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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.|
|May 14, 1998||C10970033||Hearing Panel Decision in Department of Enforcement v. Reynold Bradford Kern||Disciplinary Decision|
|May 14, 1998||C9B970016||Hearing Panel Decision in Department of Enforcement v. Edward Golick||Disciplinary Decision|
|May 06, 1998||C10970141||Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum||Disciplinary Order||98-23|
|March 19, 1998||C07970055||Hearing Panel Decision||Redacted Decision|
|March 10, 1998||CMS970026||Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition||Disciplinary Order||98-21|
|March 10, 1998||C05970035||Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses||Disciplinary Order||98-22|
|February 25, 1998||C10970033||Order Directing Written Submissions in Place of Hearing||Disciplinary Order||98-19|
|February 25, 1998||CAF970002||Order Regarding Motion of Respondents and Enforcement's Motion to Strike||Disciplinary Order||98-20|
|February 17, 1998||C9B970016||Order Regarding Production Under Rule 9251||Disciplinary Order||98-18|
|February 05, 1998||CAF970002||Order Regarding Severance||Disciplinary Order||98-17|
|February 02, 1998||C04970029||Order Staying Proceeding||Disciplinary Order||98-16|
|January 29, 1998||CAF970011||Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer||Disciplinary Order||98-15|
|January 29, 1998||CAF970011||Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists||Disciplinary Order||98-14|
|January 27, 1998||CAF970011||Order Granting Department of Enforcement's Motion to Amend the Complaint||Disciplinary Order||98-12|
|January 27, 1998||C3A970067||Order Granting Department of Enforcement's Motion for Telephone Testimony||Disciplinary Order||98-13|
|January 22, 1998||CMS970026||Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents||Disciplinary Order||98-11|
|January 21, 1998||C10970176||Order as to Respondent||Disciplinary Order||98-10|
|January 21, 1998||C04970029||Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference||Disciplinary Order||98-9|
|January 20, 1998||C10970158||Order Denying Motion for More Definite Statement||Disciplinary Order||98-8|
|January 20, 1998||C10970161||Order||Disciplinary Order||98-7|
|January 15, 1998||C10970163||Order to Show Cause||Disciplinary Order||98-6|
|January 13, 1998||C10970141||Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision||Disciplinary Order||98-5|
|January 12, 1998||C3A970074||Order Setting Second Pre-Hearing Conference||Disciplinary Order||98-4|
|January 08, 1998||C10970172||Order Denying Respondent's Request for Indefinite Postponement||Disciplinary Order||98-3|
|January 02, 1998||C10970164||Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion||Disciplinary Order||98-1|