Council Members

Mitzi Architect

Director, 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

Princeton, NJ

Jim Downing

Chief Compliance Officer
Morningstar Inc.
Chicago, IL

Stephen Easton

Vice President & Chief Compliance Officer
Windsor, CT

Andrea Evancho

Group Manager, Enterprise Chief Control Office - Regulatory Framework
BNY Mellon
Pittsburgh, PA

Michael Fitzpatrick

NYSE Regulation
New York, NY

Douglas W. Foster

Director of Enterprise Risk Management
Janney Montgomery Scott LLC
Philadelphia, PA

Gregory Jaeck

Senior Product Leader - Insurance and Annuities
Edward Jones
St. Louis, MO

Kay Johnson

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

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

Steve Portas

Wellington Shields & Co.
New York, NY

David Scrams

Vice President
Testing & Continuing Education
Financial Industry Regulatory Authority (FINRA)
Rockville, MD

Harry Striplin

Paulson Investment Company, LLC
Lake Oswego, OR

Melanie Taylor

SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC

Willie Wong

Casey Securities LLC
San Francisco, CA

Molly Wurst

Senior Manager, Compliance Training
RBC Capital Markets, LLC
Minneapolis, MN