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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
Date of Decision Proceeding No. Title Type Order No.
March 27, 2000 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick

Related Documents

Disciplinary Decision
March 26, 2000 CAF980002 Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages Disciplinary Order 00-07
March 19, 2000 C10990014 Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout

Related Documents

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

Related Documents

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

Related Documents

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

Related Documents

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

Related Documents

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

Related Documents

Disciplinary Decision