2012 Office of Hearing Officers Disciplinary Orders

Order Number   Date
12-07   11/9/12   Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony  
12-06   10/23/12   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  
12-05   10/17/12   Order to Provide Verification in Support of Request for Continuance of Hearing  
12-04   8/30/12   Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents  
12-03   7/6/12   Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses  
12-02   4/5/12   Order Denying Respondent’s Motion for Leave to Serve Limited Discovery  
12-01   3/14/12   Order Denying Respondent’s Motion to Present Expert Witness