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OHO Orders by Rule

Click on one of the rules below to see relevant OHO orders.
View: Chronologically | By Topic | By Rule

FINRA Rule 8210 - Provision of Information and Testimony and Inspection and Copying of Books
Date of Decision Proceeding No. Title Order No.
July 10, 2019 2015045312501 Order Re: Discovery 19-26
July 08, 2019 2017054405401 Order Denying Respondent’s Request for Issuance of Request for Docs 19-25
June 25, 2019 2016051493704 Omnibus Order on Pre-Hearing Motions 19-23
June 19, 2019 2016050957901 Innovation Partners, Order Granting Respondents’ Rules 9252 and 9253 Motions 19-22
March 13, 2019 2016052503101 Order Granting In Part And Denying In Part Respondent’s Rule 9252 Request 19-10
March 14, 2005 CAF040079 Order Denying Respondent's Motion to Quash and Motion for a Protective Order 05-07
November 04, 2003 CAF030008 Order Granting Respondent's Motion to Quash Rule 8210 Request 03-23
February 14, 2001 CAF000045 Order Granting Motions to Quash 01-04
January 23, 2001 C10000172 Order Denying Motion to Quash 01-01
August 02, 2000 C3A990071 Protective Order Regarding Complainant's Rule 8210 Requests to Respondents 00-21
April 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
December 02, 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
February 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.
March 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.
August 21, 2018 2016050938301 Order Permitting Parties to Serve Pleadings 18-20
September 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing 06-39
March 09, 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
September 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.
October 12, 2004 CAF040056 Order Rejecting Filing 04-27
February 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.
October 12, 2004 CAF040056 Order Rejecting Filing 04-27
February 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.
February 28, 2019 2016048393501 Shopoff, Order Req Cert of Compliance Under Rule 9910 19-04
January 21, 1998 C10970176 Order as to Respondent 98-10
December 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.
October 07, 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.
April 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.
July 01, 2019 2015045312501 Order Est. Procedures Re: Treatment of SAR 19-24
August 09, 2007 2005000323905 Order Regarding Respondent 2's Motions for Official Notice 07-35
August 04, 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.
March 04, 2019 2016050883001 Hayes, O. Governing PCI 19-07
April 25, 2018 2015046971701 Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony 18-04
April 02, 2018 2015047069701 Order Granting in Part and Denying in Part Enforcement’s Motion In Limine and to Strike Portions of Respondent’s Pre-Hearing Brief and Related Evidence 18-17
July 28, 2016 2013035817701 Protective Order Governing Personal Confidential Information 16-19
April 08, 2010 200500224102 Order Limiting the Dissemination of Personal, Confidential Information 10-01
October 31, 2007 20070077587 Order Resolving Certain Pre-Hearing Motions 07-38
October 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
January 06, 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.
October 18, 1999 CMS920002 Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order 99-20
October 02, 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.
June 04, 2019 2016050137503 Order Denying Respondents’ Motion for More Definite Statement 19-19
April 01, 2019 2016048393501 Order Granting Motion For Leave To File First Amended Complaint And Index To The First Amended Complaint 19-12
January 10, 2018 2014041860801 Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike 18-05
July 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
April 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
January 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.
November 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
January 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist 06-10
October 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.
April 17, 2003 C01020025 Order Denying Motion to Bifurcate Hearing 03-09
May 15, 2002 CAF010021 Order Denying Motion to Sever 02-10
April 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
July 31, 2000 CMS960174 Order Denying Respondent's Motion to Sever and Preclude 00-20
May 07, 1999 CAF980031 Order Denying Motions to Sever 99-09
May 07, 1999 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action 99-08
December 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.
January 10, 2018 2014042606902 Order Granting Enforcement’s Motion for Rule-Compliant Answer 18-03
September 13, 2016 2012033105901 Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. 16-26
April 04, 2008 2005003437102 Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense 08-06
June 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.
