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 | |
|---|---|---|---|---|
| May 13, 1998 | C3A960040 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision | |
| Jun 4, 1998 | C07970024 | Michael L. Yancey | 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 12, 1998 | C9B950010 | Eliezer Gurfel | Disciplinary Decision | |
| Jun 12, 1998 | C10930017 | Rafael Pinchas | Disciplinary Decision | |
| Jun 29, 1998 | No Complaint Number | Carlisle Investment Group, Ltd. | Disciplinary Decision | |
| Jul 1, 1998 | C07970051 | Richard Timothy Greene | 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 8, 1998 | C10970007 | Lawrence P. Bruno, Jr. | 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 9, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision | |
| Jul 13, 1998 | CMS920091 | Michael J. Markowski & Joseph F. Riccio | Disciplinary Decision | |
| Jul 22, 1998 | C8B960042 | John A. Chepak | Disciplinary Decision | |
| Jul 22, 1998 | C8B960042 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision | |
| Jul 24, 1998 | C07970045 | Ted D. Wells | Disciplinary Decision | |
| Jul 28, 1998 | C02970027 | Nancy H. Martin | Disciplinary Decision | |
| Jul 29, 1998 | C10960162 | Douglas John Mangan | Disciplinary Decision | |
| Aug 17, 1998 | C07970022 | Allen R. Prewitt | Disciplinary Decision | |
| Aug 25, 1998 | C07960069 | Steven A. Kirschbaum | Disciplinary Decision | |
| Sep 11, 1998 | C10970029 | John M. Columbia | Disciplinary Decision | |
| Sep 14, 1998 | C07960096 | Hunter International Securities, Inc., & Louis N. Nizza, Jr. | Disciplinary Decision | |
| Sep 18, 1998 | C05960074 | In the Matter of District Business Conduct Committee For District No. 5 Complainant, vs. Respondent | Disciplinary Decision, Redacted Decision |