The Council is composed of industry members from broker-dealers that represent a broad cross section of industry firms and of representatives from self-regulatory organizations (SROs). The Council also includes liaisons from the SEC and NASAA.
Council Members
Council Chairperson
Melanie Taylor
SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC
Council Vice Chairperson
Patricia Mittler
Executive Director
UBS Securities LLC
New York, NY
Regulatory & Practical Elements Chairperson
Mitzi Architect
Director, Business Control Manager
Regulatory Training
Merrill Lynch, Pierce, Fenner & Smith Inc.
Boerne, TX
Communications & Metrics; Finance Chairperson
Jim Downing
Chief Compliance Officer
Morningstar Inc.
Chicago, IL
Firm Element Chairperson
Molly Wurst
Senior Manager, Compliance Training
RBC Capital Markets, LLC
Minneapolis, MS
Tim Bonisteel
AVP, Business Law & Compliance
Lincoln Financial Group
Fort Wayne, IN
John F. Cunningham
Director — Member Services
MIAX Exchange Group
Princeton, NJ
Stephen J. Easton J.D.
Vice President & Chief Compliance Officer
Voya Investments Distributor, LLC
Windsor, CT
Andrea Vadas Evancho
Group Manager, Enterprise Chief Control
Officer – Regulatory Framework
BNY Mellon
Pittsburgh, PA
Douglas W. Foster
Director of Enterprise Risk Management
Janney Montgomery Scott LLC
Philadelphia, PA
Gregory Jaeck
Senior Product Leader – Insurance and Annuities
Edward Jones
Saint Louis, MO
Kay Johnson
Chief Compliance Officer/Partner
Allied Millennial Partners, LLC
New York, NY
Bri Joiner
Director, Regulatory Compliance
Municipal Securities Rulemaking Board
Washington, DC
Jennifer Lamie
VP, Chief Regulatory Advisor
Cboe Global Markets
Chicago, IL
Casie McMahon
Compliance Director
Wolverine Trading
Chicago, IL
Katherine Michaels
Vice President, Supervision
Raymond James
St. Petersburg, FL
Scott Palmer
Chief Regulatory Officer
Members Exchange
Jersey City, NJ
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Stephen Portas
Chief Compliance Officer
Wellington Shields & Co
New York, NY
David Scrams
Vice President
Testing & Continuing Education
FINRA
Rockville, MD
Harry Striplin
Chief Compliance Officer
Paulson Investment Company, LLC
Lake Oswego, OR
Thomas Warshaw
Manager
NYSE Regulation
New York, NY
Willie Wong
Chief Compliance Officer
Casey Securities LLC
San Francisco, CA
Council Liasons
Elisabeth Craig
Sr. Vice President and Deputy
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
Daniel Fisher
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Kyra Grundeman
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Natasha R. Hurt
North American Securities Administrators
Association
Washington, DC
Nicole Lefort
Associate Director
FINRA
New York, NY
Derek W. Linden
Executive Vice President
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
Patricia Monterosso
Senior Director, CRED Continuing Education Services
FINRA
New York, NY
Brett Olin
Deputy Securities Commissioner
Office of the Montana State Auditor
Helena, MT
Geri Pinarski
Manager, Regulation
Choe Global Markets
Chicago, IL
James Papagiannis
Chief Compliance Officer
InspereX LLC
Chicago, IL
Edward Schellhorn
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Irmina Tan
Principal Client Relationship Manager
Testing & Continuing Education
FINRA
Rockville, MD
Danny Toula
Senior Professional Qualifications Analyst
Municipal Securities Rulemaking Board
Washington, DC