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 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
May 24, 2005 C02020057 Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision
Jul 25, 2007 C02040016 Philippe N. Keyes Disciplinary Decision
Dec 28, 2005 C02040016 Philippe N. Keyes Disciplinary Decision
May 24, 2007 C02040032 Dana N. Frankfort Disciplinary Decision
Feb 12, 2007 C02050006 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision, Redacted Decision
Jan 6, 1998 C02950044 Lori Sue Koppel-Heath Disciplinary Decision
Aug 28, 1997 C02950053 Michael Edgar Goldstein, Jeffrey B. Goodman, Jason Scott Neu, William Reininger, & Joseph Patrick Hannan Disciplinary Decision
Feb 5, 1999 C02960001 Harold B. Gallison, Jr., Gregory K. Mehlmann, Robert C. Weaver, Gerald R. Budke, Christopher S. Knight, La Jolla Capital Corporation Disciplinary Decision
Nov 13, 1998 C02960024 James Basil Peters Disciplinary Decision
Jan 20, 1998 C02960031 Donna R. Roach Disciplinary Decision
Mar 30, 1999 C02960039 Harry Gliksman & William Gallagher Disciplinary Decision
Jan 23, 1998 C02960042 Stephen J. Gluckman Disciplinary Decision

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