2007 Office of Hearing Officers Disciplinary Orders

Order Number   Date
07-41   12/7/07   Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect  
07-40   12/6/07   Order to Show Cause  
07-39   11/26/07   Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing  
07-38   10/31/07   Order Resolving Certain Pre-Hearing Motions  
07-37   10/16/07   Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition  
07-36   8/16/07   Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents  
07-35   8/9/07   Order Regarding Respondent 2's Motions for Official Notice  
07-34   8/7/07   Order Regarding Post-Hearing Briefs  
07-33   8/7/07   Scheduling Order  
07-32   8/2/07   Order Establishing Pre-Hearing and Hearing Schedule and Procedures  
07-31   7/30/07   Order Overruling the Parties' Objections to Exhibits and Witnesses  
07-30   7/16/07   Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final  
07-29   7/13/07   Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents  
07-28   7/2/07   Order Denying Respondent 1's Motion for a More Definite Statement  
07-27   6/28/07   Procedural Pre-Hearing Order  
07-26   6/27/07   Order Regarding Pre-Hearing Motions  
07-25   6/26/07   Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order  
07-24   6/13/07   Order Prohibiting Use of Subpoenas  
07-23   6/13/07   Order Quashing Post-Complaint Rule 8210 Request for Information  
07-22   6/12/07   Order Denying Respondent 3's Two Discovery Requests  
07-21   6/11/07   Order Ruling on (1) Objections to Witnesses, (2) Motion to Substitute Exhibit, (3) Motions in Limine, and (4) Motions to Strike the Respondents' Affirmative Defenses  
07-20   5/17/07   Order Denying Respondents' Request for Leave to Offer Expert Testimony  
07-19   5/11/07   Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration  
07-18   5/9/07   Interim Scheduling and Case Management Order  
07-17   5/3/07   Initial Case-Management Order  
07-16   4/18/07   Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition  
07-14   4/11/07   Order Granting in Part Respondent's Motion to Exceed Time Limits for Specific Witnesses and Denying Motion for Reconsideration of Total Number of Witnesses to Be Called  
07-13   3/28/07   Order Regarding Witnesses  
07-12   3/27/07   Order Regarding Pre-Hearing Motions  
07-11   3/22/07   Order Denying Respondents' Motion for Partial Summary Disposition  
07-10   3/16/07   Order Requiring Counsel to File Notice of Representation or Withdrawal  
07-09   3/7/07   Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence  
07-08   2/28/07   Order Setting Philadelphia, Pa as Venue for Disciplinary Proceeding  
07-07   2/22/07   Order Granting the Parties' Motions for Telephone Testimony and Deferring Ruling on Respondent's Objection to Enforcement's Proposed Exhibit CX-7  
07-06   2/20/07   Order Denying Respondents' Three Discovery Motions  
07-05   2/16/07   Order Ruling on Respondents' Motions to Strike Department of Enforcement's Exhibits  
07-04   2/15/07   Order Ruling on Department of Enforcement's (1) Objections to Witnesses and Documents, (2) Motion to Partially Strike Respondents' Pre-Hearing Brief, (3) Motion in Limine, and (4) Motion for Ruling on the Admissibility of Documents and Business Records  
07-03   2/13/07   Order Denying Respondents' Motion for Leave to Offer Expert Testimony  
07-02   2/5/07   Order Denying the Respondents' Motion for a More Definite Statement  
07-01   2/1/07   Order Regarding Respondent's Pre-Hearing Submissions