OHO Orders by Rule
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
July 19, 2023 | 2021071137001 | Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280 | 23-23 |
March 13, 2023 | 2017055886402 | Order Regarding Motion for Clarification | 23-12 |
December 07, 2020 | 2017052701101 | Order Granting Enforcement’s Motion for Leave to Issue Post-Complaint Rule 8210 Request | 20-22 |
June 25, 2019 | 2016051493704 | Omnibus Order on Pre-Hearing Motions | 19-23 |
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 |
February 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 |
March 13, 2013 | 2011026874301 | Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense | 13-02 |
October 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | 07-38 |
June 13, 2007 | 2006004494201 | Order Quashing Post-Complaint Rule 8210 Request for Information | 07-23 |
April 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | 06-32 |
June 30, 2005 | C05050015 | Order Denying Motions to Quash | 05-27 |
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 |
May 06, 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. |
---|---|---|---|
January 13, 2023 | 2020066627202 | Order Denying Respondent’s Motion to Strike | 23-02 |
August 19, 2020 | 2018058924502 | Order Denying Respondent's Cross-Motion to Strike | 20-12 |
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 |
January 10, 2018 | 2014041860801 | Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike | 18-05 |
September 13, 2016 | 2012033105901 | Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. | 16-26 |
March 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | 16-15 |
June 04, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | 15-10 |
October 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 |
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 |
October 12, 2004 | CAF040056 | Order Rejecting Filing | 04-27 |
August 27, 1999 | C02980024 | Order Granting Complainant's Motion to Strike | 99-14 |
February 25, 1998 | CAF970002 | Order Regarding Motion of Respondents and Enforcement's Motion to Strike | 98-20 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
September 08, 2022 | 2017055886402 | Order Excluding Unqualified Attorney from Proceeding | 22-18 |
August 30, 2022 | 2017055886402 | Order Setting a Pre-Hearing Videoconference and Specifically Requiring Respondent to Attend | 22-17 |
March 16, 2007 | C02050006 | Order Requiring Counsel to File Notice of Representation or Withdrawal | 07-10 |
September 01, 2006 | E0220030845-01 | Order Requiring Counsel to File Notice Pursuant to Rule 9142 | 06-34 |
April 08, 2003 | CAF020048 | Pre-Hearing Order Directing ___________ to File a Power of Attorney | 03-07 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
September 08, 2022 | 2017055886402 | Order Excluding Unqualified Attorney from Proceeding | 22-18 |
October 07, 1997 | C3A970066 | Order Granting Motion to Withdraw as Counsel to Respondent | 97-3 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
April 29, 2002 | C01010017 | Order Pursuant To Conduct Rule 9143 | 02-07 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
October 04, 2019 | FPI190006 | Order Permitting Parties To Oppose Or Otherwise Comment Upon The Hearing Officer’s Proposal To Take Official Notice | EXP19-03 |
August 09, 2007 | 2005000323905 | Order Regarding Respondent 2's Motions for Official Notice | 07-35 |
March 27, 2007 | 2005000440701 | Order Regarding Pre-Hearing Motions | 07-12 |
August 04, 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. |
---|---|---|---|
November 18, 2020 | 2018056436001 | Order Memorializing Rulings at Pre-Hearing Conference | 20-21 |
October 31, 2018 | 2016050025401 | Order Granting in Part Enforcement’s Pre-Hearing Motion | 18-16 |
May 02, 2018 | 2014041860801 | Omnibus Order on Pre-Hearing Motions | 18-07 |
February 14, 2018 | 2016049420501 | Second Order Rescheduling Initial Pre-Hearing Conference | 18-02 |
February 26, 2016 | 2014041724601 | Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel | 16-16 |
February 16, 2016 | 20080148227-02 | Order Denying Respondents’ Preclusion Motion | 16-05 |
September 21, 2015 | 20080148227-02 | Order Granting Respondents’ Preclusion Motion | 15-12 |
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 |
July 30, 2007 | 20050000720-02 | Order Overruling the Parties' Objections to Exhibits and Witnesses | 07-31 |
June 28, 2007 | E102003025201 | Procedural Pre-Hearing Order | 07-27 |
June 27, 2007 | E102003025201 | Order Regarding Pre-Hearing Motions | 07-26 |
April 11, 2007 | CAF040079 | Order Granting in Part Respondent's Motion to Exceed Time Limits for Specific Witnesses and Denying Motion for Reconsideration of Total Number of Witnesses to Be Called | 07-14 |
March 28, 2007 | CAF040079 | Order Regarding Witnesses | 07-13 |
March 07, 2007 | 2005000316701 | Order Granting Motion to Compel or Alternatively to Preclude Oral or Documentary Evidence | 07-09 |
February 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 |
December 28, 2006 | E8A2003084806 | Order Granting Complainant's Motion in Limine | 06-58 |
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 |
November 09, 2006 | 2005000316701 | Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b) | 06-54 |
October 10, 2006 | EAF0400300001 | Order Directing the Parties to Cease Sending Non-Compliant Communications to the Office of Hearing Officers | 06-46 |
May 05, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | 06-60 |
November 18, 2005 | CAF040058 | Order Regarding Admissibility of Tape Recordings and Transcripts | 05-40 |
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 |
March 17, 2005 | CMS040202 | Order Denying Motion for Order to Cease and Desist | 05-08 |
March 14, 2005 | CAF040079 | Order Denying Respondent's Motion to Quash and Motion for a Protective Order | 05-07 |
October 04, 2004 | C9B040036 | Order Granting Respondents Rule 9261(C) Request | 04-22 |
March 19, 2003 | C3A020039 | Order Regarding Complainant's Motion for a Preclusion Order | 03-04 |
January 06, 2003 | CAF020041 | Order Granting the Department of Enforcement's Motion for a Protective Order | 03-01 |
April 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
February 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | 01-03 |
August 02, 2000 | C3A990071 | Protective Order Regarding Complainant's Rule 8210 Requests to Respondents | 00-21 |
March 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 |
October 18, 1999 | CMS920002 | Order Denying Motion to Stay Proceedings and to Vacate Current Scheduling Order | 99-20 |
