OHO Orders by Rule

Click on one of the rules below to see relevant OHO orders.
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FINRA Rule 8210 - Provision of Information and Testimony and Inspection and Copying of Books
Date of Decision Proceeding No. Title Order No.
Mar 14, 2005 CAF040079 Order Denying Respondent's Motion to Quash and Motion for a Protective Order 05-07
Nov 4, 2003 CAF030008 Order Granting Respondent's Motion to Quash Rule 8210 Request 03-23
Feb 14, 2001 CAF000045 Order Granting Motions to Quash 01-04
Jan 23, 2001 C10000172 Order Denying Motion to Quash 01-01
Aug 2, 2000 C3A990071 Protective Order Regarding Complainant's Rule 8210 Requests to Respondents 00-21
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits 99-06
Dec 2, 1998 C06980021 Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information 98-34
Feb 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 98-18

FINRA Rule 8310 - Sanctions for Violation of the Rules
Date of Decision Proceeding No. Title Order No.
Mar 12, 2006 CAF040079 Order Denying Respondent's Motion for Summary Disposition 06-23

FINRA Rule 9134 - Methods of, Procedures for Service
Date of Decision Proceeding No. Title Order No.
Sep 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing 06-39
Mar 9, 2000 C8A990032 Order Vacating Default Against Respondent, Granting Complainant Leave to Re-Serve the Complaint, and Setting a Briefing Schedule on the Issue of Jurisdiction 00-05
Sep 23, 1999 C02980034 Order Denying Motion for Entry Of Default Decision Against Respondent and Granting Enforcement Leave to Re-Serve the Complaint 99-16

FINRA Rule 9135 - Filing of Papers with Adjudicator: Procedure
Date of Decision Proceeding No. Title Order No.
Oct 12, 2004 CAF040056 Order Rejecting Filing 04-27
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike 98-20

FINRA Rule 9136 - Filing of Papers: Form
Date of Decision Proceeding No. Title Order No.
Oct 12, 2004 CAF040056 Order Rejecting Filing 04-27
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike 98-20

FINRA Rule 9141 - Appearance and Practice; Notice of Appearance
Date of Decision Proceeding No. Title Order No.
Jan 21, 1998 C10970176 Order as to Respondent 98-10
Dec 19, 1997 C01970032 Order Striking Answer Filed on Behalf of and Directing the Department of Enforcement to Send a Second Notice of Complaint 97-15

FINRA Rule 9142 - Withdrawal by Attorney or Representative
Date of Decision Proceeding No. Title Order No.
Oct 7, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent 97-3

FINRA Rule 9143 - Ex Parte Communications
Date of Decision Proceeding No. Title Order No.
Apr 29, 2002 C01010017 Order Pursuant To Conduct Rule 9143 02-07

FINRA Rule 9145 - Rules of Evidence; Official Notice
Date of Decision Proceeding No. Title Order No.
Aug 9, 2007 2005000323905 Order Regarding Respondent 2's Motions for Official Notice 07-35
Aug 4, 1998 CAF970011 Order Granting in Part and Denying in Part Complainant's Motion in Limine 98-26

FINRA Rule 9146 - Motions
Date of Decision Proceeding No. Title Order No.
Jul 28, 2016 2013035817701 Protective Order Governing Personal Confidential Information 16-19
Apr 8, 2010 200500224102 Order Limiting the Dissemination of Personal, Confidential Information 10-01
Oct 31, 2007 20070077587 Order Resolving Certain Pre-Hearing Motions 07-38
Oct 11, 2005 CAF040058 Order Granting Joint Motion for a Protective Order 05-33
May 17, 2005 C9B040098 Order Denying Relief Sought in Notice to Produce and Application for Protective Order 05-20
Jan 6, 2003 CAF020041 Order Granting the Department of Enforcement's Motion for a Protective Order 03-01

FINRA Rule 9148 - Interlocutory Review
Date of Decision Proceeding No. Title Order No.
Oct 18, 1999 CMS920002 Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order 99-20
Oct 2, 1998 CAF970011 Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding 98-28

