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 | |
|---|---|---|---|---|
| Feb 21, 2012 | 2006005259801 | John Joseph Plunkett | Disciplinary Decision | |
| Jan 2, 2012 | SD12005 | In the Matter of the Continued Association of X as a General Securities Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Denials | |
| Jan 2, 2012 | SD12008 | In the Matter of the Continued Association of X as a General Securities Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Denials | |
| Jan 2, 2012 | SD12006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12004 | In The Matter of the Association of X as an Investment Company and Variable Contracts Products Limited Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12007 | In the Matter of the Continued Membership of Firm X with FINRA | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12009 | In the Matter of the Continued Association of X as a General Securities Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12010 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12001 | In the Matter of the Continued Association of X as a General Securities Representative | Redacted Decision, Statutory Disqualification, Denials | |
| Jan 2, 2012 | SD12002 | In the Matter of the Association of X as an Associated Person with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Denials | |
| Dec 28, 2011 | 2007009403801 | Stephen W. Wilson | Disciplinary Decision | |
| Dec 20, 2011 | 2005001988201 | Mark B. Beloyan and Tradespot Markets, Inc. | Disciplinary Decision | |
| Oct 20, 2011 | 2005003610701 | William J. Murphy, Carl M. Birkelbach, and Birkelbach Investment Securities, Inc. | Disciplinary Decision | |
| Oct 4, 2011 | 2007009981201 | Robert D. Tucker | Disciplinary Decision | |
| Oct 3, 2011 | 2006005977901 | Kale E. Evans | Disciplinary Decision | |
| Aug 5, 2011 | 20070094468 | Dirk Allen Taylor | Disciplinary Decision | |
| Jul 28, 2011 | 2005000324301 | Jerry William Burch | Disciplinary Decision | |
| Jul 21, 2011 | 200801201960 | Rebecca Amy Reichman | Disciplinary Decision | |
| May 13, 2011 | 2007011937001 | Howard Braff | Disciplinary Decision | |
| May 6, 2011 | 2005003437102 | Michael Lee Bullock | Disciplinary Decision | |
| Apr 15, 2011 | 20100226181 | NAC Redacted Membership Decision 20100226181 | Membership Decision | |
| Mar 3, 2011 | 2005000075703 | Midas Securities, LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee, and Rodney Preston Michel | Disciplinary Decision | |
| Feb 24, 2011 | 20070094345,20070111775 | John E. Mullins and Kathleen M. Mullins | Disciplinary Decision | |
| Jan 7, 2011 | 2007009082902 | Richard A. Neaton | Disciplinary Decision |