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 | |
|---|---|---|---|---|
| Dec 17, 2013 | 2008016437801 | Hugh Vincent Murray III | Disciplinary Decision | |
| Dec 17, 2013 | 2006005259801 | John Joseph Plunkett | Disciplinary Decision | |
| Oct 2, 2013 | 2008011762801 | Mitchell H. Fillet | Disciplinary Decision | |
| Oct 1, 2013 | 2007010902501 | Jeffrey B. Pierce | Disciplinary Decision | |
| Jul 25, 2013 | 20060053785-02 | Robert N. Drake | Disciplinary Decision | |
| Apr 26, 2013 | 2008015934801 | Alan Jay Davidofsky | Disciplinary Decision | |
| Apr 24, 2013 | 2009019369302 | Jeff Ng | Disciplinary Decision | |
| Feb 26, 2013 | 2007010158001 | CapWest Securities, Inc.: Appealed | Disciplinary Decision | |
| Feb 22, 2013 | 2006005318801 | Kent M. Houston | Disciplinary Decision | |
| Feb 15, 2013 | 2008014621701 | Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. | Disciplinary Decision | |
| Feb 15, 2013 | 2007010580702 | Dennis Thomas Palmeri, Jr. | Disciplinary Decision | |
| Feb 4, 2013 | 2009017439601 | Timothy Joseph Golonka | Disciplinary Decision | |
| Jan 1, 2013 | SD13002 | In the Matter of the Association of X as a General Securities Representative with The Sponsoring Firm | Statutory Disqualification, Denials | |
| Jan 1, 2013 | SD13003 | In the Matter of the Association of X as a Corporate Securities Limited Representative with The Sponsoring Firm | Statutory Disqualification, Approvals | |
| Jan 1, 2013 | SD13004 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals | |
| Jan 1, 2013 | SD13005 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals | |
| Jan 1, 2013 | SD13001 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals | |
| Dec 18, 2012 | 2009018068701 | Harry W. Hunt | Disciplinary Decision | |
| Dec 12, 2012 | 2008011701203 | Daniel James Gallagher | Disciplinary Decision | |
| Dec 10, 2012 | 2010023719601 | Chad A. McCartney | Disciplinary Decision | |
| Sep 26, 2012 | 2007008239001 | ACAP Financial Inc. and Gary Hume | Disciplinary Decision | |
| Sep 20, 2012 | 2010021916601 | Joseph S. Amundsen | Disciplinary Decision | |
| Sep 14, 2012 | 2007007792902 | Edward S. Brokaw | Disciplinary Decision | |
| Aug 1, 2012 | 2006005786501 | Joseph A. Padilla and Andrea M. Ritchie(f/k/a Andrea M. Bruno) | Disciplinary Decision | |
| Jul 26, 2012 | 2008015105601 | Nolan Wayne Moore | Disciplinary Decision |