March 01, 2019 2016051493704 Reyes, O. Granting DOE’s M for Rule-Compliant Answ. 19-05
January 10, 2018 2014041860801 Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike 18-05
December 20, 2017 2016047565702 Order Regarding Motion for Order Directing Zipper to File a Proper Answer 17-22
December 28, 2006 2005001819101 Order Granting Complainant's Motion to Strike in Part the Introduction to Respondent's Answer 06-57
April 17, 2006 E1020040926-01 Order Directing the Respondents to File a Proper Answer to the Complaint 06-29
June 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.
June 04, 2019 2016050137503 Order Denying Respondents’ Motion for More Definite Statement 19-19
July 17, 2018 2016050025401 Order Granting, in Part, and Denying, in Part, Respondent’s Motion for a More Definite Statement 18-19
October 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
December 16, 2009 2008012955301 Order Denying Motion for More Definite Statement 09-05
July 02, 2007 2005000323905 Order Denying Respondent 1's Motion for a More Definite Statement 07-28
February 05, 2007 2005001305701 Order Denying the Respondents' Motion for a More Definite Statement 07-02
December 19, 2005 E1020010426-04 Order Denying Motion for More Definite Statement 05-44
June 10, 2005 C9B050020 Order Conditionally Denying Motion for More Definite Statement 05-25
June 07, 2005 C05050015 Order Denying Respondent 1's Motion for More Definite Statement 05-23
June 07, 2005 C05050015 Order Granting Respondent 2's Motion for More Definite Statement 05-24
September 27, 2004 C9B040080 Order Denying Motion for a more Definite Statement 04-21
September 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
December 26, 2002 CAF020042 Order Denying Motion for More Definite Statement 02-12
September 28, 2000 C10000140 Order Denying Motion for More Definite Statement 00-27
April 04, 2000 C0500006 Order Granting in Part Respondent Motion for More Definite Statement 00-09
March 10, 2000 C3A990067 Order Denying Respondent Second Motion for More Definite Statement 00-06
January 20, 1998 C10970158 Order Denying Motion for More Definite Statement 98-8
November 28, 1997 CAF970002 Order Denying Motions for More Definite Statement 97-10
October 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.
June 01, 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.
December 02, 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
December 29, 1997 CAF970002 Order Regarding Respondent Motion for an Extension of Time to Answer 97-19
November 14, 1997 C10970141 Order Extending Time for Respondents to Answer 97-8
November 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
November 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer 97-6
September 18, 1997 C10970158 Order Extending Time for Respondents to Answer 97-2
September 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.
August 01, 2019 2015045312501 Supplemental Order Re: Denial of Second Motion to Stay 19-27
February 15, 2019 2015045312501 Supplemental Order Regarding Denial Of Motion For Stay Of Proceedings 19-18
October 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
September 07, 2016 2013038986001 Order Denying Respondent’s Motion to Continue Hearing 16‐25
September 07, 2011 2009017798201 Order Denying Respondent’s Motion for Stay of Hearing 11-08
June 01, 2011 2010021196801 Order Regarding Respondent’s Motion to Stay 11-07
September 13, 2006 E102003025201 Order Granting Motion to Adjourn Proceeding and Setting Pre-Hearing Conference 06-37
August 18, 2006 E0220030845-01 Order Postponing Hearing 06-33
March 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing 06-28
March 15, 2006 CLG050021 Order Denying Complainant's Motion to Continue Hearing 06-24
January 06, 2006 CLI050004 Order Denying Respondent's Motion to Adjourn Hearing 06-01
November 15, 2005 CMS040165 Order Denying Respondent's Motion for Reconsideration of Scheduling Order 05-38
December 15, 1997 C05970037 Order Denying Motion to Stay Proceeding 97-13
November 14, 1997 C10970141 Order Extending Time for Respondents to Answer 97-8
November 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
November 11, 1997 CAF970002 Order Denying Motion of Respondents and for Extension of Time to Answer 97-6
September 18, 1997 C10970158 Order Extending Time for Respondents to Answer 97-2
September 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.
