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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.
|Date of Decision||Proceeding No.||Title||Type||Order No.|
|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||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||C05000021||Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell||Disciplinary Decision|
|May 14, 2001||C10000140||Hearing Panel Decision in Department of Enforcement v. Mario J. Coniglione||Disciplinary Decision|
|May 11, 2001||C05010012||Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252||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||ARB000011||Non-Summary Suspension Consolidated Proceeding ARB000011||Expedited Decision, Non-Summary Proceeding|
|April 26, 2001||ARB000026||Non-Summary Suspension Proceeding ARB000026||Expedited Decision, Non-Summary Proceeding|
|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 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 18, 2001||CAF000015||Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc.||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|
|April 03, 2001||C9A990029||Hearing Panel Decision in Department of Enforcement v. Shannon Johnson||Disciplinary Decision|
|March 22, 2001||C07000058||Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr.||Disciplinary Decision|