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 |
|---|---|---|---|
| August 17, 2018 | SD-2151 | Jesse B. Shelmire, IV with Stonegate Capital Markets, Inc. | Statutory Disqualification, Approvals |
| August 01, 2018 | SD-2179 | State Street Global Advisors Funds Distributors, LLC | Statutory Disqualification, Approvals |
| August 01, 2018 | SD-2180 | State Street Global Markets, LLC | Statutory Disqualification, Approvals |
| July 20, 2018 | 2014041724601 | APPEALED: Scottsdale Capital Advisors Corporation, John Joseph Hurry, Timothy Brian DiBlasi, and Darrel Michael Cruz | Disciplinary Decision |
| June 25, 2018 | SD-2183 | David Girton | Statutory Disqualification, Approvals |
| May 25, 2018 | SD-2189 | Francis D. Moise, Sr., with First Western Securities, Inc. | Statutory Disqualification, Approvals |
| May 24, 2018 | SD-2132 | APPEALED: Kimberly Springsteen-Abbott | Statutory Disqualification, Denials |
| May 23, 2018 | 2012030564701 | Newport Coast Securities, Inc., Andre La Barbera, Douglas Leone | Disciplinary Decision |
| May 23, 2018 | 2012034393801 | Aon Miller | Disciplinary Decision |
| May 21, 2018 | 2014043001601 | Allen Holeman | Disciplinary Decision |
| May 17, 2018 | 2015044960501 | Michael Todd Clements | Disciplinary Decision |
| May 14, 2018 | SD-2172 | APPEALED: Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) | Statutory Disqualification, Denials |
| April 05, 2018 | SD-2150 | David P. Brown | Statutory Disqualification, Approvals |
| March 28, 2018 | 2011030293503 | Richard Gomez | Disciplinary Decision |
| March 19, 2018 | 2014040876001 | Kenneth J. Mathieson | Disciplinary Decision |
| March 13, 2018 | SD-2137 | APPEALED: Gabriel Block | Statutory Disqualification, Denials |
| February 22, 2018 | SD-2123 | Catherine Ann Sheridan | Statutory Disqualification, Approvals |
| January 04, 2018 | 2010020954501 | APPEALED: Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers | Disciplinary Decision |
| December 22, 2017 | 2013035533701 | APPEALED: Meyers Associates, L.P. | Disciplinary Decision |
| December 21, 2017 | 2011027007901 | Shashishekhar Doni | Disciplinary Decision |
| December 11, 2017 | SD-2144 | Goldman, Sachs & Co. | Statutory Disqualification, Approvals |
| November 28, 2017 | SD-2147 | Morgan Stanley Smith Barney | Statutory Disqualification, Approvals |
| November 03, 2017 | SD-2160 | Louis Capital Markets, LP | Statutory Disqualification, Approvals |
| October 05, 2017 | 2013038986001 | APPEALED: Richard Allen Riemer, Jr. | Disciplinary Decision |
| October 02, 2017 | SD-2129 | APPEALED: Bruce Zipper | Disciplinary Decision |