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 17, 2005 | CMS040202 | Order Denying Motion for Order to Cease and Desist | Disciplinary Order | 05-08 |
| March 14, 2005 | CAF040079 | Order Denying Respondent's Motion to Quash and Motion for a Protective Order | Disciplinary Order | 05-07 |
| March 14, 2005 | C9B040036 | Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. Respondent Firm and James C. Ackerman | Disciplinary Decision | |
| March 13, 2005 | C10030095 | Hearing Panel Decision in Department of Enforcement vs. John Audifferen | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. James C. Ackerman | Disciplinary Decision | |
| March 02, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | Disciplinary Order | 05-06 |
| March 02, 2005 | ARB040037 | Hearing Panel Decision in Department of Enforcement vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 01, 2005 | ARB050002 | Order Granting Enforcement's Rule 9559(M) Motion and Dismissing Proceeding | Expedited Order | 05-05 |
| February 28, 2005 | C9B040059 | Order Denying Motion to Disqualify Hearing Officer Witherspoon | Disciplinary Order | 05-04 |
| February 24, 2005 | C3A040023 | Order Regarding Respondents' Pre-Hearing Submissions | Disciplinary Order | 05-03 |
| February 18, 2005 | FPI040007 | Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| February 17, 2005 | C8A030086 | Hearing Panel Decision in Department of Enforcement vs. Lance Dahmer | Disciplinary Decision | |
| January 25, 2005 | C07040074 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. and Franklyn Ross Michelin | Disciplinary Decision | |
| January 24, 2005 | C9B040033 | Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson | Disciplinary Decision | |
| January 21, 2005 | CMS040069 | Hearing Panel Decision in Department of Enforcement vs. Nicholas R. Sciascia | Disciplinary Decision | |
| January 14, 2005 | CAF040056 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. | Disciplinary Decision | |
| January 14, 2005 | CAF040058 | Order Denying Respondents' Motion Pursuant to Rule 9252 and for an Extension of Time | Disciplinary Order | 05-01 |
| January 14, 2005 | CAF040056 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. | Disciplinary Decision | |
| January 14, 2005 | CAF040056 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. | Disciplinary Decision | |
| January 14, 2005 | C10040025 | Hearing Panel Decision in Department of Enforcement vs. John Brigandi | Disciplinary Decision | |
| January 14, 2005 | ARB040045 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 05-02 |
| January 10, 2005 | C9B040013 | Hearing Panel Decision in Department of Enforcement vs. Hennion & Walsh, Inc. | Disciplinary Decision | |
| January 07, 2005 | ARB040032 | Stephen B. Webster | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 06, 2005 | C01040010 | Hearing Panel Decision in Department of Enforcement vs. Patrick Orvil Nugent | Disciplinary Decision |