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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.
March 10, 2016 2012031496501 Order Denying Respondents’ Motion for Partial Summary Disposition. Disciplinary Order 16-11
March 04, 2016 2014040501801 Order Denying Respondents’ Motion for Summary Disposition Disciplinary Order 16-09
March 04, 2016 2013036836801 Order Denying Respondent’s Rule 9252 Request Disciplinary Order 16-10
March 03, 2016 2014040968501 Omnibus Order on Pre-Hearing Motions

Related Documents

Disciplinary Order 16-13
February 29, 2016 2014043020901 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement Disciplinary Order 16-07
February 29, 2016 2012034936005 APPEALED: David Joseph Escarcega

Related Documents

Disciplinary Decision
February 26, 2016 2014041724601 Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel Disciplinary Order 16-16
February 25, 2016 2014043020901 Order Denying Respondent’s Motion to Compel Production of Documents Disciplinary Order 16-08
February 22, 2016 2014040501801 Order Denying Motion for Permission to Present Expert Testimony Disciplinary Order 16-06
February 16, 2016 20080148227-02 Order Denying Respondents’ Preclusion Motion Disciplinary Order 16-05
February 12, 2016 2013036678201 Tracy Chen Disciplinary Decision
February 03, 2016 2012033393401 Order Granting in Part and Denying in Part Respondent’s Motion in Limine to Exclude the Testimony of KA, BS, and MC. Disciplinary Order 16-04
January 29, 2016 2014040295201 Order Denying Respondents’ Motion for Expert Testimony Disciplinary Order 16-02
January 28, 2016 2015044379701 Order Denying Motion to Dismiss Disciplinary Order 16-03
January 20, 2016 2015044960501 Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. Disciplinary Order 16-01
January 15, 2016 2012033362101 APPEALED: Thomas Edmund Connors

Related Documents

Disciplinary Decision
December 22, 2015 2014040968501 Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing

Related Documents

Disciplinary Order 15-15
December 18, 2015 2012034393801 APPEALED: Aon D. Miller Disciplinary Decision
December 18, 2015 ARB150039 Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) Expedited Order EXP15-02
December 03, 2015 ARB150048 Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action Expedited Order EXP15-03
December 01, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
November 18, 2015 2014040651301 Yaron Reuven Disciplinary Decision
November 06, 2015 2014041319201 APPEALED: Miguel Ortiz

Related Documents

Disciplinary Decision
October 29, 2015 2011025444501 APPEALED: Wood (Arthur W.) Company

Related Documents

Disciplinary Decision
October 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision