OHO Orders by Rule

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FINRA Rule 8210 - Provision of Information and Testimony and Inspection and Copying of Books

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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 Cantone Respondents’ 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

FINRA Rule 9136 - Filing of Papers: Form

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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

FINRA Rule 9141 - Appearance and Practice; Notice of Appearance

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Date of Decision Proceeding No. Title Order No.
September 08, 2022 2017055886402 Order Excluding Unqualified Attorney from This Proceeding 22-18
August 30, 2022 2017055886402 Order Setting a Pre-Hearing Videoconference for Friday, September 2, 2022, and Specifically Requiring Respondent Raymond J. Derobbio 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

FINRA Rule 9142 - Withdrawal by Attorney or Representative

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Date of Decision Proceeding No. Title Order No.
September 08, 2022 2017055886402 Order Excluding Unqualified Attorney from This Proceeding 22-18
October 07, 1997 C3A970066 Order Granting Motion to Withdraw as Counsel to Respondent 97-3

FINRA Rule 9143 - Ex Parte Communications

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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

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Date of Decision Proceeding No. Title Order No.
May 17, 2024 2019064508802 Order Denying Respondent’s Motion for Judicial Notice 24-10
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

FINRA Rule 9146 - Motions

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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

FINRA Rule 9212 - Complaint Issuance - Requirements, Service, Amendment, Withdrawal, and Docketing

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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

FINRA Rule 9214 - Consolidation or Severance of Disciplinary Proceedings

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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 C8A990015 Order Denying Respondent's Motion for Separate Proceedings and Stay of Action 99-08
May 07, 1999 CAF980031 Order Denying Motions to Sever 99-09
February 05, 1998 CAF970002 Order Regarding Severance 98-17
December 18, 1997 C05970037 Order Granting Motion for Consolidation of Disciplinary Proceedings 97-14

FINRA Rule 9215 - Answer to Complaint

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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 Department of 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 Department of 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

FINRA Rule 9222 - Extensions of Time, Postponements, and Adjournments

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Date of Decision Proceeding No. Title Order No.
March 15, 2024 2018057297102 Order Following Pre-Hearing Conference Regarding Respondent’s March 14, 2024 Email Communication Concerning Jury Summons 24-07
March 23, 2023 2018057297102 Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates 23-15
September 23, 2022 2017055886402 Order Granting Motion to Continue Hearing and Requiring Parties to Submit Joint Proposed Schedule 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 Respondents’ 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 (1) Granting Request for Postponement and (2) 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

FINRA Rule 9231 - Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer

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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

FINRA Rule 9232 - Criteria for Selection of Panelists and Replacement Panelists

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Date of Decision Proceeding No. Title Order No.
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

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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 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

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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

FINRA Rule 9235 - Hearing Officer Authority

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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

FINRA Rule 9241 - Pre-Hearing Conference

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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

FINRA Rule 9242 - Pre-Hearing Submission

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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

FINRA Rule 9251 - Inspection and Copying of Documents in Possession of Staff

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Date of Decision Proceeding No. Title Order No.
May 15, 2024 2022073772701 Order Denying Respondent’s Motion Pursuant to FINRA Rule 9251 24-09
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 and/or to Place Conditions on the Testimony of Customer A, and Motion Related to Discovery Issues 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 C10970158 Order Denying Motion to Compel Discovery 98-2
January 02, 1998 C10970164 Pre-Hearing Scheduling Order and Rulings on Respondent's Discovery Motion 98-1

FINRA Rule 9252 - Requests for Information

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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 and/or to Place Conditions on the Testimony of Customer A, and Motion Related to Discovery Issues 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 2014044985401 Order Granting Respondent’s Request for an Order of Production. 17-11
April 11, 2017 2014042524301 Order Regarding Respondent’s Interrogatories, Requests for Production of Documents, and Requests for Admissions 17-10
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 CLI050016 Order Denying Respondent's Motion to Compel Discovery 06-05
January 10, 2006 E8A2004065102 Order Requiring Respondent to Supplement His Rule 9252 Request 06-04
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

FINRA Rule 9253 - Production of Witness Statements

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Date of Decision Proceeding No. Title Order No.
February 08, 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 and/or to Place Conditions on the Testimony of Customer A, and Motion Related to Discovery Issues 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

FINRA Rule 9261 - Evidence and Procedure in Hearing

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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

FINRA Rule 9262 - Testimony

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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

FINRA Rule 9263 - Admissibility

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Date of Decision Proceeding No. Title Order No.
July 17, 2023 2021071137001 Order Deferring Ruling on Lek Securities Corp. and Charles Frederik Lek’s Motion in Limine to Exclude Certain Evidence 23-22
February 21, 2023 2017055886402 Order Denying the Department of Enforcement’s Objection to One of Respondents’ Witnesses, but Imposing Certain Requirements on Respondents 23-09
February 21, 2023 2017055886402 Order Rejecting Respondents’ Pre-Hearing Objections to the Department of Enforcement’s Proposed Witnesses and Denying Respondent’s Motion in Limine 23-06
February 21, 2023 2017055886402 Order Sustaining One of Respondents’ Objections to the Department of Enforcement’s Proposed 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 and/or to Place Conditions on the Testimony of Customer A, and Motion Related to Discovery Issues 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

FINRA Rule 9264 - Motion for Summary Disposition

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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 Respondents’ 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

FINRA Rule 9265 - Record of Hearing

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Date of Decision Proceeding No. Title Order No.
October 12, 2021 2016048837401 Order Granting Enforcement’s Request to Correct the Hearing Transcript 21-11

FINRA Rule 9266 - Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs

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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

FINRA Rule 9269 - Default Decisions

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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

FINRA Rule 9270 - Settlement Procedure

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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

FINRA Rule 9280 - Contemptuous Conduct

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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

FINRA Rule 9285 - Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review

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Date of Decision Proceeding No. Title Order No.
May 23, 2024 2021071137001 Order Granting Department of Enforcement’s Motion for Interim Conditions and Restrictions 24-17
May 20, 2024 2021070337501 Order Granting Department of Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions 24-12
June 12, 2023 2019061528001 Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents 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 for Conditions and Restrictions 23-18
October 31, 2022 2019064813801 Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents 22-21

FINRA Rule 9559 - Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series

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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

FINRA Rule 9700 - Procedures On Grievances Concerning The Automated Systems

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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

FINRA Rule 9840 - Issuance of Order by Hearing Panel

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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

FINRA Rule 9850 - Review by Hearing Panel

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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

FINRA Rule 9910 - Post-Employment Conflict of Interest Restrictions; Nonpublic Information

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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