OHO Orders by Topic
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 20, 2016 | 2015044960501 | Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. | 16-01 |
May 18, 2011 | 2007010580702 | Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony | 11-06 |
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 |
Jan 20, 2006 | C05050015 | Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine | 06-14 |
Apr 4, 2005 | CAF040002 | Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model | 05-13 |
Oct 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | 03-22 |
Jul 31, 2000 | CMS960174 | Order Denying Respondent's Motion to Sever and Preclude | 00-20 |
Mar 26, 2000 | CAF980002 | Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages | 00-07 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Dec 20, 2017 | 2016047565702 | Order Regarding Motion for Order Directing Zipper to File a Proposed Answer | 17-14 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
Jun 30, 2005 | C05050015 | Order Denying Motions to Quash | 05-27 |
May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | 05-21 |
Jul 1, 2004 | C9B030076 | Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider | 04-10 |
Jun 22, 2004 | C9B030076 | Order Dismissing Affirmative Defense | 04-07 |
Jun 1, 2004 | C8A030100 | Order Denying Motion for Leave to File Amended Answer | 04-03 |
Apr 8, 2003 | CAF020023 | Order Granting Complainant's Motion in Limine | 03-08 |
Apr 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
Jan 26, 2001 | CAF000045 | Order Denying Complainant's Motion to Strike Affirmative Defenses | 01-02 |
Jul 7, 1999 | C8A990015 | Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses | 99-10 |
Apr 27, 1999 | C11970032 | Order Granting Motion to Strike Affirmative Defenses | 99-07 |
Oct 2, 1998 | CAF980022 | Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss | 98-29 |
Dec 26, 1997 | CAF970001 | Order Regarding Motion for Judgment on the Pleadings | 97-17 |
Dec 26, 1997 | CAF970001 | Order Regarding Motion to Strike Affirmative Defenses | 97-18 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Dec 8, 2014 | 2011030781201 | Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer | 14-07 |
Jun 1, 2004 | C8A030100 | Order Denying Motion for Leave to File Amended Answer | 04-03 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Sep 30, 1999 | CMS920002 | Order Directing Complainant to Comply with Rule 9251 | 99-19 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Nov 18, 2005 | CAF040058 | Order Regarding Admissibility of Tape Recordings and Transcripts | 05-40 |
Oct 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
Feb 7, 2003 | C07020067 | Order Granting Motion in Limine | 03-14 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Feb 5, 1998 | CAF970002 | Order Regarding Severance | 98-17 |
Dec 29, 1997 | CAF970002 | Order Regarding Respondent Motion for an Extension of Time to Answer | 97-19 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
Aug 16, 2007 | E112005002003 | Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents | 07-36 |
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 |
Mar 17, 2004 | CAF030014 | Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process | 04-01 |
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 |
Oct 4, 2001 | CAF000045 | Order Regarding Production of Documents | 01-16 |
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 17, 2001 | CAF000045 | Order Denying Respondents' Motion to Compel the Production of Documents and for a List of Withheld Documents | 01-13 |
Jul 28, 2000 | C9B000007 | Order Denying Motion to Compel Production of Documents | 00-19 |
Jun 21, 1999 | CAF980002 | Order Denying Respondents' Motion to Compel Production of Documents | 99-12 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 2, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | 05-06 |
Sep 17, 2004 | CAF040056 | Order Denying Respondent's Application to Vacate the Temporary Cease and Desist Order | 04-20 |
Aug 2, 2004 | CAF040056 | Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | 04-13 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jan 13, 2006 | CLI050016 | Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence | 06-12 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 3, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 4, 2008 | 2005003437102 | Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing | 08-08 |
Feb 8, 2006 | CAF040058 | Order Denying Respondents' Motion to Invoke Procedural Rule 8210 | 06-18 |
Jun 23, 2005 | C3A040045 | Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 | 05-28 |
May 27, 2005 | C06040023 | Order Denying Request for Subpoena | 05-22 |
Jun 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | 04-06 |
Apr 23, 2004 | C9B040033 | Pre-Hearing Order | 04-24 |
Oct 9, 2000 | C07000023 | Pre-Hearing Order | 00-30 |
