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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.
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
January 02, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2
December 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer Disciplinary Order 97-19
December 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17
December 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18
December 19, 1997 C01970032 Order Striking Answer Filed on Behalf of and Directing the Department of Enforcement to Send a Second Notice of Complaint Disciplinary Order 97-15
December 19, 1997 C10970172 Order to Show Cause Why Respondents Should Not Be Held in Default to Appear at at Pre-Hearing Conference Disciplinary Order 97-16
December 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings Disciplinary Order 97-14
December 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List Disciplinary Order 97-12
December 15, 1997 C05970037 Order Denying Motion to Stay Proceeding Disciplinary Order 97-13
December 09, 1997 C10970128 Order Regarding Department of Enforcements Contact with Respondent's Counsel Disciplinary Order 97-11
November 28, 1997 CAF970002 Order Denying Motions for More Definite Statement Disciplinary Order 97-10
November 15, 1997 C07970055 Final Pre-hearing Conference Order Disciplinary Order 97-9
November 14, 1997 C10970141 Order Extending Time for Respondents to Answer Disciplinary Order 97-8
November 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List Disciplinary Order 97-7
November 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer Disciplinary Order 97-6
October 29, 1997 C10970160 Order Denying Motion for a More Definite Statement Disciplinary Order 97-5
October 29, 1997 CMS960105 Order Denying Motion for Disqualification of Hearing Officer Disciplinary Order 97-4
October 07, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent Disciplinary Order 97-3
September 18, 1997 C10970158 Order Extending Time for Respondents to Answer Disciplinary Order 97-2
September 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer Disciplinary Order 97-1
2016049565901 APPEALED: Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang Disciplinary Decision