FINRA Rule 9212 - Complaint Issuance - Requirements, Service, Amendment, Withdrawal, and Docketing
Date of Decision Proceeding No. Title Order No.
Jul 12, 2010 2008014621701 Order Granting Respondent 2's Motion to File a Reply and Denying Respondent 2's Motion for More Definite Statement 10-04
Apr 20, 2001 C10010004 Order Granting Complainant's Motion to Amend the Complaint; Denying Complainant's Motion for Leave to File a Reply to Respondent's Opposition to Motion to Amend; and Denying Respondent's Motion to Sever 01-08
Jan 27, 1998 CAF970011 Order Granting Department of Enforcement's Motion to Amend the Complaint 98-12

FINRA Rule 9213 - Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel
Date of Decision Proceeding No. Title Order No.
Nov 26, 2007 2005000323905 Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing 07-39
Jan 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist 06-10
Oct 30, 2005 CAF040079 Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists 05-36

FINRA Rule 9214 - Consolidation or Severance of Disciplinary Proceedings
Date of Decision Proceeding No. Title Order No.
Apr 17, 2003 C01020025 Order Denying Motion to Bifurcate Hearing 03-09
May 15, 2002 CAF010021 Order Denying Motion to Sever 02-10
Apr 20, 2001 C10010004 Order Granting Complainant's Motion to Amend the Complaint; Denying Complainant's Motion for Leave to File a Reply to Respondent's Opposition to Motion to Amend; and Denying Respondent's Motion to Sever 01-08
Jul 31, 2000 CMS960174 Order Denying Respondent's Motion to Sever and Preclude 00-20
May 7, 1999 CAF980031 Order Denying Motions to Sever 99-09
May 7, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action 99-08
Dec 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings 97-14

FINRA Rule 9215(b) - Affirmative Defenses
Date of Decision Proceeding No. Title Order No.
Sep 13, 2016 2012033105901 Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. 16-26
Apr 4, 2008 2005003437102 Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense 08-06
Jun 11, 2007 E102003025201 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 07-21
May 11, 2007 2005001449202 Interim Scheduling and Case Management Order 07-18

FINRA Rule 9215(b) - Content
Date of Decision Proceeding No. Title Order No.
Dec 28, 2006 2005001819101 Order Granting Complainant's Motion to Strike in Part the Introduction to Respondent's Answer 06-57
Apr 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint 06-29
Jun 28, 1999 CAF990007 Order Granting Respondents' Motion for Reconsideration 99-13

FINRA Rule 9215(c) - Motion for More Definite Statement
Date of Decision Proceeding No. Title Order No.
Oct 31, 2016 2014042524301 Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. 16-28
Dec 16, 2009 2008012955301 Order Denying Motion for More Definite Statement 09-05
Jul 2, 2007 2005000323905 Order Denying Respondent 1's Motion for a More Definite Statement 07-28
Feb 5, 2007 2005001305701 Order Denying the Respondents' Motion for a More Definite Statement 07-02
Dec 19, 2005 E1020010426-04 Order Denying Motion for More Definite Statement 05-44
Jun 10, 2005 C9B050020 Order Conditionally Denying Motion for More Definite Statement 05-25
Jun 7, 2005 C05050015 Order Granting Respondent 2's Motion for More Definite Statement 05-24
Jun 7, 2005 C05050015 Order Denying Respondent 1's Motion for More Definite Statement 05-23
Sep 27, 2004 C9B040080 Order Denying Motion for a more Definite Statement 04-21
Sep 26, 2003 CLI030017 Order Granting Part Respondents' Motion for More Definite Statement 03-18
May 21, 2003 CAF030007 Order Granting in Part and Denying in Part Respondent's Motion for More Definite Statement 03-13
Dec 26, 2002 CAF020042 Order Denying Motion for More Definite Statement 02-12
Sep 28, 2000 C10000140 Order Denying Motion for More Definite Statement 00-27
Apr 4, 2000 C0500006 Order Granting in Part Respondent Motion for More Definite Statement 00-09
Mar 10, 2000 C3A990067 Order Denying Respondent Second Motion for More Definite Statement 00-06
Jan 20, 1998 C10970158 Order Denying Motion for More Definite Statement 98-8
Nov 28, 1997 CAF970002 Order Denying Motions for More Definite Statement 97-10
Oct 29, 1997 C10970160 Order Denying Motion for a More Definite Statement 97-5

