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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type Order No.
March 10, 1998 CMS970026 Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition Disciplinary Order 98-21
March 10, 1998 C05970035 Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses Disciplinary Order 98-22
February 25, 1998 C10970033 Order Directing Written Submissions in Place of Hearing Disciplinary Order 98-19
February 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike Disciplinary Order 98-20
February 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 Disciplinary Order 98-18
February 05, 1998 CAF970002 Order Regarding Severance Disciplinary Order 98-17
February 02, 1998 C04970029 Order Staying Proceeding Disciplinary Order 98-16
January 29, 1998 CAF970011 Order Denying Motion for Recusal of Hearing Officer Disciplinary Order 98-15
January 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists Disciplinary Order 98-14
January 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint Disciplinary Order 98-12
January 27, 1998 C3A970067 Order Granting Department of Enforcement's Motion for Telephone Testimony Disciplinary Order 98-13
January 22, 1998 CMS970026 Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents Disciplinary Order 98-11
January 21, 1998 C10970176 Order as to Respondent Disciplinary Order 98-10
January 21, 1998 C04970029 Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference Disciplinary Order 98-9
January 20, 1998 C10970158 Order Denying Motion for More Definite Statement Disciplinary Order 98-8
January 20, 1998 C10970161 Order Disciplinary Order 98-7
January 15, 1998 C10970163 Order to Show Cause Disciplinary Order 98-6
January 13, 1998 C10970141 Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision Disciplinary Order 98-5
January 12, 1998 C3A970074 Order Setting Second Pre-Hearing Conference Disciplinary Order 98-4
January 08, 1998 C10970172 Order Denying Respondent's Request for Indefinite Postponement Disciplinary Order 98-3
January 02, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion Disciplinary Order 98-1
January 02, 1998 C10970158 Order Denying Motion to Compel Discovery Disciplinary Order 98-2
December 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer Disciplinary Order 97-19
December 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings Disciplinary Order 97-17
December 26, 1997 CAF970001 Order Regarding Motion to Strike Affirmative Defenses Disciplinary Order 97-18