2001 Office of Hearing Officers Disciplinary Orders

Order Number   Date
01-16   10/4/01   Order Regarding Production of Documents  
01-17   8/31/01   Order Granting Complainant's Motion for Partial Summary Disposition  
01-15   5/23/01   Order Granting Complainant's Motion to Preclude the Introduction of Expert Testimony  
01-14   5/21/01   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  
01-13   5/17/01   Order Denying Respondents' Motion to Compel the Production of Documents and for a List of Withheld Documents  
01-12   5/11/01   Order Granting Respondent's Request for Production of Documents Pursuant to NASD Procedural Rule 9252  
01-11   5/10/01   Order Denying Motion to Dismiss  
01-10   5/1/01   Order Denying Motion for Reconsideration  
01-09   4/20/01   Order Denying Motion to Dismiss, in Part, Deferring Decision on Motion, in Part, and Directing Enforcement to Supplement its Opposition  
01-08   4/20/01   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  
01-07   4/17/01   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  
01-06   4/6/01   Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision  
01-05   2/15/01   Order Granting Respondent's Motion to Exclude Documents  
01-04   2/14/01   Order Granting Motions to Quash  
01-03   2/13/01   Order Regarding Complainant's Motion for a Preclusion Order  
01-02   1/26/01   Order Denying Complainant's Motion to Strike Affirmative Defenses  
01-01   1/23/01   Order Denying Motion to Quash