Jul 20, 2000 | C3A000007 | Order Denying Respondents' Motions to Compel Testimony | 00-18 |
Sep 27, 1999 | CAF980002 | Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 | 99-18 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Oct 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | 07-38 |
May 11, 2007 | 2005001449202 | Interim Scheduling and Case Management Order | 07-18 |
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 |
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 | C8A990015 | Order Denying Respondent's Motion for Separate Proceedings and Stay of Action | 99-08 |
May 7, 1999 | CAF980031 | Order Denying Motions to Sever | 99-09 |
Feb 5, 1998 | CAF970002 | Order Regarding Severance | 98-17 |
Dec 18, 1997 | C05970037 | Order Granting Motion for Consolidation of Disciplinary Proceedings | 97-14 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jun 4, 2003 | C9A030006 | Order Denying Motion for Summary Disposition | 03-15 |
Apr 17, 2001 | CAF000013 | Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents | 01-07 |
Jun 28, 1999 | CAF990007 | Order Granting Respondents' Motion for Reconsideration | 99-13 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jul 28, 2016 | 2013035817701 | Protective Order Governing Personal Confidential Information | 16-19 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
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 3, 2003 | C3B020015 | Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition | 03-06 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Nov 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | 16-31 |
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 |
Jan 2, 2013 | 2009019108901 | Order Denying Motion by Respondent 1 for an Extension of Time – Hearing | 13-01 |
Oct 17, 2012 | 2010024320101 | Order to Provide Verification in Support of Request for Continuance of Hearing | 12-05 |
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 |
Mar 22, 2007 | C10040052 | Order Denying Respondents' Motion for Partial Summary Disposition | 07-11 |
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 |
May 5, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | CAF030007 |
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 |
Jan 14, 2003 | C9A020018 | Order Denying Request for Postponement of Hearing | 03-03 |
Aug 3, 2000 | C01000003 | Order Denying Respondents' Request for a Second Continuance of the Hearing | 00-22 |
Oct 23, 1998 | C06980015 | Order Denying Motion to Stay Proceeding | 98-31 |
Oct 2, 1998 | CAF970011 | Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding | 98-28 |
Mar 10, 1998 | CMS970026 | Final Pre-Hearing Conference Order, Order Granting Respondents' Motion to Adjourn the March 17, 1998 Hearing, Order Rejecting Respondents' Contested Offer of Settlement, and Order Denying the Department of Enforcement's Motion for Partial Summary Disposition | 98-21 |
Feb 2, 1998 | C04970029 | Order Staying Proceeding | 98-16 |
Jan 8, 1998 | C10970172 | Order Denying Respondent's Request for Indefinite Postponement | 98-3 |
Dec 15, 1997 | C05970037 | Order Denying Motion to Stay Proceeding | 97-13 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
May 18, 2011 | 2007010580702 | Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony | 11-06 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Aug 24, 2016 | 2014043020901 | Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony | 16-23 |
Feb 8, 2011 | 2006007105101 | Order Denying Respondent’s Motion for Summary Disposition | 11-02 |
Sep 8, 2008 | 2006005523401 | Order Granting Enforcement's Motion to Permit Counsel for Non-Party Witnesses to Appear at Hearing | 08-13 |
Sep 28, 2006 | E8A2003091501 | Order Granting Motion for to Permit Certain Witnesses to Have Counsel Present | 06-42 |
Oct 5, 2005 | CLG050049 | Order Regarding Attendance of Wittnesses' Counsel at Hearing | 05-32 |
Jan 31, 2000 | C9A990007 | Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present | 00-03 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 17, 2001 | CAF000013 | Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents | 01-07 |
Feb 15, 2001 | CMS000157 | Order Granting Respondent's Motion to Exclude Documents | 01-05 |
Oct 23, 1998 | C06980015 | Order Denying Motion to Stay Proceeding | 98-31 |
Feb 2, 1998 | C04970029 | Order Staying Proceeding | 98-16 |
Jan 8, 1998 | C10970172 | Order Denying Respondent's Request for Indefinite Postponement | 98-3 |
Dec 15, 1997 | C05970037 | Order Denying Motion to Stay Proceeding | 97-13 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Dec 20, 2017 | 2016047565702 | Order Regarding Motion for Order Directing Zipper to File a Proposed Answer | 17-14 |
Jul 18, 2000 | C10000046 | Order Regarding Respondent's Motion for Leave to File a Late Answer | 00-17 |
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 |
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 |