September 21, 1999 | CAF980002 | Order Regarding Court Reporting Services for the Hearing | 99-15 |
October 02, 1998 | CAF970011 | Order Denying Motions for Interlocutory Appeal and to Reconsider Denial of Motion to Stay the Proceeding | 98-28 |
August 12, 1998 | CAF980014 | Order Denying Motion to Disqualify as Premature | 98-35 |
August 04, 1998 | CAF970011 | Order Granting in Part and Denying in Part Complainant's Motion in Limine | 98-26 |
July 20, 1998 | C10970141 | Order Regarding Pre-Hearing Conference | 98-25 |
January 21, 1998 | C04970029 | Order Establishing Procedure for Arriving at Stipulations and Re-Scheduling Pre-Hearing Conference | 98-9 |
January 20, 1998 | C10970161 | Order | 98-7 |
January 12, 1998 | C3A970074 | Order Setting Second Pre-Hearing Conference | 98-4 |
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 |
February 28, 2019 | 2016048393501 | Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference and Requiring Certificate of Compliance with FINRA Rule 9910 | 19-04 |
August 01, 2018 | 2016050025401 | Order Granting Motion for Leave to File Second Amended Complaint | 18-14 |
July 17, 2018 | 2016050025401 | Order Granting, in Part, and Denying, in Part, Respondent’s Motion for a More Definite Statement | 18-19 |
January 10, 2018 | 2014041860801 | Order Denying Respondents’ Motion for More Definite Statement and Department of Enforcement’s Motion to Strike | 18-05 |
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 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 |
December 01, 2014 | 2011025676501 | Order Granting, In Part, Motion for More Definite Statement | 14-06 |
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 |
December 16, 2009 | 2008012955301 | Order Denying Motion for More Definite Statement | 09-05 |
October 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | 07-38 |
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 |
May 31, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | 06-59 |
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 Granting Respondent 2's Motion for More Definite Statement | 05-24 |
June 07, 2005 | C05050015 | Order Denying Respondent 1's Motion for More Definite Statement | 05-23 |
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 |
May 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | 02-11 |
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 |
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 27, 1998 | CAF970011 | Order Granting Department of Enforcement's Motion to Amend the Complaint | 98-12 |
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 |
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 |
October 29, 1997 | C10970160 | Order Denying Motion for a More Definite Statement | 97-5 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 06, 2020 | 2015047244701 | Order Denying Respondent Shea’s Motion To Sever | 20-04 |
September 14, 2006 | E072004006101 and 2005002392101 | Order Denying Respondent Firm's Motions to Consolidate | 06-35 |
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 |
August 22, 2000 | C3A990035 | Order Consolidating Proceedings | 00-23 |
July 31, 2000 | CMS960174 | Order Denying Respondent's Motion to Sever and Preclude | 00-20 |
May 05, 2000 | C10990212 | Order Granting Enforcement's Motion to Consolidate | 00-10 |
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 |
February 05, 1998 | CAF970002 | Order Regarding Severance | 98-17 |
December 18, 1997 | C05970037 | Order Granting Motion for Consolidation of Disciplinary Proceedings | 97-14 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 17, 2023 | 2019061942901 | Order Directing Respondent to File a Rule-Compliant Answer | 23-14 |
August 09, 2022 | 2020066627202 | Order Denying Enforcement's Motion to Strike Respondent's Second Affirmative Defense | 22-16 |
June 03, 2022 | 2019063633301 | Order Granting in Part and Denying in Part Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | 22-11 |
May 17, 2022 | 2019063633301 | Order Governing Respondent's Briefing on Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | 22-08 |
April 01, 2022 | 2020067014602 | Order Rejecting Respondent's Submission and Requiring Respondent to File Rule-Compliant Answer | 22-07 |
January 21, 2022 | 2020067814802 | Order Directing Respondent to File Answer Compliant With FINRA Rule 9215 | 22-03 |
December 14, 2021 | 2019061528001 | Order Denying Respondents’ Motion For a More Definite Statement | 21-15 |
August 25, 2020 | 2016049414401 | Order Directing Respondent To File Answer Compliant With FINRA Rule 9215 | 20-13 |
August 14, 2020 | 2018058924502 | Order Granting in Part and Denying in Part Enforcement’s Motion to Strike Affirmative Defenses and Request for Relief | 20-16 |
May 27, 2020 | 2017053462401 | Order Denying Respondent’s Motion To Amend Answer | 20-06 |
June 04, 2019 | 2016050137503 | Order Denying Respondents’ Motion for More Definite Statement | 19-19 |
April 05, 2019 | 2016050137503 | Order Regarding Respondents’ Motion For Extension Of Time To Answer | 19-13 |
March 04, 2019 | 2016050883001 | Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference | 19-08 |
March 01, 2019 | 2016051493704 | Order Granting in Part Enforcement’s Motion for Rule-Compliant Answer | 19-05 |
January 30, 2019 | 2015047005801 | Order Denying Enforcement’s Motion for Summary Disposition and Granting in Part and Denying in Part Motion to Strike Affirmative Defense | 19-03 |
July 17, 2018 | 2016050025401 | Order Granting, in Part, and Denying, in Part, Respondent’s Motion for a More Definite Statement | 18-19 |
January 10, 2018 | 2014042606902 | Order Granting Enforcement’s Motion for Rule-Compliant Answer | 18-03 |
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 |
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 13, 2016 | 2012033105901 | Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. | 16-26 |
December 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 |
December 08, 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 |
December 01, 2014 | 2011025676501 | Order Granting, In Part, Motion for More Definite Statement | 14-06 |
October 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 |
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 |
December 16, 2009 | 2008012955301 | Order Denying Motion for More Definite Statement | 09-05 |
April 04, 2008 | 2005003437102 | Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense | 08-06 |
December 06, 2007 | 20070086505-01 | Order to Show Cause | 07-40 |
July 02, 2007 | 2005000323905 | Order Denying Respondent 1's Motion for a More Definite Statement | 07-28 |
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 |
February 05, 2007 | 2005001305701 | Order Denying the Respondents' Motion for a More Definite Statement | 07-02 |
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 |
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 Granting Respondent 2's Motion for More Definite Statement | 05-24 |
May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | 05-21 |
September 27, 2004 | C9B040080 | Order Denying Motion for a more Definite Statement | 04-21 |
July 01, 2004 | C9B030076 | Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider | 04-10 |
June 22, 2004 | C9B030076 | Order Dismissing Affirmative Defense | 04-07 |
June 01, 2004 | C8A030100 | Order Denying Motion for Leave to File Amended Answer | 04-03 |
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 |
January 26, 2001 | CAF000045 | Order Denying Complainant's Motion to Strike Affirmative Defenses | 01-02 |
September 28, 2000 | C10000140 | Order Denying Motion for More Definite Statement | 00-27 |
July 18, 2000 | C10000046 | Order Regarding Respondent's Motion for Leave to File a Late Answer | 00-17 |
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 |
July 07, 1999 | C8A990015 | Order Granting in Part and Denying in Part Complainant's Motion to Strike Affirmative Defenses | 99-10 |
June 28, 1999 | CAF990007 | Order Granting Respondents' Motion for Reconsideration | 99-13 |
April 27, 1999 | C11970032 | Order Granting Motion to Strike Affirmative Defenses | 99-07 |
January 06, 1999 | CAF980002 | Order Denying "Notice of Objection to Order" and Rejecting "Response to Order to Show Cause" of Respondents | 99-01 |
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 |
October 02, 1998 | CAF980022 | Order Denying in Part and Granting in Part Enforcement's Motion to Strike Affirmative Defenses and Denying Motion to Dismiss | 98-29 |
January 20, 1998 | C10970158 | Order Denying Motion for More Definite Statement | 98-8 |
December 29, 1997 | CAF970002 | Order Regarding Respondent Motion for an Extension of Time to Answer | 97-19 |
December 26, 1997 | CAF970001 | Order Regarding Motion to Strike Affirmative Defenses | 97-18 |
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 |
November 28, 1997 | CAF970002 | Order Denying Motions for More Definite Statement | 97-10 |
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 |
October 29, 1997 | C10970160 | Order Denying Motion for a More Definite Statement | 97-5 |
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 |
2017055886402 | Order Directing Respondent to File Answer Compliant with FINRA Rule 9215 | 22-19 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 23, 2023 | 2018057297102 | Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates | 23-15 |
September 23, 2022 | 2017055886402 | Order Granting Motion for Continuance | 22-20 |
March 08, 2022 | 2019064813801 | Supplemental Order Regarding Denial of Respondents’ Request for Postponement | 22-06 |
January 13, 2022 | 2018058537302 | Order Denying Respondent’s Motion to Postpone Hearing Dates | 22-02 |
October 29, 2021 | 2018057235801 | Order Granting in Part Respondent’s Motion for Continuance | 21-13 |
March 15, 2021 | 2016048837401 | Order Granting Respondent’s Motion to Continue Hearing | 21-06 |
March 01, 2021 | 2019064313901 | Order Denying Without Prejudice Respondent’s Motion for a Stay Pursuant to FINRA Rule 9222 | 21-05 |
February 02, 2021 | 2017053462401 | Order Continuing In-Person Hearing | 21-04 |
January 07, 2021 | 2018058588501 | Order Denying Respondent’s Motion to Postpone Hearing Dates | 21-01 |
November 13, 2020 | 2018058924502 | Order Granting Motion for Postponement | 20-20 |
September 04, 2020 | 2016048837401 | Order Granting Request for Postponement and Denying Request for Change of Hearing Location | 20-17 |
August 01, 2019 | 2015045312501 | Supplemental Order Re: Denial of Second Motion to Stay | 19-27 |
June 25, 2019 | 2016051493704 | Omnibus Order on Pre-Hearing Motions | 19-23 |
February 15, 2019 | 2015045312501 | Supplemental Order Regarding Denial of Motion for Stay of Proceedings | 19-18 |
May 02, 2018 | 2014041860801 | Omnibus Order on Pre-Hearing Motions | 18-07 |
November 23, 2016 | 20080148227-02 | Order Deferring Ruling on Joint Motion to Stay Proceedings. | 16-31 |
September 07, 2016 | 2013038986001 | Order Denying Respondent’s Motion to Continue Hearing | 16‐25 |
January 02, 2013 | 2009019108901 | Order Denying Motion by Respondent 1 for an Extension of Time – Hearing | 13-01 |
October 17, 2012 | 2010024320101 | Order to Provide Verification in Support of Request for Continuance of Hearing | 12-05 |
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 |
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 |
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 |
December 14, 2005 | C07050029 | Order Denying Respondent 1's Motion to Postpone the Hearing and to Compel Discovery | 05-41 |
November 15, 2005 | CMS040165 | Order Denying Respondent's Motion for Reconsideration of Scheduling Order | 05-38 |
October 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 |
January 14, 2003 | C9A020018 | Order Denying Request for Postponement of Hearing | 03-03 |
August 03, 2000 | C01000003 | Order Denying Respondents' Request for a Second Continuance of the Hearing | 00-22 |
March 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 |
February 02, 1998 | C04970029 | Order Staying Proceeding | 98-16 |
January 08, 1998 | C10970172 | Order Denying Respondent's Request for Indefinite Postponement | 98-3 |
December 29, 1997 | CAF970002 | Order Regarding Respondent Motion for an Extension of Time to Answer | 97-19 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
January 17, 2006 | CLG050021 | Order Denying Complainant's Motion for Appointment of Market Regulation Panelist | 06-10 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
October 30, 2005 | CAF040079 | Order Denying Motion to Reconsider Appointment of Extended Hearing Panelists | 05-36 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
April 08, 2015 | 2010024522103 | Order Denying Motion Pursuant to FINRA Rule 9234 | 15-09 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
July 29, 2021 | ARB210008 | Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits | EXP21-01 |
March 05, 2018 | 2015047154001 | Order Denying Respondent’s Motion for Admission of Additional Exhibits | 18-10 |
November 21, 2017 | 2013037522501 | Order Adding Additional Exhibit into Evidentiary Record | 17-21 |
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 |
October 01, 2015 | 2013035344201 | Protective Order Governing Personal Confidential Information | 15-13 |
November 11, 2009 | 2007007255603 | Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits | 09-03 |
November 09, 2006 | 2005000316701 | Order Denying Respondents' Request That the Deputy Chief Hearing Officer Not Exercise Authority Pursuant to Rule 9235(b) | 06-54 |
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 |
March 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. |
---|---|---|---|
January 02, 1998 | C10970164 | Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion | 98-1 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
May 26, 2022 | 2019061528001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 22-09 |
July 02, 2020 | 2016048837401 | Order Granting In Part And Denying In Part Respondent’s Motion In Limine Regarding Expert Testimony | 20-09 |
August 06, 2019 | 2016049321302 | Order Granting Respondent Forte’s Supplemental Motion for Leave to Offer Expert Testimony | 19-31 |
May 02, 2019 | 2015045312501 | Order Granting Parties’ Motions for Leave to Permit Expert Testimony | 19-15 |
March 13, 2019 | 2017052760001 | Order Regarding Pre-Hearing Submissions | 19-09 |
May 02, 2018 | 2014041860801 | Omnibus Order on Pre-Hearing Motions | 18-07 |
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 |
July 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | 16-20 |
March 03, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
February 22, 2016 | 2014040501801 | Order Denying Motion for Permission to Present Expert Testimony | 16-06 |
January 29, 2016 | 2014040295201 | Order Denying Respondents’ Motion for Expert Testimony | 16-02 |
January 20, 2016 | 2015044960501 | Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. | 16-01 |
December 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 |
April 08, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | 15-08 |
February 03, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | 15-04 |
September 09, 2014 | 2011025617702 | Order Denying Respondents’ Motion to Permit Expert Testimony | 14-05 |
November 09, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | 12-07 |
March 14, 2012 | 2009018771602 | Order Denying Respondent’s Motion to Present Expert Witness | 12-01 |
July 28, 2011 | 2008012925001 | Order Regarding Pending Motions and Pre-Hearing Issues | 11-10 |
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 |
March 24, 2011 | 2009017798201 | Order Denying Respondent’s Motion for Leave to Offer Expert Testimony | 11-04 |
February 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | 08-02 |
June 28, 2007 | E102003025201 | Procedural Pre-Hearing Order | 07-27 |
June 27, 2007 | E102003025201 | Order Regarding Pre-Hearing Motions | 07-26 |
May 17, 2007 | E102003025201 | Order Denying Respondents' Request for Leave to Offer Expert Testimony | 07-20 |
February 13, 2007 | 2005000094001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 07-03 |
February 01, 2007 | E3A20050065 | Order Regarding Respondent's Pre-Hearing Submissions | 07-01 |
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 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 23, 2006 | EAF0300770001 | Order Permitting Expert Testimony | 06-49 |
October 03, 2006 | EAF0400300001 | Order Directing Respondents to File Exhibits and Witness List in Compliance With Pre-Hearing Order, and Extending Related Deadlines | 06-43 |
September 15, 2006 | EAF0400300001 | Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing | 06-38 |
April 17, 2006 | E0220030425-01 | Order Denying Respondent's Motion to Disqualify Expert Witness | 06-30 |
April 12, 2006 | CLG050021 | Order Partially Granting the Complainant's Motion to Disqualify Expert Witness | 06-26 |
March 23, 2006 | E102003130804 | Order Regarding Respondent's Pre-Hearing Submissions | 06-27 |
March 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 |
March 03, 2006 | E9B2003033501 | Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report | 06-20 |
January 20, 2006 | C05050015 | Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine | 06-14 |
January 19, 2006 | CLG050021 | Order Establishing Procedure Governing Presentation of Expert Testimony | 06-13 |
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 |
December 15, 2005 | CE3050003 | Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony | 05-42 |
October 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 |
May 05, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | 05-19 |
April 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | 05-17 |
April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | 05-15 |
April 05, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | 05-14 |
February 24, 2005 | C3A040023 | Order Regarding Respondents' Pre-Hearing Submissions | 05-03 |
July 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | 04-12 |
October 15, 2003 | C01020022 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | 03-19 |
July 07, 2003 | CAF020053 | Order on Respondent's Expert Witness Designation | 03-16 |
April 04, 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 |
October 06, 2000 | C9B000013 | Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony | 00-29 |
July 05, 2000 | C01000003 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-15 |
May 05, 2000 | CAF990007 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-11 |
July 17, 1999 | C8A990015 | Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony | 99-11 |
March 22, 1999 | C02980073 | Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony | 99-03 |
March 10, 1998 | C05970035 | Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses | 98-22 |
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 20, 1998 | C10970161 | Order | 98-7 |
November 15, 1997 | C07970055 | Final Pre-hearing Conference Order | 97-9 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
February 08, 2023 | 2021071137001 | Order Denying Respondents’ Discovery Requests | 23-04 |
October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | 21-12 |
August 12, 2020 | 2019063790901 | Order Denying Respondent’s Motion for Return of His Computer, Motion in Limine to Preclude/Place Conditions on Testimony of Customer, and Discovery Motion | 20-15 |
December 20, 2019 | 2016048921102 | Order Granting Motion to Withhold From Production Documents Outside the Scope of This Proceeding | 19-37 |
