Order | 99-21 |
| December 10, 1999 | C10970145 | Hearing Panel Decision in Department of Enforcement v. Monitor Investment Group, Ltd., Michael Galasso, Jr., Emmanuel Gennuso, Patrick Giglio, and Steven Goldstein | Disciplinary Decision | |
| December 02, 1999 | CAF980013 | Hearing Panel Decision in Department of Enforcement v. Herman Epstein | Disciplinary Decision | |
| December 01, 1999 | C11970032 | Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard | Disciplinary Decision | |
| November 22, 1999 | C10990058 | Hearing Panel Decision in Department of Enforcement v. Phillip J. Milligan | Disciplinary Decision | |
| November 19, 1999 | C8A990017 | Hearing Panel Decision in Department of Enforcement v. David L. Foran | Disciplinary Decision | |
| November 18, 1999 | C8A990015 | Hearing Panel Decision | Redacted Decision | |
| October 18, 1999 | C07990013 | Hearing Panel Decision in Department of Enforcement v. Alberto E. Argomaniz | Disciplinary Decision |