Council Members
Mitzi Architect
Vice President, Business Control Manager
Merrill Lynch, Pierce, Fenner & Smith Inc.
Boerne, TX
Tim Bonisteel
AVP, Business Law & Compliance
Lincoln Financial Group
Fort Wayne, IN
John F. Cunningham
Director
MIAX
Princeton, NJ
Russ Davidson
Compliance Director
Credit Suisse
New York, NY
Jim Downing
Chief Compliance Officer
Morningstar Inc.
Chicago, IL
Stephen Easton
Vice President & Chief Compliance Officer
Voya
Windsor, CT
Andrea Evancho
Treasurer, Chief Compliance Officer
E.E. Powell & Company Inc.
Seven Fields, PA
Michael Fitzpatrick
Director
NYSE Regulation
New York, NY
Douglas W. Foster
Director of Enterprise Risk Management
Janney Montgomery Scott LLC
Philadelphia, PA
Bryan Jacobsen
Chief Compliance Officer
Apex Clearing Corporation
Dallas, TX
Gregory Jaeck
Senior Product Leader - Insurance and Annuities
Edward Jones
St. Louis, MO
Bri Joiner
Director, Professional Qualifications
Municipal Securities Rulemaking Board
Washington, DC
Jennifer Lamie
VP, Chief Regulatory Advisor
Cboe Global Markets
Chicago, IL
Steven Longo
Compliance Surveillance Director
Citigroup
New York, NY
Casey McMahon
Compliance Director
Wolverine Trading
Chicago, IL
Katharine Michaels
Vice President, Supervision
Raymond James
St. Petersburg, FL
Patricia Mittler
Executive Director
UBS Financial Services Inc.
New York, NY
Scott Palmer
Chief Regulatory Officer
Members Exchange
Jersey City, NJ
James Papagiannis
Chief Compliance Officer
InspereX LLC
Chicago, IL
John Rotondi
Director
MUFG Bank
New York, NY
David Scrams
Vice President
Testing & Continuing Education
Financial Industry Regulatory Authority (FINRA)
Rockville, MD
Melanie Taylor
SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC
Molly Wurst
Senior Manager, Compliance Training
RBC Capital Markets, LLC
Minneapolis, MN