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 |
Mar 26, 2000 | CAF980002 | Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages | 00-07 |
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 |
Jan 6, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | 99-01 |
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 |
Sep 16, 1998 | C9A970045 | Order Denying Motion for Entry of Default Decision | 98-27 |
Jan 13, 1998 | C10970141 | Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision | 98-5 |
Jan 12, 1998 | C3A970074 | Order Setting Second Pre-Hearing Conference | 98-4 |
Dec 9, 1997 | C10970128 | Order Regarding Department of Enforcements Contact with Respondent's Counsel | 97-11 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Nov 14, 2016 | 2014040476901 | Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. | 16-30 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jun 3, 2013 | 2009019042402 | Order Denying Respondent’s Motion to Disqualify Josefina Martinez and Motion to Compel Testimony and Production of Documents by Josefina Martinez | 13-04 |
May 18, 2011 | 2007010580702 | Order Granting Enforcement’s Motion Concerning the Testimony of MO, MB, and JF, and Denying the Respondent’s Motion to Exclude Their Testimony | 11-06 |
Aug 19, 2005 | CMS040165 | Order on Remand From the National Adjudicatory Council Granting Complinant's Motion to Disqualify Counsel for Respondents 1 and 2 | 05-31 |
Oct 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
Oct 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | 03-22 |
Apr 30, 2003 | CMS020143 | Order Denying Complainant's Motion to Disqualify Counsel | 03-10 |
Jul 20, 1998 | C10970141 | Order Regarding Pre-Hearing Conference | 98-25 |
Jan 29, 1998 | CAF970011 | Order Denying Motion to Disqualify Counsel for Complainant and Hearing Panelists | 98-14 |
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 |
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 |
Jan 29, 1998 | CAF970011 | Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer | 98-15 |
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 | 2014042524301 | Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions | 17-10 |
Apr 11, 2017 | 2014044985401 | Order Granting Respondent’s Request for an Order of Production. | 17-11 |
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. | 13-06 |
May 2, 2013 | 2009017529101 | Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents | 13-03 |
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 |
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 |
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 |
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 |
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 |
May 17, 2000 | C10970143 | Order Denying Respondents' Motion to Compel Production of Information and Documents from Customer Witnesses | 00-12 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 2, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | 05-06 |
Oct 18, 1999 | CMS920002 | Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order | 99-20 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Aug 8, 2008 | E3A20030495-01 | Order Denying Respondent's Motion to Dismiss the Complaint | 08-11 |
Apr 4, 2008 | 2005003437102 | Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense | 08-06 |
Oct 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | 03-22 |
May 10, 2001 | C3A000056 | Order Denying Motion to Dismiss | 01-11 |
May 1, 2001 | C3A000056 | Order Denying Motion for Reconsideration | 01-10 |
Jul 7, 1999 | C8A990015 | Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses | 99-10 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 29, 2002 | C01010017 | Order Pursuant To Conduct Rule 9143 | 02-07 |
Mar 31, 1999 | C11970032 | Order Denying Motion to Disqualify Hearing Officer | 99-04 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jun 27, 2007 | E102003025201 | Order Regarding Pre-Hearing Motions | 07-26 |
Feb 16, 2007 | 2005000316701 | Order Ruling on Respondents' Motions to Strike Department of Enforcement's Exhibits | 07-05 |
Apr 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | 06-32 |
Oct 30, 2005 | C3A040045 | Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine | 05-37 |
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 |
Dec 28, 2016 | 2014042690502 | Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. | 16-34 |
Jul 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | 16-20 |
Feb 22, 2016 | 2014040501801 | Order Denying Motion for Permission to Present Expert Testimony | 16-06 |
Feb 3, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | 15-04 |
Nov 9, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | 12-07 |
May 16, 2011 | 2007011413501 | Order Denying Respondents’ Motion to Exclude Certain Portions of the Expert Report of HGF and to Preclude His Expert Testimony on the Issue of Suitability | 11-05 |
