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 20, 1999 | C01970028 | In the Matter of District Business Conduct Committee For District No. 1, Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| August 12, 1999 | C07980019 | John D. Morgan | Disciplinary Decision |
| August 12, 1999 | C01970032 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| August 09, 1999 | C01970001 | Joel Dean Moore | Disciplinary Decision |
| August 06, 1999 | C06910024 | In the Matter of District Business Conduct Committee For District No. 6 Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| August 06, 1999 | C8B970010 | District Business Conduct Committee For District No. 8, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| August 06, 1999 | C06910024 | Toney L. Reed | Disciplinary Decision |
| July 09, 1999 | CMS960238 | Michael B. Jawitz | Disciplinary Decision |
| July 08, 1999 | C3A960033 | Brian Prendergast | Disciplinary Decision |
| July 07, 1999 | C3A960029 | Kevin D. Kunz & Kunz & Cline Inc. Management, Inc. | Disciplinary Decision |
| June 28, 1999 | C8A970015 | Kevin Lee Otto | Disciplinary Decision |
| June 15, 1999 | C3A970031 | Daniel S. Hellen | Disciplinary Decision |
| June 14, 1999 | C10970176 | Robert Fitzpatrick | Disciplinary Decision |
| June 10, 1999 | CMS960194 | J.C. Bradford & Co. | Disciplinary Decision |
| June 04, 1999 | C3A950031 | In the Matter of District Business Conduct Committee For District No. 3 Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| May 13, 1999 | C07980027 | Stuart G. Horowitz | Disciplinary Decision |
| May 13, 1999 | C10960208 | A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, & Stacy Meyers | Disciplinary Decision |
| April 28, 1999 | C8A960054 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent Firm 1, Respondent 2, Respondent 3, and Respondent 4 | Disciplinary Decision, Redacted Decision |
| April 21, 1999 | C9B960013 | Steven D. Goodman | Disciplinary Decision |
| April 19, 1999 | C01970025 | Gregory Paul Maggipinto | Disciplinary Decision |
| April 09, 1999 | C10970156 | Andrew D. Schiff | Disciplinary Decision |
| April 07, 1999 | C07950054 | In the Matter of District Business Conduct Committee For District No. 7, Complainant, vs. Respondent 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| April 07, 1999 | C01960018 | In the Matter of District Business Conduct Committee For District No. 1 Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| April 06, 1999 | C04970034 | Kevin Harrison Stricklin | Disciplinary Decision |
| March 30, 1999 | C02960039 | Harry Gliksman & William Gallagher | Disciplinary Decision |