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.sort descending Title Type
Aug 16, 2004 C01020025 Brookes McIntosh Bendetsen Disciplinary Decision
Sep 6, 2005 C01040001 Department of Enforcement, Complainant, vs. Respondent Firm and Respondent Disciplinary Decision, Redacted Decision
Feb 23, 2006 C01040010 Patrick Orvil Nugent Disciplinary Decision
May 19, 2006 C01040019 Beerbaum & Beerbaum Financial and Insurance Services, Inc., and Hans N. Beerbaum Disciplinary Decision
Dec 29, 2006 C01040025 Jimmie Lee Griffith Disciplinary Decision
Nov 5, 1997 C01950010 Ashton N. Gowadia Disciplinary Decision
Aug 28, 1997 C01950021 In the Matter of District Business Conduct Committee for District No. 1, Complainant, vs. Respondent 1 and Respondent 2 Disciplinary Decision, Redacted Decision
Dec 17, 1997 C01960003,C01960024 L.H. Alton & Company & Lewis Hunt Alton Disciplinary Decision
Aug 11, 1997 C01960005 Clyde Joseph Bruff Disciplinary Decision
Sep 5, 1997 C01960013 In the Matter of District Business Conduct Committee for District No. 1, Complainant, vs. Respondent 1 Disciplinary Decision, Redacted Decision
Apr 7, 1999 C01960018 In the Matter of District Business Conduct Committee For District No. 1 Complainant, vs. Respondent Firm 1 and Respondent 2 Disciplinary Decision, Redacted Decision
Nov 18, 1998 C01960020 Daniel Wright Sisson Disciplinary Decision
Aug 9, 1999 C01970001 Joel Dean Moore Disciplinary Decision
Jul 2, 1998 C01970012 Monterey Bay Securities, Inc., & Kenneth Mark Doolittle Disciplinary Decision
Jul 9, 1998 C01970012 Monterey Bay Securities, Inc., & Kenneth Mark Doolittle Disciplinary Decision
Jul 9, 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
Jul 2, 1998 C01970017 Glen McKinley Richars, III Disciplinary Decision
Mar 30, 1999 C01970021 Robin Bruce McNabb Disciplinary Decision
Apr 19, 1999 C01970025 Gregory Paul Maggipinto Disciplinary Decision
Aug 20, 1999 C01970028 In the Matter of District Business Conduct Committee For District No. 1, Complainant, vs. Respondent Firm 1 and Respondent 2 Disciplinary Decision, Redacted Decision
Aug 12, 1999 C01970032 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision, Redacted Decision
Apr 10, 2000 C01990002 Bernard San Juan Rondez Disciplinary Decision
Nov 1, 2001 C02000037 Paul John Hoeper Disciplinary Decision
Aug 8, 2003 C02010041 Anthony H. Barkate Disciplinary Decision
Dec 2, 2004 C02020055 VMR Capital Markets US Disciplinary Decision

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