December 05, 2019 | 2015045257501 | Order Granting Motion to Withhold Certain Emails | 19-36 |
July 10, 2019 | 2015045312501 | Order Regarding Discovery | 19-26 |
June 25, 2019 | 2016051493704 | Omnibus Order on Pre-Hearing Motions | 19-23 |
June 14, 2019 | 2016048393501 | Order Denying in Part and Granting in Part Respondents’ Motion to Compel Production 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 24, 2018 | 2014041860801 | Order Granting in Part and Denying in Part Renewed Motion to Compel. | 18-06 |
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 Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017. | 17-08 |
March 21, 2017 | 2014038847602 | Order Denying Respondent’s Motion to Compel Discovery. | 17-06 |
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 |
March 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | 16-15 |
February 25, 2016 | 2014043020901 | Order Denying Respondent’s Motion to Compel Production of Documents | 16-08 |
February 23, 2015 | 2010024522103 | Order Denying Respondents’ Motion Pursuant to Rule 9251 | 15-02 |
January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | 14-03 |
June 12, 2013 | 2011025780101 | Order Denying Respondent’s Motion to Compel the Department of Enforcement to Produce Withheld Documents | 13-05 |
June 03, 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 02, 2013 | 2009017529101 | Order Denying Respondent’s Motion to Compel Production of Documents and a List of Withheld Documents. | 13-06 |
August 30, 2012 | 2010023367001 | Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents | 12-04 |
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 |
December 06, 2010 | 20050007427 | Order Granting Enforcement’s Request for Corrective Action re Respondents’ Rule 9252 Request for Documents | 10-07 |
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 |
October 31, 2007 | 20070077587 | Order Resolving Certain Pre-Hearing Motions | 07-38 |
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 |
May 11, 2007 | CAF040079 | Order Denying Respondent's Motion to Preclude Evidence and Requiring Enforcement to File a Declaration | 07-15 |
February 20, 2007 | 2005001305701 | Order Denying Respondents' Three Discovery Motions | 07-06 |
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 |
February 01, 2006 | C02040032 | Order Denying Motion to Dismiss | 06-16 |
January 12, 2006 | E8A2003080701 | Order Denying Respondent's Motion for Discovery | 06-09 |
January 11, 2006 | E9B2003033501 | Order Denying In Part and Granting In Part Respondent's Motion to Compel Discovery | 06-07 |
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 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 |
March 17, 2004 | CAF030014 | Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process | 04-01 |
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 09, 2000 | C07000023 | Pre-Hearing Order | 00-30 |
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 |
May 06, 1998 | C10970141 | Order Granting Respondents' "Objection to Rule 8210 Requests" and Denying Motion of Respondents to File Reply Memorandum | 98-23 |
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 | C10970164 | Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion | 98-1 |
January 02, 1998 | C10970158 | Order Denying Motion to Compel Discovery | 98-2 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
February 08, 2023 | 2021071137001 | Order Denying Respondents’ Discovery Requests | 23-04 |
October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | 21-12 |
August 17, 2020 | 2018057755201 | Order Granting Respondent’s Rule 9252 Motion | 20-11 |
August 12, 2020 | 2019063790901 | Order Denying Respondent’s Motion for Return of His Computer, Motion in Limine to Preclude/Place Conditions on Testimony of Customer, and Discovery Motion | 20-15 |
July 08, 2019 | 2017054405401 | Order Denying Respondent William Kielczewshi’s Request for the Issuance of a Request for Documents | 19-25 |
June 25, 2019 | 2016051493704 | Omnibus Order on Pre-Hearing Motions | 19-23 |
June 19, 2019 | 2016050957901 | 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 |
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 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 |
January 27, 2015 | 2012034936005 | Order Denying Respondent’s Motion to Compel Production of Documents and Rule 9252 Motion | 15-05 |
January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | 14-03 |
December 06, 2010 | 20050007427 | Order Granting Enforcement’s Request for Corrective Action re Respondents’ Rule 9252 Request for Documents | 10-07 |
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 |
April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | 05-15 |
March 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 |
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 |
September 18, 2003 | C3A030001 | Order Denying Motion for Issuance of 8210 Requests | 03-17 |
April 04, 2002 | C02010041 | Pre-Hearing Order | 02-05 |
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 |
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 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
February 03, 2023 | 2021070337501 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9253 | 23-03 |
October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | 21-12 |
August 12, 2020 | 2019063790901 | Order Denying Respondent’s Motion for Return of His Computer, Motion in Limine to Preclude/Place Conditions on Testimony of Customer, and Discovery Motion | 20-15 |
June 01, 2020 | 2017055164001 | Order Denying Respondent’s Motion For Production Of Witness Statements Under Rule 9253 | 20-07 |
June 19, 2019 | 2016050957901 | 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 24, 2018 | 2014041860801 | Order Granting in Part and Denying in Part Renewed Motion to Compel. | 18-06 |
September 30, 2014 | 2012032519101 | Order Denying Respondent’s Motion for Production of Documents | 14-04 |
January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | 14-03 |
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 14, 2009 | 2007009461301 | Order Denying Respondent's Motion to Compel Production of Witness Statements | 09-02 |
June 12, 2007 | 2005000191701 | Order Denying Respondent 3's Two Discovery Requests | 07-22 |
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 |
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 |
October 11, 2005 | C9B050022 | Order Denying Respondent's Motion for Discovery | 05-34 |
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 |
October 09, 2000 | C07000023 | Pre-Hearing Order | 00-30 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 15, 2021 | 2016048837401 | Order Converting Hearing to Video Conference if Necessary | 21-07 |
January 09, 2019 | 2016050938301 | Order Granting Department of Enforcement’s Motion For Leave to Amend its Exhibit List | 19-02 |
March 03, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
November 01, 2006 | EAF0400300001 | Order Regarding Hearing Procedures | 06-51 |
October 04, 2004 | C9B040036 | Order Granting Respondents Rule 9261(C) Request | 04-22 |
April 23, 2004 | C9B040033 | Pre-Hearing Order | 04-24 |
February 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | 01-03 |
February 25, 1998 | C10970033 | Order Directing Written Submissions in Place of Hearing | 98-19 |
January 20, 1998 | C10970161 | Order | 98-7 |
December 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. |
---|---|---|---|
October 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. |
---|---|---|---|
July 17, 2023 | 2021071137001 | Order Deferring Ruling on Lek Securities Corp. and Charles Lek’s Motion in Limine to Exclude Certain Evidence | 23-22 |
February 21, 2023 | 2017055886402 | Order Denying Enforcement’s Objection to Respondents’ Witness and Imposing Requirements on Respondent | 23-09 |
February 21, 2023 | 2017055886402 | Order Rejecting Respondents’ Pre-Hearing Objections to Enforcement’s Witnesses and Denying Motion in Limine | 23-06 |
February 21, 2023 | 2017055886402 | Order Sustaining One of Respondents’ Objections to Enforcement’s Exhibits and Overruling Other Objections | 23-08 |
February 09, 2023 | 2020066627202 | Order Regarding Pre-Hearing Objections and Motion in Limine | 23-05 |
July 14, 2022 | 2019061528001 | Order Denying the Parties' Motions in Limine | 22-13 |
July 14, 2022 | 2019061528001 | Order Granting Enforcement's Motion for Leave to Use Demonstrative | 22-14 |
May 26, 2022 | 2019061528001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 22-09 |
February 10, 2022 | 2018058537302 | Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative | 22-04 |
November 10, 2021 | 2018057274302 | Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine | 21-14 |
May 19, 2021 | 2019064313901 | Order Sustaining Respondent Paramveer Singh’s Objection to the Admission of CX-30 into Evidence | 21-08 |
January 19, 2021 | 2018058588501 | Order Regarding Enforcement’s Motion in Limine and Pre-Hearing Objections | 21-02 |
August 12, 2020 | 2019063790901 | Order Denying Respondent’s Motion for Return of His Computer, Motion in Limine to Preclude/Place Conditions on Testimony of Customer, and Discovery Motion | 20-15 |
August 05, 2020 | 2017055164001 | Order Denying Respondent’s Motions In Limine | 20-10 |
July 02, 2020 | 2016048837401 | Order Granting In Part And Denying In Part Respondent’s Motion In Limine Regarding Expert Testimony | 20-09 |
November 29, 2019 | 2017054405401 | Order Granting Enforcement’s Motion in Limine | 19-35 |
August 23, 2019 | 2015045312501 | Order Following Pre-Hearing Conference | 19-32 |
August 06, 2019 | 2016049321302 | Order Granting Respondent Forte’s Supplemental Motion for Leave to Offer Expert Testimony | 19-31 |
May 14, 2019 | 2017053382401 | Order on Enforcement’s Objections to Respondents’ Proposed Witness List and Exhibits and Motion in Limine | 19-17 |
May 02, 2019 | 2015045312501 | Order Granting Parties’ Motions for Leave to Permit Expert Testimony | 19-15 |
October 31, 2018 | 2016050025401 | Order Granting in Part Enforcement’s Pre-Hearing Motion | 18-16 |
May 03, 2018 | 2014039775501 | Order Regarding Enforcement’s Motion to Strike Respondent’s Witnesses and Exhibits and Respondent’s Motion to Strike Enforcement Exhibits | 18-09 |
May 02, 2018 | 2014041860801 | Omnibus Order on Pre-Hearing Motions | 18-07 |
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 |
November 13, 2017 | 2015047154001 | Order Denying Respondent’s Amended Motion to Grant Expert Testimony | 17-19 |
November 13, 2017 | 2013035345701 | Order Sustaining Department of Enforcement’s Objection to Respondents’ Inclusion of Erin Vocke on their Proposed Witness List | 17-20 |
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 |
July 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | 16-20 |
May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | 16-18 |
March 03, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
February 22, 2016 | 2014040501801 | Order Denying Motion for Permission to Present Expert Testimony | 16-06 |
February 03, 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 |
January 29, 2016 | 2014040295201 | Order Denying Respondents’ Motion for Expert Testimony | 16-02 |
January 20, 2016 | 2015044960501 | Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. | 16-01 |
December 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 |
April 08, 2015 | 2011025622001 | Order Denying Respondent's Motion for Leave to Permit Expert Testimony | 15-08 |
February 03, 2015 | 2011025706401 | Order Granting Department of Enforcement’s Motion for Leave to Offer Expert Testimony | 15-04 |
September 09, 2014 | 2011025617702 | Order Denying Respondents’ Motion to Permit Expert Testimony | 14-05 |
November 09, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | 12-07 |
March 14, 2012 | 2009018771602 | Order Denying Respondent’s Motion to Present Expert Witness | 12-01 |
July 28, 2011 | 2008012925001 | Order Regarding Pending Motions and Pre-Hearing Issues | 11-10 |
June 08, 2011 | 2007010398802 | Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part | 11-11 |
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 |
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 |
March 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 |
November 11, 2009 | 2007007255603 | Order Following Final Pre-Hearing Conference and Granting, in Part, Enforcement's Motion to Preclude Testimony and Exhibits | 09-03 |
February 29, 2008 | 20070077587 | Rulings on Pre-Hearing Motions and Notice of Hearing | 08-03 |
February 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | 08-02 |
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 17, 2007 | E102003025201 | Order Denying Respondents' Request for Leave to Offer Expert Testimony | 07-20 |
March 27, 2007 | 2005000440701 | Order Regarding Pre-Hearing Motions | 07-12 |
February 16, 2007 | 2005000316701 | Order Ruling on Respondents' Motions to Strike Department of Enforcement's Exhibits | 07-05 |
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 13, 2007 | 2005000094001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | 07-03 |