November 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
February 28, 2007 2005001305701 Order Setting Philadelphia, Pa as Venue for Disciplinary Proceeding 07-08
January 17, 2006 CLG050021 Order Denying Complainant's Motion for Appointment of Market Regulation Panelist 06-10
October 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.
August 04, 2005 C9B040098 Order Denying Motion to Disqualify Hearing Officer 05-29
February 28, 2005 C9B040059 Order Denying Motion to Disqualify Hearing Officer Witherspoon 05-04
January 28, 2002 CAF010028 Order Denying Motion To Disqualify Hearing Officer 02-02
June 13, 2000 CMS000015 Notice of Withdrawal of Hearing Officer 00-13
March 31, 1999 C11970032 Order Denying Motion to Disqualify Hearing Officer 99-04
January 29, 1998 CAF970011 Order Denying Motion to Disqualify Counsel for Recusal of Hearing Officer 98-15
October 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.
January 10, 2006 CLI050016 Order Denying Respondent's Motion to Disqualify Hearing Panelist 06-06
February 08, 1999 CAF980002 Order Denying Motion to Disqualify a Panelist 99-02
January 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.
March 04, 2019 2016050883001 Hayes, O. Governing PCI 19-07
September 05, 2017 2016051925301 Order Granting Motion to Permit Witness Counsel to be Present During Testimony 17-17
April 07, 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
January 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence 17-01
July 06, 2012 2010024889501 Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses 12-03
June 13, 2007 20050000720-02 Order Prohibiting Use of Subpoenas 07-24
June 13, 2007 2006004494201 Order Quashing Post-Complaint Rule 8210 Request for Information 07-23
November 09, 2006 2005000316701 Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b) 06-54
March 09, 2006 CAF040079 Order Granting Enforcement's Motion for Witness Sequestration 06-22
January 19, 2006 EAF0400300001 Order Prohibiting Use of Subpeonas 06-11
June 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 05-28
July 01, 2004 C9B030076 Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider 04-10
January 31, 2000 C9A990007 Order Granting Motion for Order Permitting Certain Witnesses to Have Counsel Present 00-03
May 06, 1998 C10970141 Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum 98-23
February 05, 1998 CAF970002 Order Regarding Severance 98-17
December 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.
March 04, 2019 2016050883001 Hayes, Notice of Rec of Answ, O. Setting IPHC 19-08
February 28, 2019 2016048393501 Shopoff, Order Req Cert of Compliance Under Rule 9910 19-04
January 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence 17-01
January 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
January 09, 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.
March 13, 2019 2017052760001 Order Regarding Respondent’s Pre-hearing Submissions 19-09
October 31, 2018 2016050025401 Order Granting in Part Enforcement’s Pre-Hearing Motion 18-16
April 02, 2018 2015047069701 Order Granting in Part and Denying in Part Enforcement’s Motion In Limine and to Strike Portions of Respondent’s Pre-Hearing Brief and Related Evidence 18-17
July 28, 2016 20120342425-01 Order Concerning Parties’ Motion for Leave to Present Expert Testimony 16-20
March 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
February 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
February 01, 2007 E3A20050065 Order Regarding Respondent's Pre-Hearing Submissions 07-01
November 07, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 06-52
October 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
March 23, 2006 E102003130804 Order Regarding Respondent's Pre-Hearing Submissions 06-27
December 15, 2005 CE3050003 Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony 05-42
March 29, 2005 C01040017 Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing 05-11
February 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.
