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. |
|---|---|---|---|---|
| April 09, 1999 | C07980077 | Hearing Panel Decision in Department of Enforcement v. Pier Luccarelli | Disciplinary Decision | |
| March 31, 1999 | C11970032 | Order Denying Motion to Disqualify Hearing Officer | Disciplinary Order | 99-04 |
| March 28, 1999 | ARB980029 | Non-Summary Suspension Proceeding ARB980029 | Expedited Decision, Non-Summary Proceeding | |
| March 22, 1999 | C02980073 | Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony | Disciplinary Order | 99-03 |
| March 14, 1999 | CAF980086 | Hearing Panel Decision | Redacted Decision | |
| March 14, 1999 | CAF980025 | Hearing Panel Decision in Department of Enforcement v. Richard Stephen Levitov; Hearing Panel Decision in Department of Enforcement v. Ralph Joseph Angeline | Disciplinary Decision | |
| February 17, 1999 | CAF970002 | Hearing Panel Decision in Department of Enforcement v. Robert J. Rosato | Disciplinary Decision | |
| February 08, 1999 | CAF980002 | Order Denying Motion to Disqualify a Panelist | Disciplinary Order | 99-02 |
| February 01, 1999 | ARB980019 | Non-Summary Suspension Proceeding ARB980019 | Expedited Decision, Non-Summary Proceeding | |
| January 27, 1999 | C04980035 | Hearing Panel Decision in Department of Enforcement v. Robert Lee Davis, Jr. | Disciplinary Decision | |
| January 20, 1999 | C9A980020 | Hearing Panel Decision in Department of Enforcement v. Sturdivant & Company, Inc., Harvey R. deKrafft, and Albert A. Sturdivant | Disciplinary Decision | |
| January 06, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | Disciplinary Order | 99-01 |
| December 23, 1998 | C8A980045 | Hearing Panel Decision | Redacted Decision | |
| December 22, 1998 | C9A980032 | Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction | Disciplinary Order | 98-33 |
| December 21, 1998 | CAF980025 | Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions | Disciplinary Order | 98-32 |
| December 15, 1998 | C9A980021 | Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski | Disciplinary Decision | |
| December 15, 1998 | ARB980006 | Non-Summary Suspension Proceeding ARB980006 | Expedited Decision, Non-Summary Proceeding | |
| December 15, 1998 | CAF980014 | Order and Decision Granting Department of Enforcement's Motion for Summary Disposition in Department of Enforcement v. Michael Ploshnick | Disciplinary Decision | |
| December 14, 1998 | C10980041 | Hearing Panel Decision in Department of Enforcement v. Harold Lee Jenkins | Disciplinary Decision | |
| December 11, 1998 | ARB980009 | Non-Summary Suspension Proceeding ARB980009 | Expedited Decision, Non-Summary Proceeding | |
| December 02, 1998 | C8A980012 | Department of Enforcement, Complainant v. Respondent | Redacted Decision | |
| December 02, 1998 | C06980021 | Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information | Disciplinary Order | 98-34 |
| December 01, 1998 | C10980025 | Hearing Panel Decision in Department of Enforcement v. Kory E. Guglielminetti | Disciplinary Decision | |
| November 24, 1998 | C06980015 | Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Terry Don Rader | Disciplinary Decision | |
| November 17, 1998 | C02980025 | Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Roger Harry Chlowitz | Disciplinary Decision |