FINRA Rule 9215(d) - Amendments to Answer
Date of Decision Proceeding No. Title Order No.
Jun 1, 2004 C8A030100 Order Denying Motion for Leave to File Amended Answer 04-03

FINRA Rule 9215(e) - Extension of Time to Answer Amended Complaint
Date of Decision Proceeding No. Title Order No.
Dec 2, 1998 C06980021 Order Denying in Part and Granting in Part Respondent's Motion to Stay Default Decision, for an Extension of Time to File Answer, and for Extension of Time to Comply with Request for Information 98-34
Dec 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer 97-19
Nov 14, 1997 C10970141 Order Extending Time for Respondents to Answer 97-8
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List 97-7
Nov 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer 97-6
Sep 18, 1997 C10970158 Order Extending Time for Respondents to Answer 97-2
Sep 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer 97-1

FINRA Rule 9222 - Extensions of Time, Postponements, and Adjournments
Date of Decision Proceeding No. Title Order No.
Oct 31, 2016 2014042524301 Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. 16-28
Sep 7, 2016 2013038986001 Order Denying Respondent’s Motion to Continue Hearing 16‐25
Sep 7, 2011 2009017798201 Order Denying Respondent’s Motion for Stay of Hearing 11-08
Jun 1, 2011 2010021196801 Order Regarding Respondent’s Motion to Stay 11-07
Sep 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference 06-37
Aug 18, 2006 E0220030845-01 Order Postponing Hearing 06-33
Mar 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing 06-28
Mar 15, 2006 CLG050021 Order Denying Complainant's Motion to Continue Hearing 06-24
Jan 6, 2006 CLI050004 Order Denying Respondent's Motion to Adjourn Hearing 06-01
Nov 15, 2005 CMS040165 Order Denying Respondent's Motion for Reconsideration of Scheduling Order 05-38
Dec 15, 1997 C05970037 Order Denying Motion to Stay Proceeding 97-13
Nov 14, 1997 C10970141 Order Extending Time for Respondents to Answer 97-8
Nov 13, 1997 CAF970002 Order Regarding Motion of Respondents Requesting an Extension of Time to Answer, a More Definite Answer, and an Updated Service List 97-7
Nov 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer 97-6
Sep 18, 1997 C10970158 Order Extending Time for Respondents to Answer 97-2
Sep 15, 1997 C10970142 Order Denying Request for Extension of Time in Which to Answer 97-1

FINRA Rule 9232 - Criteria for Selection of Panelists and Replacement Panelists
Date of Decision Proceeding No. Title Order No.
Nov 26, 2007 2005000323905 Order Denying Motion (1) to Reassign, (2) for Additional Information Regarding Panelists, (3) to Permit Discovery and (4) for a Delay in the Hearing 07-39
Feb 28, 2007 2005001305701 Order Setting Philadelphia, Pa as Venue for Disciplinary Proceeding 07-08
Jan 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist 06-10
Oct 30, 2005 CAF040079 Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists 05-36

FINRA Rule 9233 - Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers
Date of Decision Proceeding No. Title Order No.
Aug 4, 2005 C9B040098 Order Denying Motion to Disqualify Hearing Officer 05-29
Feb 28, 2005 C9B040059 Order Denying Motion to Disqualify Hearing Officer Witherspoon 05-04
Jan 28, 2002 CAF010028 Order Denying Motion To Disqualify Hearing Officer 02-02
Jun 13, 2000 CMS000015 Notice of Withdrawal of Hearing Officer 00-13
Mar 31, 1999 C11970032 Order Denying Motion to Disqualify Hearing Officer 99-04
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer 98-15
Oct 29, 1997 CMS960105 Order Denying Motion for Disqualification of Hearing Officer 97-4