July 10, 2019 2015045312501 Order Re: Discovery 19-26
June 14, 2019 2016048393501 Shopoff, Order Denying in Part and Granting in Part R’s Motion to Compel Prod of Metadata 19-20
November 23, 2018 2017052871401 Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 18-21
October 08, 2018 2016048912703 Order Denying Bruce Meyers’ Motion to Compel 18-15
April 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
March 21, 2017 2014038847602 Order Denying Respondent’s Motion to Compel Discovery. 17-06
March 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
March 08, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. 17-04
December 14, 2016 2015044823501 Order Denying Respondent Beyn’s Motion for Additional Discovery. 16-33
April 05, 2012 2011029760201 Order Denying Respondent’s Motion for Leave to Serve Limited Discovery 12-02
March 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
October 08, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents 10-06
November 24, 2009 2006006259501 Order Denying Respondent's Motion to Compel Production of List of Withheld Documents 09-04
February 15, 2008 2005003437102 Order Denying Respondent's Motion to Compel Production of Documents 08-01
August 16, 2007 E112005002003 Order Denying Respondents' Motion to Compel Identification and Production of Withheld Documents 07-36
July 13, 2007 2005001919501 Order Denying Respondent's Motion to Compel Production of Exculpatory and Other Material Documents 07-29
June 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
June 12, 2007 2005000191701 Order Denying Respondent 3's Two Discovery Requests 07-22
June 11, 2007 CAF040079 Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration 07-19
March 07, 2007 2005000316701 Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence 07-09
February 20, 2007 2005001305701 Order Denying Respondents' Three Discovery Motions 07-06
February 01, 2006 C02040032 Order Denying Motion to Dismiss 06-16
January 12, 2006 E8A2003080701 Order Denying Respondent's Motion for Discovery 06-09
October 11, 2005 C9B050022 Order Denying Respondent's Motion for Discovery 05-34
June 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
March 29, 2005 C02040044 Order Denying Motion for List of Documents Withheld 05-10
March 14, 2005 CAF040079 Order Denying Respondent's Motion to Quash and Motion for a Protective Order 05-07
October 28, 2004 CAF040020 Order Ruling On Pre-Hearing Motions 04-29
October 06, 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
October 04, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests 04-23
June 15, 2004 CAF030058 Order Granting Respondent's Motion for in Camera Inspection of Documents 04-05
October 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
October 15, 2003 CAF030008 Order Denying Respondent's Motion to Compel Production of Information Regarding Withheld Documents 03-20
March 30, 2003 C3B020015 Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery 03-05
January 17, 2003 CAF020007 Order Granting Motion for Reconsideration 03-02
January 30, 2002 C3A010036 Order Denying Respondents' Motion For Order Directing Enforcement To Produce Documents 02-03
October 04, 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
October 10, 2000 CAF000030 Order Granting Enforcement's Motion for Leave to Withhold from Production Certain Documents and Granting Other Relief 00-31
August 28, 2000 C3A990071 Order Granting Respondents Motion in Limine Requesting Production of Documents 00-24
July 28, 2000 C9B000007 Order Denying Motion to Compel Production of Documents 00-19
June 14, 2000 C8A000022 Order Denying Respondent's Motion for Withheld Document List 00-14
March 28, 2000 C1000010 Order Granting Enforcement's Motion for Leave to Withhold From Production Certain Documents 00-08
September 30, 1999 CMS920002 Order Directing Complainant to Comply with Rule 9251 99-19
June 21, 1999 CAF980002 Order Denying Respondents' Motion to Compel Production of Documents 99-12
April 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
April 13, 1999 CMS980108 Order with Respect to Respondent's Motion to Compel Production of Documents 99-05
February 25, 1998 CAF970002 Order Regarding Motion of Respondents and Enforcement's Motion to Strike 98-20
February 17, 1998 C9B970016 Order Regarding Production Under Rule 9251 98-18
January 02, 1998 C10970158 Order Denying Motion to Compel Discovery 98-2

FINRA Rule 9252 - Requests for Information
Date of Decision Proceeding No. Title Order No.
