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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
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
October 12, 2004 CAF040020 Order Ruling On Pre-Hearing Motions Disciplinary Decision
October 12, 2004 CAF040056 Order Rejecting Filing Disciplinary Order 04-27
October 11, 2004 C8A030089 Hearing Panel Decision in Department of Enforcement v. Joseph Rogala

Related Documents

Disciplinary Decision
October 08, 2004 C06040017 Hearing Panel Decision in Department of Enforcement v. David Allen Regis Disciplinary Decision
October 06, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Expedited Order 04-25
October 06, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply Disciplinary Order 04-26
October 04, 2004 C9B040036 Order Granting Respondents Rule 9261(C) Request Disciplinary Order 04-22
October 04, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests

Related Documents

Disciplinary Order 04-23
September 29, 2004 C9B040036 Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty Disciplinary Decision
September 28, 2004 C8A030099 Hearing Panel Decision in Department of Enforcement v. Timothy J. Duma

Related Documents

Disciplinary Decision
September 27, 2004 C9B040080 Order Denying Motion for a more Definite Statement

Related Documents

Disciplinary Order 04-21
September 23, 2004 C3A040009 Hearing Panel Decision in Department of Enforcement v. Michael Hanchar Disciplinary Decision
September 22, 2004 C10030087 Hearing Panel Decision in Department of Enforcement v. Gilbert Alan Cardillo Disciplinary Decision
September 17, 2004 C01040003 Hearing Panel Decision as to Respondent Redacted Decision
September 17, 2004 CAF040056 Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order Disciplinary Order 04-20
September 16, 2004 C9B040033 Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson

Related Documents

Disciplinary Decision
September 15, 2004 CAF030067 Order Denying Motion to Strike Witnesses

Related Documents

Disciplinary Order 04-19
September 15, 2004 CAF040056 Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. Disciplinary Decision
September 13, 2004 C3A030049 Order Precluding Evidence Disciplinary Order 04-18
September 09, 2004 C9B040033 Order Requiring Respondent to Supplement his Rule 9252 Requests

Related Documents

Disciplinary Order 04-17
August 27, 2004 CAF030042 Hearing Panel Decision as to Respondent

Related Documents

Redacted Decision
August 25, 2004 C3A030050 Order Granting Motion for Leave to Offer Telephone Testimony Disciplinary Order 04-15
August 19, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final Disciplinary Decision
August 19, 2004 C01040001 Hearing Panel Decision as to Respondent IA and GH

Related Documents

Redacted Decision
August 17, 2004 C3A030050 Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252 Disciplinary Order 04-14