Order Number		Date
06-58		12/28/06		Order Granting Complainant's Motion in Limine
06-57		12/28/06		Order Granting Complainant's Motion to Strike in Part the Introduction to Respondent's Answer
06-56		12/20/06		Order Setting a Pre-Hearing Conference
06-55		11/16/06		Order (1) Granting Complainant's Motion in Limine; (2) Denying Complainant's Motion to Sequester Witnesses, Without Prejudice; (3) Denying Respondents' Motions to Dismiss; (4) Denying Respondents' Motion to Strike; (5) Granting, in Part, Respondents' Motion To Preclude; (6) Denying, in Part, and Deferring, in Part, Respondents' Motion For Leave to Present Expert Testimony and (7) Denying Respondents' Motion for Leave to File a Compilation of Motions, Briefs and Rulings
06-54		11/9/06		Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b)
06-53		11/9/06		Order For Sequestration of Witnesses
06-52		11/7/06		Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2
06-51		11/2/06		Order Regarding Hearing Procedures
06-50		11/1/06		Order Following Final Pre-Hearing Conference Modifying Order Precluding Respondents from Introducing Evidence at the Hearing and Dismissing the Third Cause of Complaint
06-49		10/23/06		Order Permitting Expert Testimony
06-48		10/20/06		Order Denying Complainant's Motion for Partial Summary Disposition
06-47		10/11/06		Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony
06-46		10/10/06		Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers
06-45		10/9/06		Order Deferring Ruling on Motion for Summary Disposition
06-44		10/4/06		Order Dismissing Defense and Granting Respondents Leave to File a Motion for Leave to Amend Their Request for Hearing
06-43		10/3/06		Order Directing Respondents to File Exhibits and Witness List in Compliance With Pre-Hearing Order, and Extending Related Deadlines
06-42		9/28/06		Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present
06-41		9/28/06		Order Deeming Defense as Abandoned, Hearing as Waived, and NASD Suspension Notice as Final
06-40		9/20/06		Order Clarifying Agenda for Pre-Hearing Conference
06-39		9/15/06		Order Overruling Objection to Telephonic Hearing
06-38		9/15/06		Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing
06-35		9/14/06		Order Denying Respondent Firm's Motions to Consolidate
06-37		9/13/06		Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference
06-36		9/8/06		Order Denying Respondent's Request for Leave to File Motion in Limine
06-34		9/1/06		Order Requiring Counsel to File Notice Pursuant to Rule 9142
06-33		8/18/06		Order Postponing Hearing
		5/31/06		Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice
CAF030007		5/5/06		Order Dismissing Complaint in Proceeding No. CAF040060, with Prejudice, and Directing Parties to Take Additional Steps in Proceeding No. CAF030007
06-32		4/25/06		Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine
06-31		4/18/06		Order Dismissing Request for Hearing
06-30		4/17/06		Order Denying Respondent's Motion to Disqualify Expert Witness
06-29		4/17/06		Order Directing the Respondents to File a Proper Answer to the Complaint
06-28		3/24/06		Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing
06-27		3/24/06		Order Regarding Respondent's Pre-Hearing Submissions
06-26		3/17/06		Order Partially Granting the Complainant's Motion to Disqualify Expert Witness
06-25		3/16/06		Order Granting the Parties' Motions for Leave to Introduce Testimony of Handwriting Experts and Denying Respondent's Motion to Introduce Testimony of a Polygraph Examiner
06-24		3/16/06		Order Denying Complainant's Motion to Continue Hearing
06-23		3/13/06		Order Denying Respondent's Motion for Summary Disposition
06-22		3/9/06		Order Granting Enforcement's Motion for Witness Sequestration
06-21		3/8/06		Order Granting Enforcement's Motion to Offer Testimony Via Telephone
06-20		3/3/06		Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report
06-19		2/9/06		Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information
06-18		2/8/06		Order Denying Respondents' Motion to Invoke Procedural Rule 8210
06-17		2/7/06		Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253
06-16		2/1/06		Order Denying Motion to Dismiss
06-15		1/31/06		Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision
06-14		1/20/06		Order Number 06-14 (C05050015) Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine
06-13		1/19/06		Order Establishing Procedure Governing Presentation of Expert Testimony
06-11		1/19/06		Order Prohibiting Use of Subpeonas
06-10		1/17/06		Order Denying Complainant's Motion for Appointment of Market Regulation Panelist
06-12		1/13/06		Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence
06-09		1/12/06		Order Denying Respondent's Motion for Discovery
06-08		1/12/06		Order Denying Complainant's Motion to Preclude the Respondent from Offering Evidence, Revising the Pre-Hearing Schedule, and Denying Respondent's Motion to Reconsider Denial of Motion to Compel Discovery
06-07		1/11/06		Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery
06-06		1/10/06		Order Denying Respondent's Motion to Disqualify Hearing Panelist
06-05		1/10/06		Order Denying Respondent's Motion to Compel Discovery
06-04		1/10/06		Order Requiring Respondent to Supplement His Rule 9252 Request
06-03		1/9/06		Order Denying Respondent's Motion to Set Aside Default
06-02		1/6/06		Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253
06-01		1/6/06		Order Denying Respondent's Motion to Adjourn Hearing