17 C.F.R. § 12.35

Current through September 30, 2024
Section 12.35 - Consequences of a party's failure to comply with a discovery order

If a party fails to comply with an order compelling discovery, or an order issued pursuant to § 12.34 , the official assigned to render the decision in the case may, upon motion by a party or on the official's own motion, take such action in regard thereto as is just, including but not limited to the following:

(a) Infer that the documents or things not produced would have been adverse to the party;
(b) Rule that for the purposes of the proceeding the information in or contents of the documents or things not produced be taken as established adversely to the party;
(c) Rule that the party may not be heard to object to introduction and use of secondary evidence to show what the withheld documents or other evidence would have shown;
(d) Rule that a pleading, or part of a pleading, or a motion or other submission by the party, to which the order for production related, be stricken;
(e) Dismiss the entire proceeding with prejudice to matters alleged in the complaint, but without prejudice to counterclaims; and
(f) Issue a default order and render a decision against the party, whose rights shall thereafter be determined by §§ 12.22 and 12.23 of these rules.

17 C.F.R. §12.35

49 FR 6621, Feb. 22, 1984, as amended at 86 FR 64356, Nov. 18, 2021