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. Titlesort ascending Type
Jul 8, 1998 C10970007 Lawrence P. Bruno, Jr. Disciplinary Decision
Feb 27, 1998 CMS950110 La Jolla Capital Corp. & Harold Bailey Gallison, Jr. Disciplinary Decision
Dec 17, 1997 C01960003,C01960024 L.H. Alton & Company & Lewis Hunt Alton Disciplinary Decision
Dec 20, 2004 CMS000142 Ko Securities, Inc. Disciplinary Decision
Nov 13, 2002 CMS000142 Ko Securities, Inc. Disciplinary Decision
Feb 25, 2009 EAF0400300001 Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
Aug 23, 2016 2011025675501 APPEALED: Kimberly Springsteen-Abbott Disciplinary Decision
Jul 20, 2017 2011025675501r APPEALED: Kimberly Springsteen-Abbott Disciplinary Decision
Dec 14, 2007 C05050015 Kevin P. Calandro and James W. Browne Disciplinary Decision
Feb 24, 2009 E9A2002010501 Kevin M. Glodek Disciplinary Decision
Jun 28, 1999 C8A970015 Kevin Lee Otto Disciplinary Decision
Aug 18, 2010 EAF0400630001 Kevin L. Cohen, Dennis S. Kaminski, and Gari C. Sanfilippo Disciplinary Decision
Apr 6, 1999 C04970034 Kevin Harrison Stricklin Disciplinary Decision
Jun 5, 1997 CMS950087 Kevin Eric Shaughnessy Disciplinary Decision
Jul 7, 1999 C3A960029 Kevin D. Kunz & Kunz & Cline Inc. Management, Inc. Disciplinary Decision
Dec 22, 2010 2006005318801 Kent M. Houston Disciplinary Decision
Feb 22, 2013 2006005318801 Kent M. Houston Disciplinary Decision
Dec 29, 2015 2011029619301 APPEALED: Kenny Akindemowo Disciplinary Decision
Feb 15, 2007 C3A050003 Kenneth Christopher Shelley Disciplinary Decision
Feb 5, 1999 C8B980018 Kellie A. Will Disciplinary Decision
Jan 22, 1999 C8A960063 Keith L. Mohn Disciplinary Decision
Jul 30, 2009 E9B2003033701 Keith Howard Medeck Disciplinary Decision
Jul 20, 2016 2009020465801 APPEALED: Keith D. Geary Disciplinary Decision
Feb 27, 2015 2011028061001 APPEALED: Keilen Dimone Wiley Disciplinary Decision
Aug 3, 2016 2011025851501 APPEALED: KCD Financial, Inc. Disciplinary Decision

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