2006 Office of Hearing Officers Disciplinary Orders

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  
CAF030007   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