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. |
|---|---|---|---|---|
| January 10, 2006 | E8A2004065102 | Order Requiring Respondent to Supplement His Rule 9252 Request | Disciplinary Order | 06-04 |
| January 09, 2006 | C8A050041 | Order Denying Respondent's Motion to Set Aside Default | Disciplinary Order | 06-03 |
| January 06, 2006 | C05050015 | Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253 | Disciplinary Order | 06-02 |
| January 06, 2006 | CLI050004 | Order Denying Respondent's Motion to Adjourn Hearing | Disciplinary Order | 06-01 |
| January 04, 2006 | C06050004 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| December 30, 2005 | C8A050027 | Hearing Panel Decision in Department of Enforcement vs. Marylan Taylor | Disciplinary Decision | |
| December 29, 2005 | C06040027 | Hearing Panel Decision in Department of Enforcement vs. Sterling Scott Lee & Dennis Todd Lloyd Gordon | Disciplinary Decision | |
| December 21, 2005 | CAF040084 | Hearing Panel Decision in Department of Enforcement vs. Christopher W. Black | Disciplinary Decision | |
| December 21, 2005 | C01050008 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| December 20, 2005 | FPI050008 | Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh | Expedited Decision, Rule 9550 Expedited Decisions | |
| December 19, 2005 | E1020010426-04 | Order Denying Motion for More Definite Statement | Disciplinary Order | 05-44 |
| December 15, 2005 | CE3050003 | Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony | Disciplinary Order | 05-42 |
| December 15, 2005 | C9B040080 | Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein | Disciplinary Decision | |
| December 15, 2005 | C05050005 | Order Denying Respondent's Motion Under Rule 9253 | Disciplinary Order | 05-43 |
| December 14, 2005 | C07050029 | Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery | Disciplinary Order | 05-41 |
| December 07, 2005 | C3A050003 | Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley | Disciplinary Decision | |
| November 29, 2005 | C9B050011 | Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr. | Disciplinary Decision | |
| November 18, 2005 | CAF040058 | Order Regarding Admissibility of Tape Recordings and Transcripts | Disciplinary Order | 05-40 |
| November 15, 2005 | CMS040165 | Order Denying Respondent's Motion for Reconsideration of Scheduling Order | Disciplinary Order | 05-38 |
| November 09, 2005 | C8A040091 | Hearing Panel Decision in Department of Enforcement vs. Joyce English | Disciplinary Decision | |
| November 09, 2005 | C02040044 | Hearing Panel Decision in Department of Enforcement vs. Douglas A. Rauh | Disciplinary Decision | |
| October 30, 2005 | C3A040045 | Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine | Disciplinary Order | 05-37 |
| October 30, 2005 | C9B040098 | Hearing Panel Decision in Department of Enforcement vs. Scott Epstein | Disciplinary Decision | |
| October 30, 2005 | CAF040079 | Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists | Disciplinary Order | 05-36 |
| October 19, 2005 | CAF040058 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | Disciplinary Order | 05-35 |