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 | |
|---|---|---|---|---|
| Jul 9, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision | |
| Jul 8, 1998 | C10970007 | Lawrence P. Bruno, Jr. | Disciplinary Decision | |
| Jul 2, 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 | |
| Jul 2, 1998 | C07950058 | International Trading Group, Inc., & Daniel E. Carter | Disciplinary Decision | |
| Jul 2, 1998 | C01970017 | Glen McKinley Richars, III | Disciplinary Decision | |
| Jul 2, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision | |
| Jul 1, 1998 | C07970051 | Richard Timothy Greene | Disciplinary Decision | |
| Jun 29, 1998 | No Complaint Number | Carlisle Investment Group, Ltd. | Disciplinary Decision | |
| Jun 12, 1998 | C9B950010 | Eliezer Gurfel | Disciplinary Decision | |
| Jun 12, 1998 | C10930017 | Rafael Pinchas | Disciplinary Decision | |
| Jun 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 | |
| Jun 4, 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 | |
| Mar 22, 1998 | C8A960040 | Podesta & Co. & Carol P. Foley | Disciplinary Decision | |
| Mar 22, 1998 | C8A960040 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent Firm 1, and Respondent 2 | Disciplinary Decision, Redacted Decision | |
| Mar 12, 1998 | C3A960040 | Cindy M. Goldberg | Disciplinary Decision | |
| Mar 6, 1998 | C02970007 | Aaron Eugene Granath | Disciplinary Decision | |
| Mar 6, 1998 | C07960085 | Adam S. Levy | Disciplinary Decision | |
| Feb 27, 1998 | CMS950110 | La Jolla Capital Corp. & Harold Bailey Gallison, Jr. | Disciplinary Decision | |
| Feb 19, 1998 | C07930034 | Escalator Securities, Inc., & Howard A. Scala | Disciplinary Decision | |
| Feb 3, 1998 | CMS960085 | James T. Patten & Greater Metropolitan Investment Services, Inc. | Disciplinary Decision | |
| Jan 23, 1998 | C3B960004 | Otto M. Bruun | Disciplinary Decision | |
| Jan 23, 1998 | C02960042 | Stephen J. Gluckman | Disciplinary Decision | |
| Jan 23, 1998 | C07960009 | James S. Pritula | Disciplinary Decision | |
| Jan 22, 1998 | C07960091 | Robert L. Wallace | Disciplinary Decision |