FINRA Rule 9234 - Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists
Date of Decision Proceeding No. Title Order No.
Jan 10, 2006 CLI050016 Order Denying Respondent's Motion to Disqualify Hearing Panelist 06-06
Feb 8, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist 99-02
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists 98-14

FINRA Rule 9235 - Hearing Officer Authority
Date of Decision Proceeding No. Title Order No.
Apr 7, 2017 2012035284301 Order Granting Enforcement’s Motion to Strike Respondent’s Post-Hearing Affidavit and Exhibits and Ordering Respondent to Resubmit Post-Hearing Brief. 17-09
Jan 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence 17-01
Jul 6, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses 12-03
Jun 13, 2007 20050000720-02 Order Prohibiting Use of Subpoenas 07-24
Jun 13, 2007 2006004494201 Order Quashing Post-Complaint Rule 8210 Request for Information 07-23
Nov 9, 2006 2005000316701 Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b) 06-54
Mar 9, 2006 CAF040079 Order Granting Enforcement's Motion for Witness Sequestration 06-22
Jan 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas 06-11
Jun 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 05-28
Jul 1, 2004 C9B030076 Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider 04-10
Jan 31, 2000 C9A990007 Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present 00-03
May 6, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum 98-23
Feb 5, 1998 CAF970002 Order Regarding Severance 98-17
Dec 15, 1997 CMS970028 Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List 97-12

FINRA Rule 9241 - Pre-Hearing Conference
Date of Decision Proceeding No. Title Order No.
Jan 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence 17-01
Jan 31, 2006 C3A030008 Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision 06-15
Jan 9, 2006 C8A050041 Order Denying Respondent's Motion to Set Aside Default 06-03

FINRA Rule 9242 - Pre-Hearing Submission
Date of Decision Proceeding No. Title Order No.
Jul 28, 2016 20120342425-01 Order Concerning Parties’ Motion for Leave to Present Expert Testimony 16-20
Mar 14, 2012 2009018771602 Order Denying Respondent’s Motion to Present Expert Witness 12-01
May 28, 2010 200011592201 Order Denying Respondents' Motion for Leave to Offer Expert Testimony 10-03
Feb 15, 2007 2005000316701 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 07-04
Feb 1, 2007 E3A20050065 Order Regarding Respondent's Pre-Hearing Submissions 07-01
Nov 7, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 06-52
Oct 31, 2006 2005000127502 Order Following Final Pre-Hearing Conference Modifying Order Precluding Respondents from Introducing Evidence at the Hearing and Dismissing the Third Cause of Complaint 06-50
Mar 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions 06-27
Dec 15, 2005 CE3050003 Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony 05-42
Mar 29, 2005 C01040017 Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing 05-11
Feb 24, 2005 C3A040023 Order Regarding Respondents' Pre-Hearing Submissions 05-03

