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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.

Media: field_core_official_dt (year)
Date of Decision Proceeding No. Title Type
February 05, 1999 C02960001 Harold B. Gallison, Jr., Gregory K. Mehlmann, Robert C. Weaver, Gerald R. Budke, Christopher S. Knight, La Jolla Capital Corporation Disciplinary Decision
February 05, 1999 C8B980018 Kellie A. Will Disciplinary Decision
January 28, 1999 C9A970018 Maximo J. Guevara Disciplinary Decision
January 27, 1999 C10960168 In the Matter of District Business Conduct Committee For District No. 10 Complainant, vs. Respondent Firm 1, Respondent 2, and Respondent 3 Disciplinary Decision, Redacted Decision
January 26, 1999 C3A970026 In the Matter of District Business Conduct Committee For District No. 3 Complainant, vs. Respondent 1 Disciplinary Decision, Redacted Decision
January 22, 1999 C8A960063 Keith L. Mohn Disciplinary Decision
January 21, 1999 C3B960026 Gerald Cash McNeil Disciplinary Decision
January 20, 1999 C10960047 Jawahar K. Doshi Disciplinary Decision
January 13, 1999 C10970003 Donald Clyde Bozzi Disciplinary Decision
January 13, 1999 C8A970070 Theodore L. Pittman, III Disciplinary Decision
January 13, 1999 C9B960032 Brian D. Angiuli Disciplinary Decision
January 01, 1999 SD99001 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99004 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99007 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99012 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99016 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99020 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99025 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99018 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Denials
January 01, 1999 SD99002 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99005 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99008 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99014 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99017 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99022 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals