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. |
|---|---|---|---|---|
| May 07, 1999 | CAF980031 | Order Denying Motions to Sever | Disciplinary Order | 99-09 |
| May 07, 1999 | CAF980094 | Hearing Panel Decision | Redacted Decision | |
| May 06, 1999 | C07980021 | Hearing Panel Decision | Redacted Decision | |
| May 06, 1999 | CAF980080 | Hearing Panel Decision | Redacted Decision | |
| April 28, 1999 | C02980070 | Hearing Panel Decision in Department of Enforcement v. Frederick D. Smith | Disciplinary Decision | |
| April 27, 1999 | C11970032 | Order Granting Motion to Strike Affirmative Defenses | Disciplinary Order | 99-07 |
| April 14, 1999 | CAF980002 | Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits | Disciplinary Order | 99-06 |
| April 13, 1999 | CMS980108 | Order with Respect to Respondent's Motion to Compel Production of Documents | Disciplinary Order | 99-05 |
| April 12, 1999 | C10980054 | Hearing Panel Decision | Redacted Decision | |
| April 09, 1999 | C07980077 | Hearing Panel Decision in Department of Enforcement v. Pier Luccarelli | Disciplinary Decision | |
| March 31, 1999 | C11970032 | Order Denying Motion to Disqualify Hearing Officer | Disciplinary Order | 99-04 |
| March 28, 1999 | ARB980029 | Non-Summary Suspension Proceeding ARB980029 | Expedited Decision, Non-Summary Proceeding | |
| March 22, 1999 | C02980073 | Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony | Disciplinary Order | 99-03 |
| March 14, 1999 | CAF980086 | Hearing Panel Decision | Redacted Decision | |
| March 14, 1999 | CAF980025 | Hearing Panel Decision in Department of Enforcement v. Richard Stephen Levitov; Hearing Panel Decision in Department of Enforcement v. Ralph Joseph Angeline | Disciplinary Decision | |
| February 17, 1999 | CAF970002 | Hearing Panel Decision in Department of Enforcement v. Robert J. Rosato | Disciplinary Decision | |
| February 08, 1999 | CAF980002 | Order Denying Motion to Disqualify a Panelist | Disciplinary Order | 99-02 |
| February 01, 1999 | ARB980019 | Non-Summary Suspension Proceeding ARB980019 | Expedited Decision, Non-Summary Proceeding | |
| January 27, 1999 | C04980035 | Hearing Panel Decision in Department of Enforcement v. Robert Lee Davis, Jr. | Disciplinary Decision | |
| January 20, 1999 | C9A980020 | Hearing Panel Decision in Department of Enforcement v. Sturdivant & Company, Inc., Harvey R. deKrafft, and Albert A. Sturdivant | Disciplinary Decision | |
| January 06, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | Disciplinary Order | 99-01 |
| December 23, 1998 | C8A980045 | Hearing Panel Decision | Redacted Decision | |
| December 22, 1998 | C9A980032 | Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction | Disciplinary Order | 98-33 |
| December 21, 1998 | CAF980025 | Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions | Disciplinary Order | 98-32 |
| December 15, 1998 | ARB980006 | Non-Summary Suspension Proceeding ARB980006 | Expedited Decision, Non-Summary Proceeding |