FINRA Rule 9251 - Inspection and Copying of Documents in Possession of Staff
Date of Decision Proceeding No. Title Order No.
Apr 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
Mar 21, 2017 2014038847602 Order Denying Respondent’s Motion to Compel Discovery. 17-06
Mar 21, 2017 2014038847602 Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. 17-08
Mar 8, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. 17-04
Dec 14, 2016 2015044823501 Order Denying Respondent Beyn’s Motion for Additional Discovery. 16-33
Apr 5, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery 12-02
Mar 18, 2011 2007011413501 Order Denying the Respondents’ Motion to Compel Production of Documents; for Production of a List of Withheld Documents; and to Extend Deadlines and Hearing Dates 11-03
Oct 8, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents 10-06
Nov 24, 2009 2006006259501 Order Denying Respondent's Motion to Compel Production of List of Withheld Documents 09-04
Feb 15, 2008 2005003437102 Order Denying Respondent's Motion to Compel Production of Documents 08-01
Aug 16, 2007 E112005002003 Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents 07-36
Jul 13, 2007 2005001919501 Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents 07-29
Jun 26, 2007 20050000720-02 Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order 07-25
Jun 12, 2007 2005000191701 Order Denying Respondent 3's Two Discovery Requests 07-22
Jun 11, 2007 CAF040079 Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration 07-19
Mar 7, 2007 2005000316701 Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence 07-09
Feb 20, 2007 2005001305701 Order Denying Respondents' Three Discovery Motions 07-06
Feb 1, 2006 C02040032 Order Denying Motion to Dismiss 06-16
Jan 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery 06-09
Oct 11, 2005 C9B050022 Order Denying Respondent's Motion for Discovery 05-34
Jun 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 05-28
May 17, 2005 C9B040098 Order Denying Relief Sought in Notice to Produce and Application for Protective Order 05-20
Mar 29, 2005 C02040044 Order Denying Motion for List of Documents Withheld 05-10
Mar 14, 2005 CAF040079 Order Denying Respondent's Motion to Quash and Motion for a Protective Order 05-07
Oct 28, 2004 CAF040020 Order Ruling On Pre-Hearing Motions 04-29
Oct 6, 2004 CAF040002 Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply 04-26
Oct 4, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests 04-23
Jun 15, 2004 CAF030058 Order Granting Respondent's Motion for in Camera Inspection of Documents 04-05
Oct 26, 2003 CAF030011 Order Granting in Part Respondent 1 and Respondent 2's Motion for Production of Documents Under Rule 9251(a)(3) 03-21
Oct 15, 2003 CAF030008 Order Denying Respondent's Motion to Compel Production of Information Regarding Withheld Documents 03-20
Mar 30, 2003 C3B020015 Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery 03-05
Jan 17, 2003 CAF020007 Order Granting Motion for Reconsideration 03-02
Jan 30, 2002 C3A010036 Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents 02-03
Oct 4, 2001 CAF000045 Order Regarding Production of Documents 01-16
May 17, 2001 CAF000045 Order Denying Respondents' Motion to Compel the Production of Documents and for a List of Withheld Documents 01-13
Oct 10, 2000 CAF000030 Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief 00-31
Aug 28, 2000 C3A990071 Order Granting Respondents Motion in Limine Requesting Production of Documents 00-24
Jul 28, 2000 C9B000007 Order Denying Motion to Compel Production of Documents 00-19
Jun 14, 2000 C8A000022 Order Denying Respondent's Motion for Withheld Document List 00-14
Mar 28, 2000 C1000010 Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents 00-08
Sep 30, 1999 CMS920002 Order Directing Complainant to Comply with Rule 9251 99-19
Jun 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents 99-12
Apr 14, 1999 CAF980002 Order Granting Respondents' Motion to Compel Production of Rule 8210 Request, and Denying Respondents' Motion to Compel Production of Personnel File and to Preclude Enforcement's Exhibits 99-06
Apr 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents 99-05
Feb 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike 98-20
Feb 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 98-18
Jan 2, 1998 C10970158 Order Denying Motion to Compel Discovery 98-2

