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Last Updated: 6/4/08
FINRA Officers |
1735 K Street, NW
Washington, DC 20006
Mary L. Schapiro
Chief Executive Officer
Richard G. Ketchum
Non-Executive Chairman
James P. Donovan
Senior Executive Vice President, Technology and Strategy
Michael D. Jones
Senior Executive Vice President and Chief Administrative Officer
Stephen Luparello
Senior Executive Vice President, Regulatory Operations
Elisse B. Walter
Senior Executive Vice President, Regulatory Policy and Programs
Todd T. Diganci
Executive Vice President and Chief Financial Officer
Linda D. Fienberg
President, Dispute Resolution and Executive Vice President and Chief Hearing Officer
T. Grant Callery
Executive Vice President and General Counsel
Martin Colburn
Executive Vice President and Chief Technology Officer
James J. Cummings
Executive Vice President, Registration and Disclosure
Robert C. Errico
Executive Vice President, Member Regulation
George H. Friedman
Executive Vice President and Director of Dispute Resolution
Thomas R. Gira
Executive Vice President, Market Regulation
Steven A. Joachim
Executive Vice President, Transparency Services and International Affairs and Services
Derek W. Linden
Executive Vice President and Chief Data Officer
Marc Menchel
Executive Vice President and General Counsel
Susan L. Merrill
Executive Vice President, Chief of Enforcement
Howard M. Schloss
Executive Vice President, Corporate Communications and Government Relations
Thomas M. Selman
Executive Vice President, Investment Companies/Corporate Financing Regulation
James S. Shorris
Executive Vice President, Executive Director of Enforcement
Daniel M. Sibears
Executive Vice President, Member Regulation Programs
Grace B. Vogel
Executive Vice President, Member Regulation
James R. Allen
Senior Vice President, Compensation and Benefits/Corporate Risk Management
Kenneth L. Andrichik
Senior Vice President and Director, Mediation and Business Strategies, Dispute Resolution
Marcia E. Asquith
Senior Vice President and Corporate Secretary
Susan F. Axelrod
Senior Vice President, Office of Regulatory Operations
Richard A. Bachman
Senior Vice President, Affinity Group
Gene G. DeMaio
Senior Vice President, Market Regulation
Eileen M. Famiglietti
Senior Vice President and Corporate Controller
David M. FitzGerald
Senior Vice President and Deputy Chief Hearing Officer
Lawrence E. Fitzpatrick
Senior Vice President, Application Development
Karrie E. Foley
Senior Vice President, Product Management, Registration and Disclosure
Cameron K. Funkhouser
Senior Vice President, Market Regulation
John M. Gannon
Senior Vice President, Office of Investor Education
Patrice M. Gliniecki
Senior Vice President and Deputy General Counsel, Regulatory Group
Emily P. Gordy
Senior Vice President and Deputy, Enforcement
Virginia F.M. (Jeannie) Jans
Senior Vice President and Regional Director, Member Regulation
Steven A. Jarrett
Senior Vice President, Human Resources
Gary K. Liebowitz
Senior Vice President and Regional Director, North Region
Susan E. Light
Senior Vice President, Enforcement
Holly L. Lokken
Senior Vice President, Surveillance Solutions
Cathy M. Mattax
Senior Vice President, Member Education and Training
Angela A. Posillico
Senior Vice President, Regulatory Services
James F. Price
Senior Vice President, Exchange Solutions, Market Regulation
Anand K. Ramtahal
Senior Vice President, Regional Director, Regulatory Oversight & Operational Regulation
Gregory B. Raymond
Senior Vice President, Technology Finance
E. French Reese
Senior Vice President and Chief of Staff
Hans L. Reich
Senior Vice President and Regional Director, New York Region
Mark W. Rippe
Senior Vice President, Technology Administration
Carlotta A. Romano
Senior Vice President and Regional Director, Midwest Region
David E. Rosenstein
Senior Vice President, Amex Enforcement
Michael G. Rufino
Senior Vice President, Member Regulation, Sales Practice Review
Karen J. Sancilio
Senior Vice President, Product Management and Operations
Stephen M. Schoeneman
Senior Vice President, Internal Audit
Catherine C. Tighe
Senior Vice President, Corporate Real Estate
Boris A. Wessely
Senior Vice President and Chief Investment Officer