July 08, 2019 2017054405401 Order Denying Respondent’s Request for Issuance of Request for Docs 19-25
June 25, 2019 2016051493704 Omnibus Order on Pre-Hearing Motions 19-23
June 19, 2019 2016050957901 Innovation Partners, Order Granting Respondents’ Rules 9252 and 9253 Motions 19-22
March 13, 2019 2016052503101 Order Granting In Part And Denying In Part Respondent’s Rule 9252 Request 19-10
June 12, 2018 2014043863001 Order Requiring the Department of Enforcement to File a Sworn Declaration 18-18
April 21, 2017 2012032019101 Order Granting in Part and Denying in Part Respondents’ Motion Pursuant to FINRA Rules 8210 and 9252. 17-12
April 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
April 11, 2017 2014044985401 Order Granting Respondent’s Request for an Order of Production. 17-11
March 21, 2017 2014038847602 Order Denying Respondent’s Motion to Compel Discovery. 17-06
March 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
March 08, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. 17-04
December 28, 2016 2014042690502 Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. 16-34
November 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
March 25, 2016 2015044379701 Order Denying Rule 9252 Request 16-14
March 11, 2016 2013038418201 Order Denying Respondent’s Motion to Compel Member Firm to Produce Additional Documents. 16-12
March 04, 2016 2013036836801 Order Denying Respondent’s Rule 9252 Request 16-10
February 29, 2016 2014043020901 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9252 and Granting Respondent Leave to Supplement 16-07
February 25, 2016 2014043020901 Order Denying Respondent’s Motion to Compel Production of Documents 16-08
January 27, 2015 2012034936005 Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion 15-05
September 30, 2014 2012032519101 Order Denying Respondent’s Motion for Production of Documents 14-04
June 12, 2013 2011025780101 Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents 13-05
May 02, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. 13-06
May 02, 2013 2009017529101 Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents 13-03
August 30, 2012 2010023367001 Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents 12-04
August 27, 2008 2005003188901 Order Denying Respondent's Motion to Compel Production of Documents 08-12
April 04, 2008 2005003437102 Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing 08-08
June 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
October 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
October 11, 2006 EAF0400300001 Order Denying Respondents' Rule 9252 Motion for the Production of Data, Documents and Testimony 06-47
February 09, 2006 E9B2003033501 Order Granting Respondent's Motion for Issuance Of Rule 8210 Requests for Information 06-19
February 08, 2006 CAF040058 Order Denying Respondents' Motion to Invoke Procedural Rule 8210 06-18
January 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
January 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery 06-07
January 10, 2006 E8A2004065102 Order Requiring Respondent to Supplement His Rule 9252 Request 06-04
January 10, 2006 CLI050016 Order Denying Respondent's Motion to Compel Discovery 06-05
December 14, 2005 C07050029 Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery 05-41
June 23, 2005 C3A040045 Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 05-28
June 14, 2005 CAF040058 Order Prohibiting Use of Subpoenas 05-39
May 27, 2005 C06040023 Order Denying Request for Subpoena 05-22
April 07, 2005 CAF040058 Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents 05-15
January 14, 2005 CAF040058 Order Denying Respondents' Motion Pursuant to Rule 9252 and for an Extension of Time 05-01
October 04, 2004 CAF030014 Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests 04-23
September 09, 2004 C9B040033 Order Requiring Respondent to Supplement his Rule 9252 Requests 04-17
August 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
June 10, 2004 C9B040020 Order Denying Respondents' Motion to Compel Discovery 04-04
April 23, 2004 C9B040033 Pre-Hearing Order 04-24
September 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
October 09, 2000 C07000023 Pre-Hearing Order 00-30
July 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
September 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
January 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
January 02, 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.
June 19, 2019 2016050957901 Innovation Partners, Order Granting Respondents’ Rules 9252 and 9253 Motions 19-22
May 07, 2019 2016051493704 Order On Respondent’s Motion Pursuant To Rule 9253 19-16
November 23, 2018 2017052871401 Order Denying Respondent’s Motion for Discovery and Motion Pursuant to Rule 9253 18-21
April 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
March 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
October 08, 2010 2008014621701 Order Denying Respondents' Motion to Compel Production of Documents and List of Withheld Documents 10-06
October 14, 2009 2007009461301 Order Denying Respondent's Motion to Compel Production of Witness Statements 09-02
February 07, 2006 C05050008 Order Granting Respondent's Motion for Production of Documents Pursuant to Rule 9253 06-17
January 11, 2006 E9B2003033501 Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery 06-07
January 06, 2006 C05050015 Order Granting Respondent 2's Motion for Production of Documents Pursuant to Rule 9253 06-02
December 15, 2005 C05050005 Order Denying Respondent's Motion Under Rule 9253 05-43
June 15, 2004 CAF030058 Order Granting Respondent's Motion for in Camera Inspection of Documents 04-05
March 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.
May 14, 2019 2017053382401 Order On Enforcement’s Objections To Respondents’ Proposed Witness List And Exhibits And Motion In Limine 19-17
January 09, 2019 2016050938301 Clarke, Order Granting DOE’s Motion to Amend Exhibit List 19-02
October 04, 2004 C9B040036 Order Granting Respondents Rule 9261(C) Request 04-22

FINRA Rule 9262 - Testimony
Date of Decision Proceeding No. Title Order No.
June 19, 2019 2016050957901 Innovation Partners, Order Granting Enf’s M for Leave for Expert Testimony 19-21
May 02, 2019 2015045312501 Order Granting Parties’ Motions For Leave To Permit Expert Testimony 19-15
March 04, 2019 2015047005801 Doherty, O. Granting M to Offer Telephone/Video Testimony 19-06
November 13, 2017 2013035345701 Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List 17-20
November 13, 2017 2015047154001 Order Denying Respondent’s Amended Motion to Grant Expert Testimony 17-19
March 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
March 16, 2017 2015044921601 Order Denying Respondent’s Motion for Leave to Present Expert Testimony 17-05
February 24, 2017 2014042059701 Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. 17-03
August 30, 2016 2014043020901 Order Granting Enforcement’s Motion for Exception From Sequestration. 16-24
June 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.
March 28, 2019 2016052503101 Order Denying Respondent’s Motion For Summary Disposition 19-11
January 30, 2019 2015047005801 Doherty, Order Denying/Granting DOE’s Summ Dis Motion/Strike Defense 19-03
April 11, 2018 2014040761001 Amended Order Denying Respondent’s Motion for Partial Summary Disposition 18-01
February 07, 2017 2014042291901 Order Denying Respondents’ Motion for Summary Disposition. 17-02
November 04, 2016 2014039839101 Order Granting Enforcement’s Motion for Partial Summary Disposition. 16-29
October 14, 2016 201303641201 Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition 16-27
February 08, 2011 2006007105101 Order Denying Respondent’s Motion for Summary Disposition 11-02
August 08, 2008 E3A20030495-01 Order Denying Respondent's Motion to Dismiss the Complaint 08-11
June 12, 2008 2005001798201 Order Denying Respondent's Motion for Summary Disposition 08-10
April 04, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition 08-07
October 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
April 18, 2007 C11040006 Hearing Panel Order Granting, in Part, and Denying, in Part, Complainant's Motion for Summary Disposition 07-16
March 22, 2007 C10040052 Order Denying Respondents' Motion for Partial Summary Disposition 07-11
November 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
October 20, 2006 2005000127502 Order Denying Complainant's Motion for Partial Summary Disposition 06-48
October 09, 2006 20042000056-01 Order Deferring Ruling on Motion for Summary Disposition 06-45
March 12, 2006 CAF040079 Order Denying Respondent's Motion for Summary Disposition 06-23
August 05, 2005 C3A040045 Order Denying Respondent's Motion for Summary Disposition on the Issue of Restitution 05-30
July 07, 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
June 24, 2004 CAF030055 Order Denying Enforcement's Motion for Summary Disposition 04-08
March 17, 2004 CAF030014 Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process 04-01
April 03, 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 01, 2001 C3A000056 Order Denying Motion for Reconsideration 01-10
April 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
January 26, 2001 CAF000045 Order Denying Complainant's Motion to Strike Affirmative Defenses 01-02
July 06, 2000 C3A990067 Order Denying Motion for Summary Disposition 00-16
January 04, 2000 C10990121 Order Denying Enforcement's Motion For Summary Disposition 00-01
December 30, 1999 CAF990018 Order Denying Motion for Summary Disposition 99-21
December 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.
