National Adjudicatory Council
The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. While a decision is on appeal, the sanction is not actively enforced against the firm or individual. The NAC may affirm, dismiss, modify, or reverse any finding, or remand for further proceedings. The NAC may affirm, modify, reverse, increase, or reduce any sanction or impose any other fitting sanction.
Unless FINRA's Board of Governors decides to review the NAC's appellate decision, the NAC's decision represents FINRA's final action. A firm or individual can appeal FINRA's decision to the Securities and Exchange Commission.
Date of Decision | Proceeding No. | Title | Type |
---|---|---|---|
September 18, 1998 | C05960074 | In the Matter of District Business Conduct Committee For District No. 5 Complainant, vs. Respondent | Disciplinary Decision, Redacted Decision |
September 14, 1998 | C07960096 | Hunter International Securities, Inc., & Louis N. Nizza, Jr. | Disciplinary Decision |
September 11, 1998 | C10970029 | John M. Columbia | Disciplinary Decision |
August 25, 1998 | C07960069 | Steven A. Kirschbaum | Disciplinary Decision |
August 17, 1998 | C07970022 | Allen R. Prewitt | Disciplinary Decision |
July 29, 1998 | C10960162 | Douglas John Mangan | Disciplinary Decision |
July 28, 1998 | C02970027 | Nancy H. Martin | Disciplinary Decision |
July 24, 1998 | C07970045 | Ted D. Wells | Disciplinary Decision |
July 22, 1998 | C8B960042 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
July 22, 1998 | C8B960042 | John A. Chepak | Disciplinary Decision |
July 13, 1998 | CMS920091 | Michael J. Markowski & Joseph F. Riccio | Disciplinary Decision |
July 09, 1998 | C01970012 | In the Matter of District Business Conduct Committee for District No. 1, Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
July 09, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision |
July 08, 1998 | C10970007 | Lawrence P. Bruno, Jr. | Disciplinary Decision |
July 02, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision |
July 02, 1998 | C07950058 | International Trading Group, Inc., & Daniel E. Carter | Disciplinary Decision |
July 02, 1998 | C07950058 | In the Matter of District Business Conduct Committee For District No. 7 Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
July 02, 1998 | C01970017 | Glen McKinley Richars, III | Disciplinary Decision |
July 01, 1998 | C07970051 | Richard Timothy Greene | Disciplinary Decision |
June 29, 1998 | No Complaint Number | Carlisle Investment Group, Ltd. | Disciplinary Decision |
June 12, 1998 | C9B950010 | Eliezer Gurfel | Disciplinary Decision |
June 12, 1998 | C10930017 | Rafael Pinchas | Disciplinary Decision |
June 10, 1998 | C3A960009 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent Firm and Mr. Robert L. Stevens | Disciplinary Decision, Redacted Decision |
June 04, 1998 | C07970024 | Michael L. Yancey | Disciplinary Decision |
May 13, 1998 | C3A960040 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |