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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
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
March 30, 1999 C01970021 Robin Bruce McNabb Disciplinary Decision
February 09, 1999 C06950029 Frank J. Ingersoll Disciplinary Decision
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 C9B960032 Brian D. Angiuli Disciplinary Decision
January 13, 1999 C10970003 Donald Clyde Bozzi Disciplinary Decision
January 13, 1999 C8A970070 Theodore L. Pittman, III Disciplinary Decision
January 01, 1999 SD99006 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99009 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99015 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99019 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99024 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals
January 01, 1999 SD99013 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Denials
January 01, 1999 SD99026 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Denials
January 01, 1999 SD99001 In the Matter of the Association of X Redacted Decision, Statutory Disqualification, Approvals