FINRA Rule 9252 - Requests for Information
Date of Decision Proceeding No. Title Order No.
Apr 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. 17-12
Apr 11, 2017 2014044985401 Order Granting Respondent’s Request for an Order of Production. 17-11
Apr 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
Mar 21, 2017 2014038847602 Order Denying Respondent’s Motion to Compel Discovery. 17-06
Mar 21, 2017 2014038847602 Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. 17-08
Mar 8, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. 17-04
Dec 28, 2016 2014042690502 Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. 16-34
Nov 14, 2016 2014040476901 Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. 16-30
May 20, 2016 2013038333001 Order Denying Respondent’s Motion for Request for Documents and Information 16-17
Mar 25, 2016 2015044379701 Order Denying Rule 9252 Request 16-14
Mar 11, 2016 2013038418201 Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents. 16-12
Mar 4, 2016 2013036836801 Order Denying Respondent’s Rule 9252 Request 16-10
Feb 29, 2016 2014043020901 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement 16-07
Feb 25, 2016 2014043020901 Order Denying Respondent’s Motion to Compel Production of Documents 16-08
Jan 27, 2015 2012034936005 Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion 15-05
Sep 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents 14-04
Jun 12, 2013 2011025780101 Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents 13-05
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents 13-03
May 2, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. 13-06
Aug 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents 12-04
Aug 27, 2008 2005003188901 Order Denying Respondent's Motion to Compel Production of Documents 08-12
Apr 4, 2008 2005003437102 Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing 08-08
Jun 26, 2007 20050000720-02 Order Denying Respondent 2's Motion to Compel Production of Documents and Directing Respondent 2 to Supplement His Motion for a Rule 9252 Order 07-25
Oct 31, 2006 2005000127502 Order Following Final Pre-Hearing Conference Modifying Order Precluding Respondents from Introducing Evidence at the Hearing and Dismissing the Third Cause of Complaint 06-50
Oct 11, 2006 EAF0400300001 Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony 06-47
Feb 9, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information 06-19
Feb 8, 2006 CAF040058 Order Denying Respondents' Motion to Invoke Procedural Rule 8210 06-18
Jan 12, 2006 C07050029 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 06-08
Jan 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery 06-07
Jan 10, 2006 E8A2004065102 Order Requiring Respondent to Supplement His Rule 9252 Request 06-04
Jan 10, 2006 CLI050016 Order Denying Respondent's Motion to Compel Discovery 06-05
Dec 14, 2005 C07050029 Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery 05-41
Jun 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 05-28
Jun 14, 2005 CAF040058 Order Prohibiting Use of Subpoenas 05-39
May 27, 2005 C06040023 Order Denying Request for Subpoena 05-22
Apr 7, 2005 CAF040058 Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents 05-15
Jan 14, 2005 CAF040058 Order Denying Respondents' Motion Pursuant to Rule 9252 and for an Extension of Time 05-01
Oct 4, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests 04-23
Sep 9, 2004 C9B040033 Order Requiring Respondent to Supplement his Rule 9252 Requests 04-17
Aug 17, 2004 C3A030050 Order Granting in Part, and Denying in Part, Respondent's Motion for Issuance of Rule 8210 Requests Pursuant to Rule 9252 04-14
Jun 10, 2004 C9B040020 Order Denying Respondents' Motion to Compel Discovery 04-04
Apr 23, 2004 C9B040033 Pre-Hearing Order 04-24
Sep 18, 2003 C3A030001 Order Denying Motion for Issuance of 8210 Requests 03-17
May 21, 2001 CAF000013 Order Denying Respondents' Motion For The Production Of Documents From Nasdaq And Requiring The Complainant To File A Declaration Certifying That It Has Complied With Rule 9251 01-14
May 11, 2001 C05010012 Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252 01-12
Oct 9, 2000 C07000023 Pre-Hearing Order 00-30
Jul 20, 2000 C3A000007 Order Denying Respondents' Motions to Compel Testimony 00-18
May 17, 2000 C10970143 Order Denying Respondents' Motion to Compel Production of Information and Documents from Customer Witnesses 00-12
Sep 27, 1999 CAF980002 Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 99-18
May 18, 1998 CAF970002 Order Denying Motions for Production of Documents Pursuant to Rule 9252 98-24
Jan 22, 1998 CMS970026 Order Granting the Department of Enforcement's Motion for Telephone Testimony, Denying Respondents' Motion for Use of an Expert Witness and Denying Respondents' Motion to Compel Production of Documents 98-11
Jan 2, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion 98-1

FINRA Rule 9253 - Production of Witness Statements
Date of Decision Proceeding No. Title Order No.
Apr 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
Mar 18, 2011 2007011413501 Order Denying the Respondents’ Motion to Compel Production of Documents; for Production of a List of Withheld Documents; and to Extend Deadlines and Hearing Dates 11-03
Oct 8, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents 10-06
Oct 14, 2009 2007009461301 Order Denying Respondent's Motion to Compel Production of Witness Statements 09-02
Feb 7, 2006 C05050008 Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 06-17
Jan 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery 06-07
Jan 6, 2006 C05050015 Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253 06-02
Dec 15, 2005 C05050005 Order Denying Respondent's Motion Under Rule 9253 05-43
Jun 15, 2004 CAF030058 Order Granting Respondent's Motion for in Camera Inspection of Documents 04-05
Mar 30, 2003 C3B020015 Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery 03-05
May 21, 2001 CAF000013 Order Denying Respondents' Motion For The Production Of Documents From Nasdaq And Requiring The Complainant To File A Declaration Certifying That It Has Complied With Rule 9251 01-14

