Formal Hearings
If the respondent contests a violation, or if the regulators deny a settlement offer or waiver, the dispute will move to a formal hearing proceeding. When this occurs, the Chief Hearing Officer appoints a Hearing Panel to conduct the disciplinary proceeding and issue a decision.
Within 21 days after a respondent has answered a complaint, the Hearing Officer may order a prehearing conference with the disputing parties to discuss:
• simplification and clarification of the issues
• exchange of witness and exhibit lists
• stipulations concerning th