Council Members
William E. Bartol
Chief Compliance Officer
Cornerstone Real Estate Advisers LLC
Hartford, CT
Lawrence J. Bresnahan
Vice President, Member Firm Regulation
Chicago Board Options Exchange
Chicago, IL
Deborah Castiglioni
CEO
Cutter & Company, Inc.
Baldwin, MO
Nicholas C. Cochran
Vice President
American Investors Company
San Ramon, CA
James Cummings
Executive Vice President, Registration & Disclosure
Financial Industry Regulatory Authority (FINRA)
Rockville, MD
Rebecca Anne Dooley
Senior Vice President & Chief Compliance Officer
KeyBanc Capital Markets, Inc.
Cleveland, OH
Joseph D. Fleming
Director of Compliance
RBC Wealth Management
Loretta Jones
Director of Professional Qualifications
Municipal Securities Rulemaking Board
Alexandria, VA
Daryl E. King
OSJ Manager
Lincoln Financial Sec. Corp.
McMurray, PA
Arlene Klein
Director
Barclay’s Capital
George Mandl
Executive Director, Compliance Group
Mitsubishi UFJ Securities (USA) Inc.
New York, NY
Dean K. Morell
Senior Vice President
Morgan Stanley Smith Barney LLC
Portland, OR
James Rabenstine
Vice President, Office of Compliance
Nationwide Insurance
Columbus, Ohio
Andrew C. Small
General Counsel
Scottrade, Inc.
St. Louis, Missouri
Wendy A. Snyder
Executive Director, Legal & Compliance Education Head (Americas)
UBS Investment Bank
Stamford, CT
Donald P. Southwick
President and CEO
Doeren Mayhew Financial Advisors, LLC
Troy, MI
Timothy L. Stickney
Head of TD Wealth Management Compliance
TD Wealth Management
Portland, ME
Susan Winegar
Director
Credit Suisse Securities (USA) LLC.
San Francisco, CA
Pamela K Ziermann
Senior Vice President
Dougherty & Company
Minneapolis, MN