FINRA Rule 9261 - Evidence and Procedure in Hearing
Date of Decision Proceeding No. Title Order No.
Oct 4, 2004 C9B040036 Order Granting Respondents Rule 9261(C) Request 04-22

FINRA Rule 9262 - Testimony
Date of Decision Proceeding No. Title Order No.
Mar 21, 2017 2013035817701 Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits. 17-07
Mar 16, 2017 201504421601 Order Denying Respondent’s Motion for Leave to Present Expert Testimony 17-05
Feb 24, 2017 2014042059701 Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. 17-03
Aug 30, 2016 2014043020901 Order Granting Enforcement’s Motion for Exception From Sequestration. 16-24
Jun 15, 2005 C3A040030 Order Denying Respondent's Motion to Re-Open Hearing and Denying Complainant's Motion to Strike Respondent's Testimony 05-26

FINRA Rule 9264 - Motion for Summary Disposition
Date of Decision Proceeding No. Title Order No.
Feb 7, 2017 2014042291901 Order Denying Respondents’ Motion for Summary Disposition. 17-02
Nov 4, 2016 2014039839101 Order Granting Enforcement’s Motion for Partial Summary Disposition. 16-29
Oct 14, 2016 201303641201 Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition 16-27
Feb 8, 2011 2006007105101 Order Denying Respondent’s Motion for Summary Disposition 11-02
Aug 8, 2008 E3A20030495-01 Order Denying Respondent's Motion to Dismiss the Complaint 08-11
Jun 12, 2008 2005001798201 Order Denying Respondent's Motion for Summary Disposition 08-10
Apr 4, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition 08-07
Oct 16, 2007 2005001919501 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition 07-37
Apr 18, 2007 C11040006 Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition 07-16
Mar 22, 2007 C10040052 Order Denying Respondents' Motion for Partial Summary Disposition 07-11
Nov 16, 2006 2005000316701 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 06-55
Oct 20, 2006 2005000127502 Order Denying Complainant's Motion for Partial Summary Disposition 06-48
Oct 9, 2006 20042000056-01 Order Deferring Ruling on Motion for Summary Disposition 06-45
Mar 12, 2006 CAF040079 Order Denying Respondent's Motion for Summary Disposition 06-23
Aug 5, 2005 C3A040045 Order Denying Respondent's Motion for Summary Disposition on the Issue of Restitution 05-30
Jul 7, 2004 C8A030100 Order Granting in Part and Deferring in Part Complainant's Motion for Summary Disposition, and Denying Respondents' Motion for Summary Disposition 04-11
Jun 24, 2004 CAF030055 Order Denying Enforcement's Motion for Summary Disposition 04-08
Mar 17, 2004 CAF030014 Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process 04-01
Apr 3, 2003 C3B020015 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition 03-06
May 14, 2002 C01010009 Order Deferring Decision On Complainant's Motion For Summary Disposition 02-09
May 1, 2001 C3A000056 Order Denying Motion for Reconsideration 01-10
Apr 20, 2001 C3A000056 Order Denying Motion to Dismiss, in Part, Deferring Decision on Motion, in Part, and Directing Enforcement to Supplement its Opposition 01-09
Jan 26, 2001 CAF000045 Order Denying Complainant's Motion to Strike Affirmative Defenses 01-02
Jul 6, 2000 C3A990067 Order Denying Motion for Summary Disposition 00-16
Jan 4, 2000 C10990121 Order Denying Enforcement's Motion For Summary Disposition 00-01
Dec 30, 1999 CAF990018 Order Denying Motion for Summary Disposition 99-21
Dec 26, 1997 CAF970001 Order Regarding Motion for Judgment on the Pleadings 97-17