Oct 23, 2006 | EAF0300770001 | Order Permitting Expert Testimony | 06-49 |
Apr 17, 2006 | E0220030425-01 | Order Denying Respondent's Motion to Disqualify Expert Witness | 06-30 |
Apr 12, 2006 | CLG050021 | Order Partially Granting the Complainant's Motion to Disqualify Expert Witness | 06-26 |
Mar 15, 2006 | E0220030425-01 | 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 | 06-25 |
Oct 19, 2005 | CAF040058 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | 05-35 |
May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | 05-21 |
Apr 5, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | 05-14 |
Jul 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | 04-12 |
Oct 15, 2003 | C01020022 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | 03-19 |
Jul 17, 1999 | C8A990015 | Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony | 99-11 |
Mar 22, 1999 | C02980073 | Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony | 99-03 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
Jul 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | 16-20 |
Jan 29, 2016 | 2014040295201 | Order Denying Respondents’ Motion for Expert Testimony | 16-02 |
Apr 8, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | 15-08 |
Sep 9, 2014 | 2011025617702 | Order Denying Respondents’ Motion to Permit Expert Testimony | 14-05 |
Mar 14, 2012 | 2009018771602 | Order Denying Respondent’s Motion to Present Expert Witness | 12-01 |
Mar 24, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Leave to Offer Expert Testimony | 11-04 |
May 28, 2010 | 200011592201 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 10-03 |
Feb 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | 08-02 |
May 17, 2007 | E102003025201 | Order Denying Respondents' Request for Leave to Offer Expert Testimony | 07-20 |
Feb 13, 2007 | 2005000094001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 07-03 |
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 |
Mar 15, 2006 | E0220030425-01 | 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 | 06-25 |
Mar 3, 2006 | E9B2003033501 | Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report | 06-20 |
Jan 20, 2006 | C05050015 | Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine | 06-14 |
Dec 15, 2005 | CE3050003 | Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony | 05-42 |
May 5, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | 05-19 |
Apr 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | 05-17 |
Apr 7, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | 05-15 |
Mar 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | 05-11 |
Jul 7, 2003 | CAF020053 | Order on Respondent's Expert Witness Designation | 03-16 |
Apr 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
Apr 4, 2002 | C02010041 | Pre-Hearing Order | 02-05 |
May 23, 2001 | CAF000013 | Order Granting Complainant's Motion to Preclude the Introduction of Expert Testimony | 01-15 |
Oct 6, 2000 | C9B000013 | Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony | 00-29 |
Jul 5, 2000 | C01000003 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-15 |
May 5, 2000 | CAF990007 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-11 |
Mar 10, 1998 | C05970035 | Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses | 98-22 |
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 |
Nov 15, 1997 | C07970055 | Final Pre-hearing Conference Order | 97-9 |
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 |
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 |
Dec 14, 2016 | 2015044823501 | Order Denying Respondent Beyn’s Motion for Additional Discovery. | 16-33 |
May 20, 2016 | 2013038333001 | Order Denying Respondent’s Motion for Request for Documents and Information | 16-17 |
Mar 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | 16-15 |
Feb 3, 2016 | 2012033393401 | Order Granting in Part and Denying in Part Respondent’s Motion in Limine to Exclude the Testimony of KA, BS, and MC. | 16-04 |
Jan 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | 14-03 |
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 |
Jun 13, 2007 | 20050000720-02 | Order Prohibiting Use of Subpoenas | 07-24 |
Jun 12, 2007 | 2005000191701 | Order Denying Respondent 3's Two Discovery Requests | 07-22 |
Apr 18, 2007 | C11040006 | Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition | 07-16 |
Mar 7, 2007 | 2005000316701 | Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence | 07-09 |
Jan 19, 2006 | EAF0400300001 | Order Prohibiting Use of Subpeonas | 06-11 |
Jun 14, 2005 | CAF040058 | Order Prohibiting Use of Subpoenas | 05-39 |
May 17, 2005 | C9B040098 | Order Denying Relief Sought in Notice to Produce and Application for Protective Order | 05-20 |
Mar 30, 2003 | C3B020015 | Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery | 03-05 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Nov 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | 16-31 |
Sep 7, 2016 | 2013038986001 | Order Denying Respondent’s Motion to Continue Hearing | 16‐25 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
Feb 16, 2007 | 2005000316701 | Order Ruling on Respondents' Motions to Strike Department of Enforcement's Exhibits | 07-05 |
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 |
Oct 30, 2005 | C3A040045 | Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine | 05-37 |
Oct 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
Aug 4, 1998 | CAF970011 | Order Granting in Part and Denying in Part Complainant's Motion in Limine | 98-26 |
Nov 15, 1997 | C07970055 | Final Pre-hearing Conference Order | 97-9 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jan 20, 1998 | C10970161 | Order | 98-7 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Oct 2, 1998 | CAF970011 | Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding | 98-28 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 20, 2007 | 2005001305701 | Order Denying Respondents' Three Discovery Motions | 07-06 |
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 |
Oct 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Feb 8, 2011 | 2006007105101 | Order Denying Respondent’s Motion for Summary Disposition | 11-02 |
Feb 25, 2010 | 20080121376 | Order Denying Motion to Dismiss | 10-05 |
May 8, 2002 | C10010145 | Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction | 02-08 |
Jan 22, 2002 | C8A010066 | Order Denying Respondent's Motion To Dismiss | 02-01 |
Apr 17, 2001 | CAF000013 | Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents | 01-07 |
Dec 22, 1998 | C9A980032 | Order Denying Respondent's Motion to Dismiss for Lack of Jurisdiction | 98-33 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Feb 8, 2002 | EQS010002 | Order Granting Complainant's Motion To Dismiss | 02-04 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Nov 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | 16-31 |
Oct 14, 2016 | 201303641201 | Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition | 16-27 |
Sep 7, 2016 | 2013038986001 | Order Denying Respondent’s Motion to Continue Hearing | 16‐25 |
Aug 30, 2016 | 2014043020901 | Order Granting Enforcement’s Motion for Exception From Sequestration. | 16-24 |
Aug 16, 2016 | 2014039173301 | Case Management and Scheduling Order | 16-22 |
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 30, 2014 | 20080148227-02 | Order Granting, in Part, and Denying in Part, Respondents 1, 4, 2’s Motions for More Definite Statement and Denying Respondent 3’s Motion for More Definite Statement | 14-09 |
Dec 1, 2014 | 2011025676501 | Order Granting, In Part, Motion for More Definite Statement | 14-06 |
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 |
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 |
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 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 5, 2012 | 2011029760201 | Order Denying Respondent’s Motion for Leave to Serve Limited Discovery | 12-02 |
Oct 10, 2000 | CAF000030 | Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief | 00-31 |
Mar 28, 2000 | C1000010 | Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents | 00-08 |
Feb 17, 1998 | C9B970016 | Order Regarding Production Under Rule 9251 | 98-18 |
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 |
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 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jan 28, 2016 | 2015044379701 | Order Denying Motion to Dismiss | 16-03 |
Mar 18, 2015 | DFC140002 | Order Granting Complainant’s Motion to Dismiss Hearing Request | 15-01 |
Mar 28, 2007 | CAF040079 | Order Regarding Witnesses | 07-13 |
Feb 28, 2007 | 2005001305701 | Order Setting Philadelphia, Pa as Venue for Disciplinary Proceeding | 07-08 |
Sep 15, 2006 | ARB060023 | Order Overruling Objection to Telephonic Hearing | 06-39 |
Sep 1, 2006 | E0220030845-01 | Order Requiring Counsel to File Notice Pursuant to Rule 9142 | 06-34 |
Sep 27, 1999 | C02990022 | Order Denying Respondent's Request for Financial Assistance to Attend Hearing | 99-17 |
Sep 21, 1999 | CAF980002 | Order Regarding Court Reporting Services for the Hearing | 99-15 |
Feb 25, 1998 | C10970033 | Order Directing Written Submissions in Place of Hearing | 98-19 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 11, 2017 | 2014044985401 | Order Granting Respondent’s Request for an Order of Production. | 17-11 |
Dec 28, 2016 | 2014042690502 | Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. | 16-34 |
Feb 13, 2015 | 2013036217601 | Order Granting in Part and Denying in Part Enforcement’s Motion to Compel Respondent’s Compliance with a Post-Complaint Rule 8210 Request for Testimony | 15-03 |
Mar 13, 2013 | 2011026874301 | Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense | 13-02 |
Oct 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | 07-38 |
