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. |
|---|---|---|---|---|
| September 13, 2004 | C3A030049 | Order Precluding Evidence | Disciplinary Order | 04-18 |
| September 09, 2004 | C9B040033 | Order Requiring Respondent to Supplement his Rule 9252 Requests | Disciplinary Order | 04-17 |
| August 27, 2004 | CAF030042 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| August 25, 2004 | C3A030050 | Order Granting Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 04-15 |
| August 19, 2004 | ARB040029 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Disciplinary Decision | |
| August 19, 2004 | C01040001 | Hearing Panel Decision as to Respondent IA and GH | Redacted Decision | |
| August 17, 2004 | C3A030050 | Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252 | Disciplinary Order | 04-14 |
| August 11, 2004 | C07030065 | In the Matter of Department of Enforcement, Complainant vs. Respondent 1 and Respondent 2 | Redacted Decision | |
| August 06, 2004 | CMS030257 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| August 06, 2004 | CLI030013 | Hearing Panel Decision as to Respondent 1, 2, and 3 | Redacted Decision | |
| August 02, 2004 | CAF040056 | Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 04-13 |
| July 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | Disciplinary Order | 04-12 |
| July 16, 2004 | C01020022 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| July 13, 2004 | C3A030015 | Hearing Panel Decision in Department of Enforcement v. Herbert I. Kay | Disciplinary Decision | |
| July 07, 2004 | C8A030100 | Order Granting in Part and Deferring in Part Complainant's Motion for Summary Disposition, and Denying Respondents' Motion for Summary Disposition | Disciplinary Order | 04-11 |
| July 06, 2004 | CAF030013 | Hearing Panel Decision in Department of Enforcement v. Richard L. Newburg | Disciplinary Decision | |
| July 01, 2004 | C9B030076 | Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider | Disciplinary Order | 04-10 |
| June 30, 2004 | C10030082 | Hearing Panel Decision in Department of Enforcement v. Stephen Nicholas Thomas | Disciplinary Decision | |
| June 29, 2004 | C10030088 | Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider | Disciplinary Decision | |
| June 29, 2004 | C8A020088 | Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey | Disciplinary Decision | |
| June 26, 2004 | ARB040033 | Order Denying Respondent's Motion To Dismiss | Disciplinary Decision | |
| June 24, 2004 | CAF030055 | Order Denying Enforcement's Motion for Summary Disposition | Disciplinary Order | 04-08 |
| June 22, 2004 | C9B030076 | Order Dismissing Affirmative Defense | Disciplinary Order | 04-07 |
| June 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | Disciplinary Order | 04-06 |
| June 15, 2004 | CAF030058 | Order Granting Respondent's Motion for in Camera Inspection of Documents | Disciplinary Order | 04-05 |