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. | Title | Type |
---|---|---|---|
April 24, 2013 | 2009019369302 | Jeff Ng | Disciplinary Decision |
March 04, 2013 | 2009017439601 | Timothy Joseph Golonka | Disciplinary Decision |
February 26, 2013 | 2007010158001 | CapWest Securities, Inc.: Appealed | Disciplinary Decision |
February 22, 2013 | 2006005318801 | Kent M. Houston | Disciplinary Decision |
February 15, 2013 | 2007010580702 | Dennis Thomas Palmeri, Jr. | Disciplinary Decision |
February 15, 2013 | 2008014621701 | Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. | Disciplinary Decision |
January 01, 2013 | SD13002 | In the Matter of the Association of X as a General Securities Representative with The Sponsoring Firm | Statutory Disqualification, Denials |
January 01, 2013 | SD13005 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals |
January 01, 2013 | SD13003 | In the Matter of the Association of X as a Corporate Securities Limited Representative with The Sponsoring Firm | Statutory Disqualification, Approvals |
January 01, 2013 | SD13001 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals |
January 01, 2013 | SD13004 | In the Matter of the Continued Membership of Firm X with FINRA | Statutory Disqualification, Approvals |
December 18, 2012 | 2009018068701 | Harry W. Hunt | Disciplinary Decision |
December 12, 2012 | 2008011701203 | Daniel James Gallagher | Disciplinary Decision |
December 10, 2012 | 2010023719601 | Chad A. McCartney | Disciplinary Decision |
September 26, 2012 | 2007008239001 | ACAP Financial Inc. and Gary Hume | Disciplinary Decision |
September 20, 2012 | 2010021916601 | Joseph S. Amundsen | Disciplinary Decision |
September 14, 2012 | 2007007792902 | Edward S. Brokaw | Disciplinary Decision |
August 01, 2012 | 2006005786501 | Joseph A. Padilla and Andrea M. Ritchie(f/k/a Andrea M. Bruno) | Disciplinary Decision |
July 26, 2012 | 2008015105601 | Nolan Wayne Moore | Disciplinary Decision |
May 02, 2012 | 2007007151101 | Merrimac Corporate Securities, Inc. | Disciplinary Decision |
May 01, 2012 | 2006004122402 | Hedge Fund Capital Partners, LLC and Howard G. Jahre | Disciplinary Decision |
March 07, 2012 | 2008012137601 | Gregory Richard Imbruce | Disciplinary Decision |
March 02, 2012 | 20060051788-01 | Harrison A. Hatzis | Disciplinary Decision |
February 24, 2012 | 2007011489301 | Ryan A. Leopold | Disciplinary Decision |
February 21, 2012 | 2006005259801 | John Joseph Plunkett | Disciplinary Decision |