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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.|
|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|