Jun 13, 2007 | 2006004494201 | Order Quashing Post-Complaint Rule 8210 Request for Information | 07-23 |
May 11, 2007 | 2005001449202 | Interim Scheduling and Case Management Order | 07-18 |
Apr 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | 06-32 |
Jun 30, 2005 | C05050015 | Order Denying Motions to Quash | 05-27 |
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 |
Sep 27, 1999 | CAF980002 | Order Denying Respondents' Motion for Reconsideration Regarding Invocation of Rule 8210 Pursuant to Rule 9252 | 99-18 |
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 |
May 6, 1998 | C10970141 | Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum | 98-23 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 30, 2005 | CAF040002 | Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 | 05-12 |
Jun 10, 2004 | C9B040020 | Order Denying Respondents' Motion to Compel Discovery | 04-04 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
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 |
Mar 23, 2006 | E102003130804 | Order Regarding Respondent's Pre-Hearing Submissions | 06-27 |
Feb 24, 2005 | C3A040023 | Order Regarding Respondents' Pre-Hearing Submissions | 05-03 |
Oct 12, 2004 | CAF040056 | Order Rejecting Filing | 04-27 |
Oct 4, 2004 | C9B040036 | Order Granting Respondents Rule 9261(C) Request | 04-22 |
Sep 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | 04-19 |
Sep 13, 2004 | C3A030049 | Order Precluding Evidence | 04-18 |
Mar 19, 2003 | C3A020039 | Order Regarding Complainant's Motion for a Preclusion Order | 03-04 |
Feb 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | 01-03 |
Jan 6, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | 99-01 |
Jan 20, 1998 | C10970161 | Order | 98-7 |
Dec 15, 1997 | CMS970028 | Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List | 97-12 |
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 |
Feb 16, 2016 | 20080148227-02 | Order Denying Respondents’ Preclusion Motion | 16-05 |
Dec 22, 2015 | 2014040968501 | Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing | 15-15 |
Sep 21, 2015 | 20080148227-02 | Order Granting Respondents’ Preclusion Motion | 15-12 |
Nov 11, 2009 | 2007007255603 | Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits | 09-03 |
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 |
Nov 18, 2005 | CAF040058 | Order Regarding Admissibility of Tape Recordings and Transcripts | 05-40 |
Mar 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | 05-11 |
Oct 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
Sep 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | 04-19 |
Sep 13, 2004 | C3A030049 | Order Precluding Evidence | 04-18 |
Mar 17, 2004 | CAF030014 | Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process | 04-01 |
Dec 22, 2003 | 03-03 | Hearing Panel Decision as to Respondent | |
Sep 8, 2003 | 03-02 | Hearing Panel Decision as to Respondent | |
Mar 19, 2003 | C3A020039 | Order Regarding Complainant's Motion for a Preclusion Order | 03-04 |
Jan 17, 2003 | CAF020007 | Order Granting Motion for Reconsideration | 03-02 |
Apr 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
Feb 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | 01-03 |
Jan 6, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | 99-01 |
Jan 20, 1998 | C10970161 | Order | 98-7 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 7, 2007 | 2005000316701 | Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence | 07-09 |
Jun 30, 2005 | C05050015 | Order Denying Motions to Quash | 05-27 |
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 |
Sep 8, 2003 | 03-02 | Hearing Panel Decision as to Respondent | |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Jul 28, 2016 | 2013035817701 | Protective Order Governing Personal Confidential Information | 16-19 |
Oct 1, 2015 | 2013035344201 | Protective Order Governing Personal Confidential Information | 15-13 |
Jul 16, 2014 | 2012033128703 | Order Granting Motion to Limit Dissemination and Use of Personal Confidential Information | 14-02 |
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 |
Mar 17, 2005 | CMS040202 | Order Denying Motion for Order to Cease and Desist | 05-08 |
Aug 19, 2003 | 03-01 | Hearing Panel Decision as to Respondent | |
Jan 6, 2003 | CAF020041 | Order Granting the Department of Enforcement's Motion for a Protective Order | 03-01 |
May 11, 2001 | C05010012 | Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252 | 01-12 |
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 |
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 |
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 |
Dec 28, 2006 | E8A2003084806 | Order Granting Complainant's Motion in Limine | 06-58 |
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 |
Jan 13, 2006 | CLI050016 | Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence | 06-12 |
