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
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| March 08, 2006 | CAF040079 | Order Granting Enforcement's Motion to Offer Testimony Via Telephone | Disciplinary Order | 06-21 |
| March 07, 2006 | CLG050048 | Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| March 03, 2006 | CAF030014 | ; CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| March 03, 2006 | E9B2003033501 | Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report | Disciplinary Order | 06-20 |
| March 03, 2006 | CLG050049 | Hearing Panel Decision in Department of Market Regulation vs. Shawn E. Aaron | Disciplinary Decision | |
| March 01, 2006 | C04050005 | Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong | Disciplinary Decision | |
| February 10, 2006 | C04050014 | Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper | Disciplinary Decision | |
| February 10, 2006 | C07040042 | Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske | Disciplinary Decision | |
| February 09, 2006 | E9B2003033501 | Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information | Disciplinary Order | 06-19 |
| February 08, 2006 | CAF040058 | Order Denying Respondents' Motion to Invoke Procedural Rule 8210 | Disciplinary Order | 06-18 |
| February 07, 2006 | C05050008 | Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 | Disciplinary Order | 06-17 |
| February 01, 2006 | C02040032 | Order Denying Motion to Dismiss | Disciplinary Order | 06-16 |
| February 01, 2006 | C02040032 | Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort | Disciplinary Decision | |
| January 31, 2006 | C3A030008 | Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision | Disciplinary Order | 06-15 |
| January 26, 2006 | FPI050010 | Decision in Department of Enforcement v. James J. Brazil | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 20, 2006 | C05050015 | Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine | Disciplinary Order | 06-14 |
| January 19, 2006 | CLG050021 | Order Establishing Procedure Governing Presentation of Expert Testimony | Disciplinary Order | 06-13 |
| January 19, 2006 | EAF0400300001 | Order Prohibiting Use of Subpeonas | Disciplinary Order | 06-11 |
| January 17, 2006 | CLG050021 | Order Denying Complainant's Motion for Appointment of Market Regulation Panelist | Disciplinary Order | 06-10 |
| January 13, 2006 | CLI050016 | Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence | Disciplinary Order | 06-12 |
| January 12, 2006 | E8A2003080701 | Order Denying Respondent's Motion for Discovery | Disciplinary Order | 06-09 |
| January 12, 2006 | C07050029 | Order Denying Complainant's Motion to Preclude the Respondent from Offering Evidence, Revising the Pre-Hearing Schedule, and Denying Respondent's Motion to Reconsider Denial of Motion to Compel Discovery | Disciplinary Order | 06-08 |
| January 11, 2006 | E9B2003033501 | Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery | Disciplinary Order | 06-07 |
| January 10, 2006 | CLI050016 | Order Denying Respondent's Motion to Disqualify Hearing Panelist | Disciplinary Order | 06-06 |
| January 10, 2006 | E8A2004065102 | Order Requiring Respondent to Supplement His Rule 9252 Request | Disciplinary Order | 06-04 |