June 15, 2005 C3A040030 Order Denying Respondent's Motion to Re-Open Hearing and Denying Complainant's Motion to Strike Respondent's Testimony 05-26
August 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.
November 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.
September 22, 2011 20090192254 Memorandum Opinion and Order Denying Respondent’s Motion to Set Aside Default Decision 11-09
March 18, 2008 2006005849101 Order Denying Motion to Set Aside Default Decision 08-04
September 20, 2006 ARB060029 Order Clarifying Agenda for Pre-Hearing Conference 06-40
January 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
January 09, 2006 C8A050041 Order Denying Respondent's Motion to Set Aside Default 06-03
April 06, 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.
March 27, 2008 C02050006 Order Approving and Forwarding Contested Offer of Settlement 08-05
April 30, 2003 C3B020015 Order Rejecting Contested Offer of Settlement 03-12
September 06, 2000 C8A000019 Order Convening Settlement Conference 00-25
March 01, 2000 C05990026 Order Rejecting Contested Offer of Settlement 00-04

FINRA Rule 9280 - Contemptuous Conduct
Date of Decision Proceeding No. Title Order No.
November 07, 2006 E1020040926-01 Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 06-52
October 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
March 23, 2006 CLI050007 Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing 06-28
January 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
September 13, 2004 C3A030049 Order Precluding Evidence 04-18
January 17, 2003 CAF020007 Order Granting Motion for Reconsideration 03-02
January 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.
July 29, 2009 ARB090054 Order Dismissing Proceeding for Failure to State a Defense 09-01
December 07, 2007 ARB070050 Order Deeming Request for Hearing Abandoned and Terminating Expedited Proceeding and Notice that Respondent's Suspension Is in Effect 07-41
June 13, 2007 ARB070023 Order Deeming (1) Respondent's Defense Abandoned, (2) the Hearing Waived, and (3) the NASD Suspension Notice Final 07-30
October 04, 2006 ARB060029 Order Dismissing Defense and Granting Respondents Leave to File a Motion for Leave to Amend Their Request for Hearing 06-44
September 28, 2006 ARB060022 Order Deeming Defense as Abandoned, Hearing as Waived, and NASD Suspension Notice as Final 06-41
September 15, 2006 ARB060023 Order Overruling Objection to Telephonic Hearing 06-39
April 18, 2006 ARB060010 Order Dismissing Request for Hearing 06-31
April 12, 2005 ARB050010 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 05-16
March 01, 2005 ARB050002 Order Granting Enforcement's Rule 9559(M) Motion and Dismissing Proceeding 05-05
January 14, 2005 ARB040045 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 05-02
October 19, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss 04-28
October 06, 2004 ARB040029 Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final 04-25
March 28, 2004 DFC040005 Order Denying Respondent's Motion to Dismiss the Suspension Proceeding 04-02
February 08, 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.
September 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.
April 04, 2008 2005003437102 Order Denying Respondent's Motion for Summary Disposition 08-07
October 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
December 30, 1999 CAF990018 Order Denying Motion for Summary Disposition 99-21