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 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | Disciplinary Order | 02-11 |
| May 15, 2002 | CAF010021 | Order Denying Motion to Sever | Disciplinary Order | 02-10 |
| May 14, 2002 | C01010009 | Order Deferring Decision On Complainant's Motion For Summary Disposition | Disciplinary Order | 02-09 |
| May 08, 2002 | C10010145 | Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction | Disciplinary Order | 02-08 |
| May 06, 2002 | C07010095 | Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith | Disciplinary Decision | |
| May 03, 2002 | CAF010009 | Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber | Disciplinary Decision | |
| April 29, 2002 | C01010017 | Order Pursuant To Conduct Rule 9143 | Disciplinary Order | 02-07 |
| April 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | Disciplinary Order | 02-06 |
| April 19, 2002 | FPI010002 | Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| April 04, 2002 | C02010041 | Pre-Hearing Order | Disciplinary Order | 02-05 |
| April 01, 2002 | CMS000157 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| March 25, 2002 | C8A010063 | Hearing Panel Decision in Department of Enforcement v. Bobby R. Turner, Jr. | Disciplinary Decision | |
| March 24, 2002 | FPI010004 | Hearing Panel Decision in Department of Enforcement v. Toni Valentino | Expedited Decision, Rule 9540 Suspension Decisions | |
| March 24, 2002 | C05010033 | Hearing Panel Decision in Department of Enforcement v. Michael G. Grimes | Disciplinary Decision | |
| March 14, 2002 | ARB010032 | Non-Summary Suspension Proceeding ARB010032 | Expedited Decision, Non-Summary Proceeding | |
| March 04, 2002 | C05010017 | Hearing Panel Decision in Department of Enforcement v. James S. Davenport | Disciplinary Decision | |
| February 15, 2002 | C01010003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| January 30, 2002 | C3A010036 | Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents | Disciplinary Order | 02-03 |
| January 28, 2002 | CAF010028 | Order Denying Motion To Disqualify Hearing Officer | Disciplinary Order | 02-02 |
| January 28, 2002 | ARB010016 | Non-Summary Suspension Consolidated Proceeding ARB010016 | Expedited Decision, Non-Summary Proceeding | |
| January 25, 2002 | ARB010013 | Non-Summary Suspension Proceeding ARB010013 | Expedited Decision, Non-Summary Proceeding | |
| January 22, 2002 | C8A010066 | Order Denying Respondent's Motion To Dismiss | Disciplinary Order | 02-01 |
| December 28, 2001 | CMS000015 | Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. | Disciplinary Decision | |
| December 12, 2001 | C3A010005 | Hearing Panel Decision in Department of Enforcement v. Jay R. Rice | Disciplinary Decision | |
| December 07, 2001 | C01000037 | Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams | Disciplinary Decision |