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FINRA Election Results and Appointments

December 15, 2017

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