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. |
|---|---|---|---|---|
| June 19, 2007 | 20050025930 | Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard | Disciplinary Decision | |
| June 13, 2007 | 2006004494201 | Order Quashing Post-Complaint Rule 8210 Request for Information | Disciplinary Order | 07-23 |
| June 13, 2007 | ARB070023 | Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final | Expedited Order | 07-30 |
| June 13, 2007 | 20050000720-02 | Order Prohibiting Use of Subpoenas | Disciplinary Order | 07-24 |
| June 12, 2007 | 2005000191701 | Order Denying Respondent 3's Two Discovery Requests | Disciplinary Order | 07-22 |
| June 11, 2007 | E102003025201 | Order Ruling on (1) Objections to Witnesses, (2) Motion to Substitute Exhibit, (3) Motions in Limine, and (4) Motions to Strike the Respondents' Affirmative Defenses | Disciplinary Order | 07-21 |
| May 25, 2007 | 2005000078501 | Hearing Panel Decision in Department of Market Regulation v. Mark Allen Borsky | Disciplinary Decision | |
| May 18, 2007 | E8A2003091501 | Hearing Panel Decision in Department of Enforcement v. Roy M. Strong | Disciplinary Decision | |
| May 17, 2007 | E102003025201 | Order Denying Respondents' Request for Leave to Offer Expert Testimony | Disciplinary Order | 07-20 |
| May 11, 2007 | CAF040079 | Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration | Disciplinary Order | 07-15 |
| May 11, 2007 | 2005001449202 | Interim Scheduling and Case Management Order | Disciplinary Order | 07-18 |
| April 28, 2007 | E8A2003062001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 24, 2007 | 2005000127502 | Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli | Disciplinary Decision | |
| April 24, 2007 | E9B2002010501 | Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek | Disciplinary Decision | |
| April 20, 2007 | 2005002570601 | Hearing Panel Decision in Department of Enforcement v. Paul Douglas Paratore | Disciplinary Decision | |
| April 18, 2007 | C11040006 | Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition | Disciplinary Order | 07-16 |
| April 16, 2007 | ARB060031 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| April 12, 2007 | E1020040926-01 | Hearing Panel Decision in Department of Enforcement v. Respondents | Redacted Decision | |
| April 11, 2007 | CAF040079 | Order Granting in Part Respondent's Motion to Exceed Time Limits for Specific Witnesses and Denying Motion for Reconsideration of Total Number of Witnesses to Be Called | Disciplinary Order | 07-14 |
| April 11, 2007 | CLG050021 | Hearing Panel Decision in Department of Market Regulation v. John Patrick Leighton and Kenneth D. Pasternak | Disciplinary Decision | |
| April 09, 2007 | 2006004493301 | Hearing Panel Decision in Department of Enforcement v. Mark S. Ritchey | Disciplinary Decision | |
| March 30, 2007 | 20042000056-01 | Hearing Panel Decision in Department of Market Regulation v. Respondent | Redacted Decision | |
| March 28, 2007 | CAF040079 | Order Regarding Witnesses | Disciplinary Order | 07-13 |
| March 27, 2007 | 2005000440701 | Order Regarding Pre-Hearing Motions | Disciplinary Order | 07-12 |
| March 22, 2007 | C10040052 | Order Denying Respondents' Motion for Partial Summary Disposition | Disciplinary Order | 07-11 |