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. |
|---|---|---|---|---|
| May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | Disciplinary Order | 05-21 |
| May 11, 2005 | C3A030050 | Hearing Panel Decision in Department of Enforcement vs. Roger P. May | Disciplinary Decision | |
| May 05, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | Disciplinary Order | 05-19 |
| April 25, 2005 | C07040084 | Order Granting Complainant's Motion for Telephone Testimony | Disciplinary Order | 05-18 |
| April 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | Disciplinary Order | 05-17 |
| April 18, 2005 | C01040019 | Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. | Disciplinary Decision | |
| April 15, 2005 | CAF040025 | Hearing Panel Decision in Department of Enforcement vs. Steven C. Kirsch | Disciplinary Decision | |
| April 12, 2005 | ARB050010 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 05-16 |
| April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | Disciplinary Order | 05-15 |
| April 06, 2005 | C9B040020 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 06, 2005 | C9B040020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision | |
| April 05, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | Disciplinary Order | 05-14 |
| April 04, 2005 | CAF040002 | Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model | Disciplinary Order | 05-13 |
| March 30, 2005 | CAF040002 | Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 | Disciplinary Order | 05-12 |
| March 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | Disciplinary Order | 05-11 |
| March 29, 2005 | C02040044 | Order Denying Motion for List of Documents Withheld | Disciplinary Order | 05-10 |
| March 22, 2005 | C9B040069 | Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger | Disciplinary Decision | |
| March 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | Disciplinary Order | 05-09 |
| March 17, 2005 | CMS040202 | Order Denying Motion for Order to Cease and Desist | Disciplinary Order | 05-08 |
| March 14, 2005 | CAF040079 | Order Denying Respondent's Motion to Quash and Motion for a Protective Order | Disciplinary Order | 05-07 |
| March 14, 2005 | C9B040036 | Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty | Disciplinary Decision | |
| March 13, 2005 | C10030095 | Hearing Panel Decision in Department of Enforcement vs. John Audifferen | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. James C. Ackerman | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. Respondent Firm and James C. Ackerman | Disciplinary Decision | |
| March 02, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | Disciplinary Order | 05-06 |