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 24, 2004 | C9A040020 | Hearing Panel Decision in Department of Enforcement v. Paul V. Roddy, Jr. | Disciplinary Decision | |
| November 19, 2004 | C05030036 | Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al. | Disciplinary Decision | |
| November 16, 2004 | C10040019 | Hearing Panel Decision in Department of Enforcement v. Oscar Montenegro | Disciplinary Decision | |
| October 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | Disciplinary Order | 04-29 |
| October 19, 2004 | ARB040033 | Order Denying Respondent's Motion To Dismiss | Expedited Order | 04-28 |
| October 19, 2004 | C07040048 | Hearing Panel Decision in Department of Enforcement v. Lacy M. Walthall, III | Disciplinary Decision | |
| October 12, 2004 | CAF040056 | Order Rejecting Filing | Disciplinary Order | 04-27 |
| October 12, 2004 | C10030030 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| October 12, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | Disciplinary Decision | |
| October 11, 2004 | C8A030089 | Hearing Panel Decision in Department of Enforcement v. Joseph Rogala | Disciplinary Decision | |
| October 08, 2004 | C06040017 | Hearing Panel Decision in Department of Enforcement v. David Allen Regis | Disciplinary Decision | |
| October 06, 2004 | CAF040002 | Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply | Disciplinary Order | 04-26 |
| October 06, 2004 | ARB040029 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 04-25 |
| October 04, 2004 | CAF030014 | Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests | Disciplinary Order | 04-23 |
| October 04, 2004 | C9B040036 | Order Granting Respondents Rule 9261(C) Request | Disciplinary Order | 04-22 |
| September 29, 2004 | C9B040036 | Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty | Disciplinary Decision | |
| September 28, 2004 | C8A030099 | Hearing Panel Decision in Department of Enforcement v. Timothy J. Duma | Disciplinary Decision | |
| September 27, 2004 | C9B040080 | Order Denying Motion for a more Definite Statement | Disciplinary Order | 04-21 |
| September 23, 2004 | C3A040009 | Hearing Panel Decision in Department of Enforcement v. Michael Hanchar | Disciplinary Decision | |
| September 22, 2004 | C10030087 | Hearing Panel Decision in Department of Enforcement v. Gilbert Alan Cardillo | Disciplinary Decision | |
| September 17, 2004 | C01040003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| September 17, 2004 | CAF040056 | Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order | Disciplinary Order | 04-20 |
| September 16, 2004 | C9B040033 | Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson | Disciplinary Decision | |
| September 15, 2004 | CAF040056 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. | Disciplinary Decision | |
| September 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | Disciplinary Order | 04-19 |