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 | |
|---|---|---|---|---|
| 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 | |
| Mar 11, 2019 | 2010022977801r | 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 |