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.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| November 09, 2006 | 2005000316701 | Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b) | Disciplinary Order | 06-54 |
| November 09, 2006 | EAF0300770001 | Order For Sequestration of Witnesses | Disciplinary Order | 06-53 |
| November 07, 2006 | E1020040926-01 | Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 | Disciplinary Order | 06-52 |
| November 01, 2006 | EAF0400300001 | Order Regarding Hearing Procedures | Disciplinary Order | 06-51 |
| October 31, 2006 | 2005000127502 | Order Following Final Pre-Hearing Conference Modifying Order Precluding Respondents from Introducing Evidence at the Hearing and Dismissing the Third Cause of Complaint | Disciplinary Order | 06-50 |
| October 26, 2006 | CAF040058 | Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou | Disciplinary Decision | |
| October 23, 2006 | EAF0300770001 | Order Permitting Expert Testimony | Disciplinary Order | 06-49 |
| October 20, 2006 | 2005000127502 | Order Denying Complainant's Motion for Partial Summary Disposition | Disciplinary Order | 06-48 |
| October 20, 2006 | E9B2002055601 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 11, 2006 | EAF0400300001 | Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony | Disciplinary Order | 06-47 |
| October 10, 2006 | EAF0400300001 | Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers | Disciplinary Order | 06-46 |
| October 09, 2006 | 20042000056-01 | Order Deferring Ruling on Motion for Summary Disposition | Disciplinary Order | 06-45 |
| October 04, 2006 | ARB060029 | Order Dismissing Defense and Granting Respondents Leave to File a Motion for Leave to Amend Their Request for Hearing | Expedited Order | 06-44 |
| October 03, 2006 | EAF0400300001 | Order Directing Respondents to File Exhibits and Witness List in Compliance With Pre-Hearing Order, and Extending Related Deadlines | Disciplinary Order | 06-43 |
| September 28, 2006 | E8A2003091501 | Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present | Disciplinary Order | 06-42 |
| September 28, 2006 | ARB060022 | Order Deeming Defense as Abandoned, Hearing as Waived, and NASD Suspension Notice as Final | Expedited Order | 06-41 |
| September 20, 2006 | ARB060029 | Order Clarifying Agenda for Pre-Hearing Conference | Expedited Order | 06-40 |
| September 19, 2006 | C07050042 | Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears | Disciplinary Decision | |
| September 19, 2006 | 2005003490801 | Hearing Panel Decision in Department of Enforcement vs. Kenneth D. Schacht | Disciplinary Decision | |
| September 18, 2006 | CAF030042 | Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard | Disciplinary Decision | |
| September 15, 2006 | FPI060008 | Decision in Department of Market Regulation v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision | |
| September 15, 2006 | ARB060023 | Order Overruling Objection to Telephonic Hearing | Expedited Order | 06-39 |
| September 15, 2006 | EAF0400300001 | Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing | Disciplinary Order | 06-38 |
| September 14, 2006 | DFC060004 | Order Setting a Pre-Hearing Conference | Expedited Order | 06-56 |
| September 14, 2006 | E072004006101 and 2005002392101 | Order Denying Respondent Firm's Motions to Consolidate | Disciplinary Order | 06-35 |