FINRA Rule 9267 - Record; Supplemental Documents Attached to Record; Retention
Date of Decision Proceeding No. Title Order No.
Jun 15, 2005 C3A040030 Order Denying Respondent's Motion to Re-Open Hearing and Denying Complainant's Motion to Strike Respondent's Testimony 05-26
Aug 27, 1999 C02980024 Order Granting Complainant's Motion to Strike 99-14

FINRA Rule 9268 - Decision of Hearing Panel or Extended Hearing Panel
Date of Decision Proceeding No. Title Order No.
Nov 26, 2004 C9B030076 Order Denying Respondent's Amended Motion to Reconsider Order Denying Motion to Dismiss 04-09

FINRA Rule 9269 - Default Decisions
Date of Decision Proceeding No. Title Order No.
Sep 22, 2011 20090192254 Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision 11-09
Mar 18, 2008 2006005849101 Order Denying Motion to Set Aside Default Decision 08-04
Sep 20, 2006 ARB060029 Order Clarifying Agenda for Pre-Hearing Conference 06-40
Jan 31, 2006 C3A030008 Order Holding Respondent In Default and In Contempt, and Directing Complainant to File a Motion for Entry of Default Decision 06-15
Jan 9, 2006 C8A050041 Order Denying Respondent's Motion to Set Aside Default 06-03
Apr 6, 2001 C07000084 Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision 01-06

FINRA Rule 9270 - Settlement Procedure
Date of Decision Proceeding No. Title Order No.
Mar 27, 2008 C02050006 Order Approving and Forwarding Contested Offer of Settlement 08-05
Apr 30, 2003 C3B020015 Order Rejecting Contested Offer of Settlement 03-12
Sep 6, 2000 C8A000019 Order Convening Settlement Conference 00-25
Mar 1, 2000 C05990026 Order Rejecting Contested Offer of Settlement 00-04

FINRA Rule 9280 - Contemptuous Conduct
Date of Decision Proceeding No. Title Order No.
Nov 7, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 06-52
Oct 31, 2006 2005000127502 Order Following Final Pre-Hearing Conference Modifying Order Precluding Respondents from Introducing Evidence at the Hearing and Dismissing the Third Cause of Complaint 06-50
Mar 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing 06-28
Jan 12, 2006 C07050029 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 06-08
Sep 13, 2004 C3A030049 Order Precluding Evidence 04-18
Jan 17, 2003 CAF020007 Order Granting Motion for Reconsideration 03-02
Jan 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists 98-14

FINRA Rule 9500 - Other Proceedings
Date of Decision Proceeding No. Title Order No.
Jul 29, 2009 ARB090054 Order Dismissing Proceeding for Failure to State a Defense 09-01
Dec 7, 2007 ARB070050 Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect 07-41
Jun 13, 2007 ARB070023 Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final 07-30
Oct 4, 2006 ARB060029 Order Dismissing Defense and Granting Respondents Leave to File a Motion for Leave to Amend Their Request for Hearing 06-44
Sep 28, 2006 ARB060022 Order Deeming Defense as Abandoned, Hearing as Waived, and NASD Suspension Notice as Final 06-41
Sep 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing 06-39
Apr 18, 2006 ARB060010 Order Dismissing Request for Hearing 06-31
Apr 12, 2005 ARB050010 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 05-16
Mar 1, 2005 ARB050002 Order Granting Enforcement's Rule 9559(M) Motion and Dismissing Proceeding 05-05
Jan 14, 2005 ARB040045 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 05-02
Oct 19, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss 04-28
Oct 6, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 04-25
Mar 28, 2004 DFC040005 Order Denying Respondent's Motion to Dismiss the Suspension Proceeding 04-02
Feb 8, 2002 EQS010002 Order Granting Complainant's Motion To Dismiss 02-04

FINRA Rule 9800 - Temporary Cease and Desist Orders
Date of Decision Proceeding No. Title Order No.
Sep 17, 2004 CAF040056 Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order 04-20

General Provision 0115
Date of Decision Proceeding No. Title Order No.
Apr 4, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition 08-07
Oct 16, 2007 2005001919501 Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition and Denying Respondent's Motion for Summary Disposition 07-37
Dec 30, 1999 CAF990018 Order Denying Motion for Summary Disposition 99-21