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
Dec 28, 2010 2006007544401 M. Paul De Vietien Disciplinary Decision
Dec 13, 2001 C9A000027 Luther A. Hanson Disciplinary Decision
Mar 15, 2017 2009017440201 APPEALED: Louis Ottimo Disciplinary Decision
Nov 3, 2017 SD-2160 Louis Capital Markets, LP Statutory Disqualification, Approvals
Jul 15, 2016 SD-2096 Louis A. Woolf with Voya Financial Advisors, Inc. Statutory Disqualification, Approvals
Jan 6, 1998 C02950044 Lori Sue Koppel-Heath Disciplinary Decision
Aug 7, 2009 E102004083705 Lisa Ann Tomiko Nouchi Disciplinary Decision
Jul 3, 1997 C10930044 Leonard John Ialeggio Disciplinary Decision
Oct 11, 2016 2009020941801 APPEALED: Lek Securities Corporation Disciplinary Decision
Oct 8, 2010 2005000879302 Legacy Trading Co., LLC and Mark Alan Uselton Disciplinary Decision
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
May 24, 2018 SD-2132 Kimberly Springsteen-Abbott Statutory Disqualification
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

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