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 |
---|---|---|---|
July 25, 2007 | C8A050055 | Daniel W. Bukovcik | Disciplinary Decision |
July 25, 2007 | C02040016 | Philippe N. Keyes | Disciplinary Decision |
July 10, 2007 | E9A2004001901 | Douglas J. Toth | Disciplinary Decision |
May 24, 2007 | C02040032 | Dana N. Frankfort | Disciplinary Decision |
May 11, 2007 | C05020055 | Michael F. Siegel | Disciplinary Decision |
May 07, 2007 | C04050014 | Dennis P. Cooper | Disciplinary Decision |
February 27, 2007 | C9B050011 | Charles J. Cuozzo, Jr. | Disciplinary Decision |
February 27, 2007 | C8A050027 | Marylan Taylor | Disciplinary Decision |
February 23, 2007 | C04050005 | Robert E. Strong | Disciplinary Decision |
February 16, 2007 | E072004044201 | Ralph Merhi | Disciplinary Decision |
February 15, 2007 | C3A050003 | Kenneth Christopher Shelley | Disciplinary Decision |
February 12, 2007 | C06040027 | Sterling Scott Lee and Dennis Todd Lloyd Gordon | Disciplinary Decision |
February 12, 2007 | C07040042 | John D. Kaweske | Disciplinary Decision |
February 12, 2007 | C02050006 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
January 23, 2007 | C3A040023 | John M. Meyers and Brian C. Klein | Disciplinary Decision |
January 17, 2007 | C10040025 | John Brigandi | Disciplinary Decision |
January 08, 2007 | C9A040024 | Charles C. Fawcett IV | Disciplinary Decision |
January 03, 2007 | C3A040001 | Charles A. DaCruz and Thomas J. Linda | Disciplinary Decision |
January 01, 2007 | SD07002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2007 | SD07003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2007 | SD07001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2007 | SD07004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
December 29, 2006 | C01040025 | Jimmie Lee Griffith | Disciplinary Decision |
December 18, 2006 | C8A040079 | Gregory R. Masceri | Disciplinary Decision |
December 18, 2006 | C9B040080 | Morton Bruce Erenstein | Disciplinary Decision |