December 28, 2006 | E8A2003084806 | Order Granting Complainant's Motion in Limine | 06-58 |
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 |
November 07, 2006 | E1020040926-01 | Order Precluding the Respondents from Presenting Witnesses at the Hearing, Other Than Respondent 2 | 06-52 |
October 23, 2006 | EAF0300770001 | Order Permitting Expert Testimony | 06-49 |
September 15, 2006 | EAF0400300001 | Order Granting Parties Leave to Offer Expert Testimony and Amending Schedule for Hearing | 06-38 |
September 08, 2006 | CAF040079 | Order Denying Respondent's Request for Leave to File Motion in Limine | 06-36 |
April 25, 2006 | CLG050021 | Order Following Final Pre-Hearing Conference and Ruling on Motions in Limine | 06-32 |
April 17, 2006 | E0220030425-01 | Order Denying Respondent's Motion to Disqualify Expert Witness | 06-30 |
April 12, 2006 | CLG050021 | Order Partially Granting the Complainant's Motion to Disqualify Expert Witness | 06-26 |
March 23, 2006 | CLI050007 | Order Precluding Evidence and Denying Respondent's Motion to Continue Hearing | 06-28 |
March 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 |
March 03, 2006 | E9B2003033501 | Order Sustaining Complainant's Objections to Respondent's Expert Witness Designation and Report | 06-20 |
January 20, 2006 | C05050015 | Order Number 06-14 (C05050015)Order Following Final Pre-Hearing Conference and Rulings on Motions in Limine | 06-14 |
January 19, 2006 | CLG050021 | Order Establishing Procedure Governing Presentation of Expert Testimony | 06-13 |
January 13, 2006 | CLI050016 | Order Granting, In Part, Complainant's Motion to Preclude and Denying Respondent's Motion to Limit Complainant's Evidence | 06-12 |
December 15, 2005 | CE3050003 | Order Deferring Ruling on Joint Motion for Leave to Offer Expert Testimony | 05-42 |
October 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 |
October 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 |
May 05, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | 05-19 |
April 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | 05-17 |
April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | 05-15 |
April 05, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | 05-14 |
April 04, 2005 | CAF040002 | Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model | 05-13 |
March 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | 05-11 |
October 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | 04-29 |
September 15, 2004 | CAF030067 | Order Denying Motion to Strike Witnesses | 04-19 |
July 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | 04-12 |
June 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | 04-06 |
April 23, 2004 | C9B040033 | Pre-Hearing Order | 04-24 |
October 29, 2003 | CAF030008 | Order Regarding the Department's Motions in Limine | 03-22 |
October 15, 2003 | C01020022 | Order Granting the Parties' Motions for Leave to Introduce Expert Testimony | 03-19 |
July 07, 2003 | CAF020053 | Order on Respondent's Expert Witness Designation | 03-16 |
April 30, 2003 | CMS020143 | Order Denying Complainant's Motion in Limine | 03-11 |
April 08, 2003 | CAF020023 | Order Granting Complainant's Motion in Limine | 03-08 |
February 07, 2003 | C07020067 | Order Granting Motion in Limine | 03-14 |
April 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | 02-06 |
April 04, 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 |
February 15, 2001 | CMS000157 | Order Granting Respondent's Motion to Exclude Documents | 01-05 |
October 09, 2000 | C07000023 | Pre-Hearing Order | 00-30 |
October 06, 2000 | C9B000013 | Order Denying Respondent's Motion for Leave to Offer Expert Witness Testimony | 00-29 |
July 05, 2000 | C01000003 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-15 |
May 05, 2000 | CAF990007 | Order Denying Respondents' Motion Seeking Leave to Introduce Expert Witness Testimony | 00-11 |
July 17, 1999 | C8A990015 | Hearing Panel Order Granting Respondent'sMotion for Leave to Introduce Expert Witness Testimony | 99-11 |
March 22, 1999 | C02980073 | Order Granting Enforcement's Motion for Leave to Introduce Expert Witness Testimony | 99-03 |
August 04, 1998 | CAF970011 | Order Granting in Part and Denying in Part Complainant's Motion in Limine | 98-26 |
March 10, 1998 | C05970035 | Order Granting in Part Motion of Complainant to Exclude Respondents' Expert Witness and Certain Other Witnesses | 98-22 |
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 20, 1998 | C10970161 | Order | 98-7 |
December 15, 1997 | CMS970028 | Order Granting in Part Complainant's Motion to Exclude Witnesses and Amend Exhibit List | 97-12 |
November 15, 1997 | C07970055 | Final Pre-hearing Conference Order | 97-9 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
January 13, 2023 | 2020066627202 | Order Denying Respondent’s Motion for Summary Disposition | 23-01 |
March 02, 2022 | 2019060648701 | Order Denying Respondent’s Motion to Dismiss | 22-05 |
July 31, 2020 | 2018058924502 | Order Denying Motion for Summary Disposition | 20-14 |
March 26, 2020 | 2015045257501 | Order On Motion For Summary Disposition Of Affirmative Defenses | 20-05 |
March 28, 2019 | 2016052503101 | Order Denying Respondent’s Motion for Summary Disposition | 19-11 |
January 30, 2019 | 2015047005801 | Order Denying Enforcement’s Motion for Summary Disposition and Granting in Part and Denying in Part Motion to Strike Affirmative Defense | 19-03 |
April 11, 2018 | 2014040761001 | Amended Order Denying Respondent’s Motion for Partial Summary Disposition | 18-01 |
September 08, 2017 | 2013035740901 | Order Denying Respondents’ Motion for Summary Disposition | 17-18 |
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 |
March 10, 2016 | 2012031496501 | Order Denying Respondents’ Motion for Partial Summary Disposition. | 16-11 |
March 04, 2016 | 2014040501801 | Order Denying Respondents’ Motion for Summary Disposition | 16-09 |
March 03, 2016 | 2014040968501 | Omnibus Order on Pre-Hearing Motions | 16-13 |
February 26, 2016 | 2014041724601 | Order Denying Respondents’ Motions 1) For Summary Disposition and 2) To Disqualify Enforcement Counsel | 16-16 |
January 28, 2016 | 2015044379701 | Order Denying Motion to Dismiss | 16-03 |
April 02, 2015 | 2013036217601 | Order Granting In Part and Denying In Part Enforcement’s Motion for Partial Summary Disposition | 15-07 |
June 17, 2014 | 2011026788801 | Order Denying Summary Disposition | 14-01 |
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 |
