Jeffrey Abramczyk
Head of Compliance Monitoring
Pershing LLC
George Arnett
Managing Director/Senior Managing Counsel
Pershing LLC
Thomas Biolsi
Principal
PricewaterhouseCoopers
Michael Caccese
Partner
K&L Gates LLP
Marianne Czernin
EVP, Broker-Dealer Services
National Regulatory Services
Mederic Daigneault
Director, Hedge Fund Services
National Regulatory Services
Mark Eide
Chief Compliance Officer
Woodbury Financial Services
Jennifer Eller
Principal
Groom Law Group Chartered
Carlo V. di Florio
Director, OCIE
U.S. Securities and Exchange Commission
John Gebauer
Managing Director
National Regulatory Services
Andrea Golis
Chief Compliance Officer
Thrivent Financial for Lutherans
Kevin Goodman
Associate Regional Director, Examinations
U.S. Securities and Exchange Commission
David Greene
Director
FINRA (District 2/LA Office)
Mark Happe
CCO
MMC Securities Corp.
Michele Hawkins
Chief Compliance Officer
Fort Washington Investment Advisors
Diane Horn
Director, NMIS Compliance and AML Officer
Northwestern Mutual Investment Services
Patrick Kuhse
Ethics Fellow, University of Florida
Speaking of Ethics
David Lui
Chief Compliance Officer
FAF Advisors/First American Funds
|
|
Bruce Maisel
VP and Managing Director
Thrivent Financial for Lutherans
Ish Manzanares
Director, Consulting
National Regulatory Services
Richard Marshall
Partner
Ropes & Gray LLP
Lori Martin
Partner
WilmerHale
Thomas Pappas
VP/Dir. of Advertising Regulation Programs
FINRA
Mark Perlow
Partner
K&L Gates LLP
Adam Reback
Chief Compliance Officer
J. Goldman & Co.
Richard Seepersaud
Compliance Officer
TIAA-CREF
Margaret Sheehan
Partner
Ashurst LLP
Daniel Sibears
EVP/ Member Regulation Programs
FINRA
Tim Simons
Partner
Ashland Partners & Company
David Sobel
EVP/CCO
Abel/Noser Corporation
Robert Stirling
Sr. Consultant, Investment Adviser Services
National Regulatory Services
Dennis Stubblefield
Law Offices of Dennis A. Stubblefield
Steve Trigili
Chief Compliance Officer
Garden State Securities
Kurt Wachholz
Managing Director
Wellspring Compliance
John Walsh
Associate Director/Chief Counsel (OCIE)
U.S. Securities and Exchange Commission
Ida Wurczinger Draim
Partner
Schulte Roth & Zabel
|
