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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.
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

Related Documents

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 C8A020088 Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey Disciplinary Decision
June 29, 2004 C10030088 Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider

Related Documents

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

Related Documents

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
June 14, 2004 C11040006 Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken

Related Documents

Disciplinary Decision
June 10, 2004 C9B040020 Order Denying Respondents' Motion to Compel Discovery

Related Documents

Disciplinary Order 04-04
June 07, 2004 CAF020048 Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon

Related Documents

Disciplinary Decision
June 07, 2004 CLI030011 Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis Disciplinary Decision
June 04, 2004 CMS020247 Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa

Related Documents

Disciplinary Decision
June 01, 2004 C8A030100 Order Denying Motion for Leave to File Amended Answer Disciplinary Order 04-03
May 27, 2004 C8A030068 Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer

Related Documents

Disciplinary Decision