William J. Wollman
Senior Vice President, Regional Director, Regulatory Oversight & Operational Regulation
Robert L. Wood
Senior Vice President, Financial Planning and Analysis
Paul P. Andrews
Vice President and Deputy Managing Director, International Affairs and Services
Katri Arcaro
Vice President and Program Director, RAD Technology
Michell C. Atkins
Vice President, District Director, Member Regulation
Julie W. Bauer
Vice President, Government Relations
P. Susan Baumann
Vice President and Chief Administrative Officer, Member Regulation
Richard Berry
Vice President and Director, Case Administration
Barbara L. Brady
Vice President, Neutral Management
Patti Casimates
Vice President, Transparency Services Operations
Anthony J. Cavallaro
Vice President, Enforcement, Sales Practice
Elizabeth R. Clancy
Vice President and Regional Director, Northeast Region, Dispute Resolution
Nancy A. Condon
Vice President, Media Relations and Internet Services
Timothy G. Coon
Vice President, Trade and Market Making Surveillance Examinations
Krisoula Dailey
Vice President, Regulatory Development & Services
Phung T. Daniel
Vice President, Business Solutions
John C. DeSaix
Vice President, Corporate Administration
Mario A. DiTrapani
Vice President, RAD Operations
Stephanie M. Dumont
Vice President and Associate General Counsel, Regulatory Group
Saman Michael Far
Vice President, Technology Development
Jean I. Feeney
Vice President and Chief Counsel, Dispute Resolution
John J. Flood
Vice President and Associate General Counsel
Rory C. Flynn
Vice President and Chief Litigation Counsel, Enforcement
Robert L. (Len) Gatrell
Vice President, Technology - Market Regulation
Martin E. Goldman
Vice President and Chief Counsel, Member Regulation
Gary L. Goldsholle
Vice President and Associate General Counsel, Regulatory Group
Helena Light Hadley
Vice President, Organization and Talent Development
Michael P. Hourigan
Vice President and Assistant General Auditor
Chip L. Jones, Jr.
Vice President, Member Relations
Andrew L. Kagan
Vice President, Business Services
John H. Komoroske
Vice President, Office of Investor Education
Jon E. Kroeper
Vice President, Quality of Markets, Member Regulation
Alan Lawhead
Vice President, Appellate Group
Thomas B. Lawson
Vice President, Chief Counsel, Washington Enforcement Center
Ivette Lopez
Vice President, Market Regulation
Joseph M. McCarthy
Vice President and Regional Director, West Region
James M. McNamara
Vice President, Office of Disciplinary Affairs
Monique T. McNamara
Vice President, Communication Services
Katherine A. Malfa
Vice President, Enforcement
Helen J. Moore
Vice President, Quality Assurance and Special Counsel
Eric J. Moss
Vice President and Director, Emerging Regulatory Issues
Susan C. Murdoch
Vice President, Management and Administration, Enforcement
Daniel A. Nathan
Vice President and Director, Regional Enforcement
Judith Hale Norris
Vice President and Regional Director, West Region, Dispute Resolution
Thomas A. Pappas
Vice President and Director, Advertising Regulation
Rodger D. Pinder
Vice President, Telecommunications
Dorothy A. Popp
Vice President and Director of Operations, Dispute Resolution
Joseph E. Price
Vice President, Corporate Financing
Timothy J. Pupo
Vice President - Business Area Audit, Internal Audit
Linda S. Riefberg
Vice President, Enforcement
Evan R. Rosser
Vice President and Director of Strategic Programs, Enforcement
Joseph P. Savage
Vice President, Investment Companies Regulation
Nanci L. Schimizzi
Vice President and Chief of Staff, Technology
Rose M. Schindler
Vice President and Regional Director, Southeast Region, Dispute Resolution
David R. Sonnenberg
Vice President and Director, Washington Enforcement
Peter Stoehr
Vice President, Trade and Market Making Surveillance Examinations
W. Bernard Thompson
Vice President and Ombudsman
Gary L. Tidwell
Vice President, (Military Leave)
Justin J. Tubiolo
Vice President, Participant Services
Richard G. Wallace
Vice President and Chief Counsel, Market Regulation
Geraldine M. Walsh
Vice President, Investor Education
George F. Walz
Vice President and Director, NextGeneration Exam Program, Risk Management
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