March 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | 05-09 |
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 |
June 04, 2003 | C9A030006 | Order Denying Motion for Summary Disposition | 03-15 |
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 |
August 31, 2001 | C9A010011 | Order Granting Complainant's Motion for Partial Summary Disposition | 01-17 |
April 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 |
September 19, 2000 | C10990212 | Order Denying Enforcement's Motion for Partial Summary Disposition Against Respondent | 00-26 |
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 21, 1998 | CAF980025 | Order Granting Partial Summary Disposition in Favor of the Department of Enforcement and Continuing This Proceeding for Hearing on Sanctions | 98-32 |
March 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 |
December 26, 1997 | CAF970001 | Order Regarding Motion for Judgment on the Pleadings | 97-17 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
October 12, 2021 | 2016048837401 | Order Granting Enforcement’s Request to Correct the Hearing Transcript | 21-11 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
January 31, 2020 | 2018059510201 | Order Governing Post-Hearing Briefing | 20-03 |
August 07, 2007 | CAF040079 | Order Regarding Post-Hearing Briefs | 07-34 |
March 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 |
August 27, 1999 | C02980024 | Order Granting Complainant's Motion to Strike | 99-14 |
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 |
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 |
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 |
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 |
September 16, 1998 | C9A970045 | Order Denying Motion for Entry of Default Decision | 98-27 |
January 21, 1998 | C10970176 | Order as to Respondent | 98-10 |
January 13, 1998 | C10970141 | Order Denying Motion for Reconsideration of Order Setting Deadline for Filing Motion for Entry of Default Decision | 98-5 |
December 09, 1997 | C10970128 | Order Regarding Department of Enforcements Contact with Respondent's Counsel | 97-11 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
October 30, 2020 | 2015047244701 | Order on Behalf of Hearing Panel Accepting Offer of Settlement and Proposed Order of Acceptance Pursuant to FINRA Rule 9270(e) | 20-19 |
October 19, 2020 | 2015047244701 | Order Requiring Enforcement to Transmit to Hearing Panel Any Offer of Settlement and Proposed Order of Acceptance Pursuant to FINRA Rule 9270(e) | 20-18 |
August 15, 2016 | 2013038986001 | Order Rejecting Offer of Settlement | 16-21 |
June 08, 2011 | 2007010398802 | Order on Enforcement’s Objections to Respondent’s Proposed Exhibit List and Motion In Limine in Part | 11-11 |
March 27, 2008 | C02050006 | Order Approving and Forwarding Contested Offer of Settlement | 08-05 |
December 28, 2006 | 2005001819101 | Order Granting Complainant's Motion to Strike in Part the Introduction to Respondent's Answer | 06-57 |
April 30, 2003 | C3B020015 | Order Rejecting Contested Offer of Settlement | 03-12 |
March 01, 2000 | C05990026 | Order Rejecting Contested Offer of Settlement | 00-04 |
March 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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
July 19, 2023 | 2021071137001 | Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280 | 23-23 |
June 14, 2023 | 2018057297102 | Order Denying Respondent’s Motion to Disqualify Enforcement Counsel | 23-21 |
October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | 21-12 |
September 13, 2004 | C3A030049 | Order Precluding Evidence | 04-18 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
June 12, 2023 | 2019061528001 | Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondent Pursuant to FINRA Rule 9285 | 23-20 |
June 06, 2023 | 2019061528001 | Order Denying Respondents’ Request for Oral Argument on Enforcement’s Pending Rule 9285 Motion | 23-18 |
October 31, 2022 | 2019064813801 | Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents | 22-21 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
August 24, 2021 | FPI210005 | Amended Order setting Hearing and Other Deadlines | EXP21-02 |
July 29, 2021 | ARB210008 | Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits | EXP21-01 |
July 15, 2020 | ARB200024 | Order Granting Department of Enforcement’s Motion To Strike Respondent’s Defense And Request for Hearing | EXP20-01 |
October 04, 2019 | FPI190006 | Order Permitting Parties To Oppose Or Otherwise Comment Upon The Hearing Officer’s Proposal To Take Official Notice | EXP19-03 |
May 03, 2019 | FPI190001, FPI190002 | Order Denying Respondents’ Motion to Conduct Hearing in Person, Regulatory Operations v. Alpine and Scotsdale | EXP19-02 |
January 25, 2019 | ARB180037 | Order Denying Motion to Dismiss; | EXP19‐01 |
January 30, 2017 | 2013037401001 | Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence | 17-01 |
December 18, 2015 | ARB150039 | Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) | EXP15-02 |
December 03, 2015 | ARB150048 | Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action | EXP15-03 |
March 18, 2015 | DFC140002 | Order Granting Complainant's Motion to Dismiss Hearing Request | EXP15-01 |
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 20, 2006 | ARB060029 | Order Clarifying Agenda for Pre-Hearing Conference | 06-40 |
September 15, 2006 | ARB060023 | Order Overruling Objection to Telephonic Hearing | 06-39 |
September 14, 2006 | DFC060004 | Order Setting a Pre-Hearing Conference | 06-56 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 13, 2023 | 97002201 | Order Granting Motion to Dismiss and Decision | EXP23-13 |
February 28, 2023 | 97002201 | Order Granting In Part and Denying In Part Enforcement’s Motion to Continue Hearing Date | EXP23-10 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
March 02, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | 05-06 |
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 |
Date of Decision | Proceeding No. | Title | Order No. |
---|---|---|---|
June 18, 2020 | 2014041541401 | Order Requiring Certification of Compliance With FINRA Rule 9910 | 20-08 |
September 03, 2019 | 2016048393501 | Order Requiring Certification of Compliance with FINRA Rule 9910 | 19-33 |
February 28, 2019 | 2016048393501 | Notice of Receipt of Answer and Order Setting Initial Pre-Hearing Conference and Requiring Certificate of Compliance with FINRA Rule 9910 | 19-04 |
June 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | 04-06 |