BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Nancy Kimball Mellon, Tampa, FL, Respondent. DECISION Complaint No. 2017052760001 Dated: October 18, 2022 Respondent converted funds from her firm, filed false expense reports that caused her firm to maintain inaccurate books and records, failed to respond truthfully to FINRA’s requests for information and documents. Held, findings and sanctions affirmed.