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
Feb 4, 2013 2009017439601 Timothy Joseph Golonka Disciplinary Decision
Mar 15, 2017 2009017440201 APPEALED: Louis Ottimo Disciplinary Decision
Mar 5, 2014 2009017527501 Steven R. Tomlinson Disciplinary Decision
Oct 5, 2015 2009017899801 APPEALED: Rani T. Jarkas Disciplinary Decision
Dec 18, 2012 2009018068701 Harry W. Hunt Disciplinary Decision
Feb 20, 2014 2009018076101 Blair Alexander West Disciplinary Decision
Sep 28, 2010 20090182345 In the Matter of the New Membership Application of Firm A Membership Decision
Dec 31, 2013 2009018771602 Robert H. Watkins Disciplinary Decision
Dec 29, 2014 2009019108901 APPEALED: William Scholander and Talman Harris Disciplinary Decision, Redacted Decision
Apr 24, 2013 2009019369302 Jeff Ng Disciplinary Decision
Nov 30, 2010 20090196759 NAC Redacted Membership Decision 20090196759 Membership Decision
Jul 18, 2014 2009019837302 APPEALED: Blair C. Mielke and Frederick W. Shultz Disciplinary Decision
Jul 20, 2016 2009020465801 APPEALED: Keith D. Geary Disciplinary Decision
Oct 11, 2016 2009020941801 APPEALED: Lek Securities Corporation Disciplinary Decision
Jan 4, 2018 2010020954501 APPEALED: Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers Disciplinary Decision
Jul 21, 2014 2010021303301 North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
May 20, 2014 2010021621201 Michael Pino Disciplinary Decision
Sep 20, 2012 2010021916601 Joseph S. Amundsen Disciplinary Decision
Jul 21, 2016 2010022601501 Jack Brian Weinstock Disciplinary Decision
Apr 15, 2011 20100226181 NAC Redacted Membership Decision 20100226181 Membership Decision
May 16, 2016 2010022977801 APPEALED: David B. Tysk Disciplinary Decision
May 9, 2014 2010023349601 APPEALED: Denise M. Olson Disciplinary Decision
Dec 10, 2012 2010023719601 Chad A. McCartney Disciplinary Decision
Jun 3, 2014 2010023724601 David Kristian Evansen Disciplinary Decision
Dec 17, 2015 2010024889501 William B. Fretz, Jr, John P. Freeman and The Keystone Equities Group, LP Disciplinary Decision

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