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 | |
|---|---|---|---|---|
| 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 | |
| May 2, 2012 | 2007007151101 | Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| May 1, 2012 | 2006004122402 | Hedge Fund Capital Partners, LLC and Howard G. Jahre | Disciplinary Decision | |
| Mar 7, 2012 | 2008012137601 | Gregory Richard Imbruce | Disciplinary Decision | |
| Mar 2, 2012 | 20060051788-01 | Harrison A. Hatzis | Disciplinary Decision | |
| Feb 24, 2012 | 2007011489301 | Ryan A. Leopold | Disciplinary Decision | |
| Feb 21, 2012 | 2006005259801 | John Joseph Plunkett | Disciplinary Decision | |
| Jan 2, 2012 | SD12003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12004 | In The Matter of the Association of X as an Investment Company and Variable Contracts Products Limited Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12007 | In the Matter of the Continued Membership of Firm X with FINRA | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12009 | In the Matter of the Continued Association of X as a General Securities Representative with The Sponsoring Firm | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12010 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals | |
| Jan 2, 2012 | SD12001 | In the Matter of the Continued Association of X as a General Securities Representative | Redacted Decision, Statutory Disqualification, Denials |