The inability to present relevant evidence through telephone testimony may impede NASD's disciplinary process, at least in some cases. In ruling on the pending Motion, the Hearing Officer has reconciled these competing considerations, the position of the Parties, the witnesses' inability or unwillingness to attend the Hearing and the reasons therefore, and the nature of the proposed testimony. Based on this analysis, the Hearing Officer has determined to allow telephone testimony. Enforcement will be responsible for ensuring that functioning speakerphones are available at the Hearing so that members of the Hearing Panel, the Parties, and the court reporter can clearly hear the testimony. Copies of witness declarations and affidavits shall be filed and served five days in advance of the Hearing and the originals shall be available at the Hearing.
Enforcement is to designate which exhibits relate to which witness.
By November 4, Respondent shall notify Enforcement of all documents that he will use during the cross-examination of each witness. Respondent is to designate which exhibits relate to which witness. If Enforcement does not have a copy of any of the designated documents, Respondent shall provide a copy with the notice. If such documents have not previously been produced to Respondent, Enforcement shall provide copies to Respondent with the notice. Enforcement shall ensure that each witness receives, and has at the time of examination, copies of all exhibits relating to direct, cross, and re-direct examination of that witness.