Oct 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | 03-22 |
Apr 30, 2003 | CMS020143 | Order Denying Complainant's Motion in Limine | 03-11 |
Feb 15, 2001 | CMS000157 | Order Granting Respondent's Motion to Exclude Documents | 01-05 |
Mar 10, 1998 | C05970035 | Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses | 98-22 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Sep 30, 1999 | CMS920002 | Order Directing Complainant to Comply with Rule 9251 | 99-19 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Aug 15, 2016 | 2013038986001 | Order Rejecting Offer of Settlement | 16-21 |
Mar 27, 2008 | C02050006 | Order Approving and Forwarding Contested Offer of Settlement | 08-05 |
Dec 28, 2006 | E8A2003084806 | Order Granting Complainant's Motion in Limine | 06-58 |
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 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Dec 10, 2014 | 2011026386001 | Order Appointing Replacement Hearing Officer, Amending Caption, and Setting Hearing Dates | 14-08 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 30, 2010 | 2008013503101 | Order Denying Respondent's Motions for Leave to Seek and Retain Counsel and to Adjourn and Retain Counsel | 10-02 |
Mar 16, 2007 | C02050006 | Order Requiring Counsel to File Notice of Representation or Withdrawal | 07-10 |
Dec 22, 2003 | 03-03 | Hearing Panel Decision as to Respondent | |
Jan 14, 2003 | C9A020018 | Order Denying Request for Postponement of Hearing | 03-03 |
Jan 21, 1998 | C10970176 | Order as to Respondent | 98-10 |
Dec 9, 1997 | C10970128 | Order Regarding Department of Enforcements Contact with Respondent's Counsel | 97-11 |
Oct 7, 1997 | C3A970066 | Order Granting Motion to Withdraw as Counsel to Respondent | 97-3 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Dec 20, 2017 | 2016047565702 | Order Regarding Motion for Order Directing Zipper to File a Proposed Answer | 17-14 |
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 |
Feb 23, 2015 | 2010024522103 | Order Denying Respondents’ Motion Pursuant to Rule 9251 | 15-02 |
Feb 15, 2008 | 2005003437102 | Order Denying Respondent's Motion to Compel Production of Documents | 08-01 |
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 11, 2007 | CAF040079 | Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration | 07-19 |
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 |
Oct 4, 2001 | CAF000045 | Order Regarding Production of Documents | 01-16 |
Aug 28, 2000 | C3A990071 | Order Granting Respondents Motion in Limine Requesting Production of Documents | 00-24 |
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 |
Jan 2, 1998 | C10970158 | Order Denying Motion to Compel Discovery | 98-2 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 8, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | 15-09 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Aug 30, 2016 | 2014043020901 | Order Granting Enforcement’s Motion for Exception From Sequestration. | 16-24 |
Jul 6, 2012 | 2010024889501 | Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses | 12-03 |
Feb 29, 2008 | 20070077587 | Rulings on Pre-Hearing Motions and Notice of Hearing | 08-03 |
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 |
Nov 9, 2006 | EAF0300770001 | Order For Sequestration of Witnesses | 06-53 |
Mar 9, 2006 | CAF040079 | Order Granting Enforcement's Motion for Witness Sequestration | 06-22 |
Dec 15, 1997 | CMS970028 | Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List | 97-12 |
Nov 15, 1997 | C07970055 | Final Pre-hearing Conference Order | 97-9 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Oct 10, 2006 | EAF0400300001 | Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers | 06-46 |
Sep 15, 2006 | ARB060023 | Order Overruling Objection to Telephonic Hearing | 06-39 |
Apr 6, 2001 | C07000084 | Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision | 01-06 |
Mar 26, 2000 | CAF980002 | Order Regarding Respondents' Motion to Preclude Designation of Transcripts; Respondents' Motion for a Protective Order; and Enforcement's Motion for Post-Hearing Submissions in Excess of Twenty-Five Pages | 00-07 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 18, 2007 | C11040006 | Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition | 07-16 |
Jan 30, 2002 | C3A010036 | Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents | 02-03 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | 05-09 |
Sep 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | 04-19 |
May 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | 02-11 |
Jul 20, 1998 | C10970141 | Order Regarding Pre-Hearing Conference | 98-25 |
Jan 21, 1998 | C04970029 | Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference | 98-9 |
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 |
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 13, 2016 | 2012033105901 | Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. | 16-26 |
