2004 Office of Hearing Officers Disciplinary Orders

Order Number   Date
04-09   11/26/04   Order Denying Respondent's Amended Motion to Reconsider Order Denying Motion to Dismiss  
04-29   10/28/04   Order Ruling On Pre-Hearing Motions  
04-28   10/19/04   Order Denying Respondent's Motion To Dismiss  
04-27   10/12/04   Order Rejecting Filing  
04-26   10/6/04   Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply  
04-25   10/6/04   Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final  
04-23   10/4/04   Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests  
04-22   10/4/04   Order Granting Respondents Rule 9261(C) Request  
04-21   9/27/04   Order Denying Motion for a more Definite Statement  
04-20   9/17/04   Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order  
04-19   9/15/04   Order Denying Motion to Strike Witnesses  
04-18   9/13/04   Order Precluding Evidence  
04-17   9/9/04   Order Requiring Respondent to Supplement his Rule 9252 Requests  
04-15   8/25/04   Order Granting Motion for Leave to Offer Telephone Testimony  
04-14   8/17/04   Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252  
04-13   8/2/04   Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony  
04-12   7/30/04   Order Granting Respondents' Motion to Introduce Expert Testimony  
04-11   7/7/04   Order Granting in Part and Deferring in Part Complainant's Motion for Summary Disposition, and Denying Respondents' Motion for Summary Disposition  
04-10   7/1/04   Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider  
04-08   6/24/04   Order Denying Enforcement's Motion for Summary Disposition  
04-07   6/22/04   Order Dismissing Affirmative Defense  
04-06   6/18/04   Order Denying Motion to Compel Testimony  
04-05   6/15/04   Order Granting Respondent's Motion for in Camera Inspection of Documents  
04-04   6/10/04   Order Denying Respondents' Motion to Compel Discovery  
04-03   6/1/04   Order Denying Motion for Leave to File Amended Answer  
04-24   4/23/04   Pre-Hearing Order  
04-02   3/29/04   Order Denying Respondent's Motion to Dismiss the Suspension Proceeding  
04-01   3/18/04   Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process