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.sort descending Title Type
Dec 17, 1999 C02980051 Gordon Kerr Disciplinary Decision
May 16, 2001 C02990022 Joseph Gaetano Gerace Disciplinary Decision
Jan 23, 2001 C02990042,C02980085 Robert Tretiak Disciplinary Decision
May 17, 2001 C02990052 Shailesh B. Patel Disciplinary Decision
Feb 23, 2007 C04050005 Robert E. Strong Disciplinary Decision
May 7, 2007 C04050014 Dennis P. Cooper Disciplinary Decision
Jan 16, 1998 C04960004 Tammy S. Kwikkel-Elliott Disciplinary Decision
Apr 6, 1999 C04970034 Kevin Harrison Stricklin Disciplinary Decision
Nov 3, 1999 C04970050 Ansula Pet Hwa Liu Disciplinary Decision
Dec 14, 1999 C04990005 Bradford Lee Brinton Disciplinary Decision
Aug 13, 2002 C05010012 Wendell D. Belden Disciplinary Decision
May 6, 2003 C05010017 James S. Davenport Disciplinary Decision
May 11, 2007 C05020055 Michael F. Siegel Disciplinary Decision
Dec 4, 2007 C05020055 Michael F. Siegel Disciplinary Decision
Aug 28, 2006 C05030036 Sisung Securities Corporation Disciplinary Decision
Dec 14, 2007 C05050015 Kevin P. Calandro and James W. Browne Disciplinary Decision
Nov 3, 1998 C05930020 Donald R. Gates Disciplinary Decision
Oct 16, 2000 C05940077 John P. Goldsworthy Disciplinary Decision
Aug 28, 1997 C05950018 In the Matter of District Business Conduct Committee For District No. 5 Complainant, v. Respondent 1 Disciplinary Decision, Redacted Decision
Aug 28, 1997 C05950018 John M.W. Crute, Jr. Disciplinary Decision
Oct 10, 1997 C05960041 In the Matter of District Business Conduct Committee for District No. 5, Complainant, vs. Respondent 1 Disciplinary Decision, Redacted Decision
Sep 18, 1998 C05960074 In the Matter of District Business Conduct Committee For District No. 5 Complainant, vs. Respondent Disciplinary Decision, Redacted Decision
Aug 16, 2001 C05990026 Christopher M. Block & Jeffrey S. Burke Disciplinary Decision
Aug 6, 2001 C05990035 John Lawson Greer, III Disciplinary Decision
Jul 30, 2004 C06020003 Eric H. Dieffenbach and Michel A. Rooms Disciplinary Decision

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