May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | 16-18 |
Jun 4, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | 15-10 |
Dec 8, 2014 | 2011030781201 | Order (1) Denying Respondent’s Motion to Dismiss, (2) Granting in Part Enforcement’s Motion to Strike, and (3) Directing Respondent to File an Amended Answer | 14-07 |
Oct 23, 2012 | 2011026664301 | Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer | 12-06 |
May 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | 02-11 |
Feb 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | 01-03 |
Jan 26, 2001 | CAF000045 | Order Denying Complainant's Motion to Strike Affirmative Defenses | 01-02 |
Aug 27, 1999 | C02980024 | Order Granting Complainant's Motion to Strike | 99-14 |
Feb 25, 1998 | CAF970002 | Order Regarding Motion of Respondents and Enforcement's Motion to Strike | 98-20 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Apr 11, 2018 | 2014040761001 | Amended Order Denying Respondent’s Motion for Partial Summary Disposition | 18-01 |
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 |
Mar 10, 2016 | 2012031496501 | Order Denying Respondents’ Motion for Partial Summary Disposition. | 16-11 |
Mar 4, 2016 | 2014040501801 | Order Denying Respondents’ Motion for Summary Disposition | 16-09 |
Mar 3, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
Feb 26, 2016 | 2014041724601 | Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel | 16-16 |
Apr 2, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | 15-07 |
Jun 17, 2014 | 2011026788801 | Order Denying Summary Disposition | 14-01 |
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 |
Jun 12, 2008 | 20070094345 and 20070111775 | Order Denying Respondent 2's Motion to Dismiss | 08-09 |
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 |
Mar 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | 05-09 |
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 |
Jun 4, 2003 | C9A030006 | Order Denying Motion for Summary Disposition | 03-15 |
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 |
Apr 17, 2001 | CAF000013 | Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents | 01-07 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Feb 7, 2017 | 2014042291901 | Order Denying Respondents’ Motion for Summary Disposition. | 17-02 |
Oct 22, 2015 | 201203564701 | Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | 15-14 |
Feb 22, 2007 | E8A2002109804 | Order Granting the Parties' Motions for Telephone Testimony and Deferring Ruling on Respondent's Objection to Enforcement's Proposed Exhibit CX-7 | 07-07 |
Apr 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | 06-32 |
Mar 8, 2006 | CAF040079 | Order Granting Enforcement's Motion to Offer Testimony Via Telephone | 06-21 |
Oct 30, 2005 | C3A040045 | Order (1) Granting Complainant's Motion for Leave to Offer Telephone Testimony and Denying Respondent's Motion to Postpone the Hearing; (2) Granting Complainant's Motion in Limine; and (3) Denying Respondent's Motion in Limine | 05-37 |
Apr 25, 2005 | C07040084 | Order Granting Complainant's Motion for Telephone Testimony | 05-18 |
Mar 30, 2005 | CAF040002 | Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 | 05-12 |
Aug 25, 2004 | C3A030050 | Order Granting Motion for Leave to Offer Telephone Testimony | 04-15 |
Aug 2, 2004 | CAF040056 | Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | 04-13 |
Apr 23, 2004 | C9B040033 | Pre-Hearing Order | 04-24 |
Apr 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
Dec 26, 2000 | C10000122 | Order Granting Motion to Allow Telephone Testimony | 00-32 |
Oct 5, 2000 | C05000021 | Order Granting Complainant's Motion for Leave to Offer Telephone Testimony and to Allow Witness to be Assisted by (Remote) Interpreter | 00-28 |
Jan 18, 2000 | C02990052 | Order Granting Enforcement's Motion for Leave to Offer Telephone Testimony | 00-02 |
Oct 26, 1998 | C3A980027 | Order Granting Complainant's Motion for Leave to Offer Telephone Testimony | 98-30 |
Feb 25, 1998 | CAF970002 | Order Regarding Motion of Respondents and Enforcement's Motion to Strike | 98-20 |
Jan 27, 1998 | C3A970067 | Order Granting Department of Enforcement's Motion for Telephone Testimony | 98-13 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Mar 29, 2005 | C02040044 | Order Denying Motion for List of Documents Withheld | 05-10 |
Jun 14, 2000 | C8A000022 | Order Denying Respondent's Motion for Withheld Document List | 00-14 |
Feb 25, 1998 | CAF970002 | Order Regarding Motion of Respondents and Enforcement's Motion to Strike | 98-20 |
Jan 2, 1998 | C10970158 | Order Denying Motion to Compel Discovery | 98-2 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
Aug 30, 2016 | 2014043020901 | Order Granting Enforcement’s Motion for Exception From Sequestration. | 16-24 |
Aug 24, 2016 | 2014043020901 | Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony | 16-23 |