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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.
July 06, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
July 03, 2001 C3A000007 Hearing Panel Decision as to Respondent Redacted Decision
June 28, 2001 C3A000054 Hearing Panel Decision in Department of Enforcement v. Robert M. McCulley Disciplinary Decision
June 27, 2001 CAF000033 Hearing Panel Decision in Department of Enforcement v. Dennis Sturm

Related Documents

Disciplinary Decision
June 26, 2001 CAF000040 Hearing Panel Decision in Department of Enforcement v. Michelle McDonough Disciplinary Decision
June 05, 2001 C10000006 Hearing Panel Decision in Department of Enforcement v. Leonard Vincent Lombardo Disciplinary Decision
May 29, 2001 C8B000013 Hearing Panel Decision in Department of Enforcement v. Patrick A. Brady Disciplinary Decision
May 23, 2001 CAF000013 Order Granting Complainant's Motion to Preclude the Introduction of Expert Testimony Disciplinary Order 01-15
May 21, 2001 CAF000013 Order Denying Respondents' Motion For The Production Of Documents From Nasdaq And Requiring The Complainant To File A Declaration Certifying That It Has Complied With Rule 9251 Disciplinary Order 01-14
May 17, 2001 CAF000045 Order Denying Respondents' Motion to Compel the Production of Documents and for a List of Withheld Documents Disciplinary Order 01-13
May 15, 2001 C3A990071 Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc., Dan D. Purjes, and Paul H. Fitzgerald Disciplinary Decision
May 14, 2001 C10000140 Hearing Panel Decision in Department of Enforcement v. Mario J. Coniglione Disciplinary Decision
May 14, 2001 C05000021 Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell Disciplinary Decision
May 11, 2001 C05010012 Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252

Related Documents

Disciplinary Order 01-12
May 10, 2001 C3A000056 Order Denying Motion to Dismiss Disciplinary Order 01-11
May 02, 2001 C10000116 Hearing Panel Decision in Department of Enforcement v. Vincent P. Coniglione Disciplinary Decision
May 01, 2001 C3A000056 Order Denying Motion for Reconsideration Disciplinary Order 01-10
April 30, 2001 C10000139 Hearing Panel Decision in Department of Enforcement v. Frank A. Persico Disciplinary Decision
April 26, 2001 ARB000026 Non-Summary Suspension Proceeding ARB000026 Expedited Decision, Non-Summary Proceeding
April 26, 2001 ARB000011 Non-Summary Suspension Consolidated Proceeding ARB000011 Expedited Decision, Non-Summary Proceeding
April 20, 2001 C3A000056 Order Denying Motion to Dismiss, in Part, Deferring Decision on Motion, in Part, and Directing Enforcement to Supplement its Opposition Disciplinary Order 01-09
April 20, 2001 C10010004 Order Granting Complainant's Motion to Amend the Complaint; Denying Complainant's Motion for Leave to File a Reply to Respondent's Opposition to Motion to Amend; and Denying Respondent's Motion to Sever Disciplinary Order 01-08
April 18, 2001 CAF000015 Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc.

Related Documents

Disciplinary Decision
April 17, 2001 CAF000013 Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents Disciplinary Order 01-07
April 06, 2001 C07000084 Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision Disciplinary Order 01-06