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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA Election Results and Appointments
FINRA recently concluded elections to fill vacant seats on the Small Firm Advisory Board (SFAB), National Adjudicatory Council (NAC) and District Committees. The FINRA Board also appointed individuals to fill other vacancies. Here are the election results and appointees:
Small Firm Advisory Board (SFAB):
North Region Representative
Cucharale, COO/CCO, M. Griffith Investment Services
South Region Representative
Linde Murphy, COO/CCO, M.E. Allison & Co.
MW Region Representative
Robert Hamman, Pres./CCO, First Asset Financial
At-Large SFAB Members
Wendy Lanton, COO/CCO, Lantern Investments
James Williams, Registered Principal, Financial Telesis
National Adjudicatory Council
Small Firm NAC Member
Paige Pierce, SVP, Larimar Capital Corp.
Large Firm NAC Member
Belinda Blaine, MD, Morgan Stanley
At-large Industry NAC Member
Ilene Marquadt, Head of Litigation & Regulatorry, UBS Wealth Mgmt
Non-Industry NAC Members
Heidi Stam, Retired (formerly, Vanguard Group
Andrew Tuch, Assoc.Professor, Washington Univ. School of Law
District Committees
District 7 Large Firm Representative
Michael Pagano, EVP- Compliance, Legal & Risk Assessment, 1st Global Capital
District 9 Small Firm Representative
Steven Trigili, CCO, Garden State Securities
District 11 Mid-Size Firm Representative
Sheelagh Howett, CRO, Cantella & Co.
District 1 Small Firm Representatives
Alan Carlisle, CCO, SoFi Securities
Chris Charles, Pres./CEO/CCO, Wulff Hansen & Co.
District 2 Large Firm Representative
Suzann LoCoco, VP, Compliance, CUSO Financial Services
District 3 Small Firm Representative
Joanne Salisbury, CCO, E.K. Riley Investments
District 3 Large Firm Representative
Alexis Schumann, CRO, Advisor Group, SagePoint Financial
District 4 Small Firm Representative
Amy Guthrey, VP, Risk Management & CCO, Burch & Company
District 4 Large Firm Representative
Patrick Dogan, Director – Cap. Markets & Ops Compliance, Edward Jones
District 5 Small Firm Representative
Robert Keenan, CEO, St. Bernard Financial Services
District 6 Mid-size Firm Representative
Abel Garcia, Jr., SVP, Risk Management & CCO, Prospera Financial
District 8 Small Firm Representative
Stephen Berkeley, CCO and Regulatory Counsel, Loop Capital Markets
District 9 Large Firm Representative
Page Howard Pennell, Deputy CCO & Senior Director/Exam Mgmt, AXA Advisors
District 10 Small Firm Representatives2
Jay Gettenberg, FinOp, LiquidityEdge
John Parmigiani, CEO, Allied Millennial Partners
District 10 Large Firm Representative
Elizabeth Bailey, MD/CCO, BMO Capital Markets
District 11 Large Firm Representative
Richard O’Brien, SVP/CCO, National Financial Services
