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
Director
MIAX
Princeton, NJ
Jim Downing
Chief Compliance Officer
Morningstar Inc.
Chicago, IL
Stephen Easton
Vice President & Chief Compliance Officer
Voya
Windsor, CT
Andrea Evancho
Group Manager, Enterprise Chief Control Office - Regulatory Framework
BNY Mellon
Pittsburgh, PA
Michael Fitzpatrick
Director
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