Contact FINRA District Committees

The District committees advise FINRA on industry trends of regulatory concern and provide input on the impact of FINRA’s regulatory programs. District Committee members are interested in your comments and questions regarding FINRA’s regulatory programs.

You may email your comments and questions directly to a committee member in your district by clicking a committee member’s name. View a map of our district office locations.

2017 Committee Rosters

District 1

Name Firm Location
Jeff Branch Morgan Stanley Fresno, CA
Chris Charles Wulff, Hansen & Co. San Francisco, CA
Austin Hamilton BTIG, LLC San Francisco, CA
Greg A. Ruppert Charles Schwab & Co. Inc. San Francisco, CA
Kevin Smith Wells Fargo Advisors San Francisco, CA
Robert Yu Loo Whitehall-Parker Securities, Inc. San Francisco, CA

District 2

Name Firm Location
Dave Banerjee Second Street Securities, Inc. Woodland Hills, CA
Aimee Blinder National Planning Corporation El Segundo, CA
Scott Brody City National Securities, Inc. Beverly Hills, CA
David Martin WBB Securities, LLC San Diego, CA
Robert Molinari Commonwealth Financial Network San Diego, CA
Michelle Thomas WBB Securities, LLC San Diego, CA

District 3

Name Firm Location
Kay Johnson National Securities Corporation Seattle, WA
Stephen A. Kohn Stephen A. Kohn & Associates, Ltd. Lakewood, CO
Vincent Madden Wells Fargo Advisors Seattle, WA
Bridget McNamara-Fenesy M Holdings Securities, Inc. Portland, OR
Paige Pierce Larimer Capital Corporation Denver, CO
Kenneth Schindler GWFS Equities, Inc. Greenwood Village, CO
Harry Striplin Umpqua Investments, Inc. Portland, OR

District 4

Name Firm Location
Mark Gherity Morgan Stanley Minneapolis, MN
Mark Lasswell Securities America, Inc. LaVista, NE
Jessica Pastorino M&A Securities Group, Inc. Kansas City, MO
Nancy Richter Cutter & Company, Inc Ballwin, MO
Matthew Rothchild Advanced Advisor Group, LLC Cambridge, MN
Amy Shelton American Century Investment Services Kansas City, MO

District 5

Name Firm Location
Mark Chambers Thrasher & Chambers, Inc. Bentonville, AR
Richard Folmar Wells Fargo Advisors, LLC. Oklahoma City, OK
Kevin Scanlon Stephens, Inc. Little Rock, AR
Scott Wilkins NBC Securities, Inc. Birmingham, AL
Mary Ellen Williams Lieblong & Associates Little Rock, AR
Stephen Youhn PROEQUITIES, Inc. Birmingham, AL

District 6

Name Firm Location
Tim Edwards Prospera Financial Services Dallas, TX
Mitzi Hallmark Merrill Lynch, Pierce, Fenner & Smith Inc. Boerne, TX
Albert Johnson VALIC Financial Advisors Houston, TX
William Lee Wells Fargo Advisors San Antonio, TX
Mimi Legaye Moody Securities, LLC Houston, TX
Linde Murphy M.E. Allison & Co., Inc. San Antonio, TX
Kelly Welker LPL Financial LLC San Antonio, TX

District 7

Name Firm Location
Beth Burns Synovus Securities Columbus, GA
John Dillon FSC Securities Corp. Atlanta, GA
Mark N. Lontchar, Jr. Raymond James Financial Services, Inc. St. Petersburg, FL
Patrick Sheehan Elevation, LLC Charlotte, NC
Jim Webb Cape Securities Inc. McDonough, GA
Charles Lambert White, III Raymond James Boca Raton, FL
Carrie Wisniewski Bridge Capital Associates, Inc. Lilburn, GA

District 8

Name Firm Location
Eric Bederman Romano Wealth Management Evanston, IL
Jeffrey Bley The O.N. Equity Sales Company Cincinnati, OH
Jeffry Freiburger Robert W. Baird & Co. Incorporated Milwaukee, WI
Jeff Levine Mesirow Financial Chicago, IL
Stephen Mack Mack Investment Securities Northfield, IL
Charles G. Millington Millington Investments, LLC Naperville, IL
Jeffrey B. Williams Northwestern Mutual Investment Services Milwaukee, WI

District 9

Name Firm Location
Catherine Cucharale M. Griffith Investment Services New Hartford, NY
Nancy Heffner Lincoln Investment Fort Washington, PA
Miriam Lefkowitz Summit Equities, Inc. Parsippany, NJ
Shawn McLaughlin McLaughlin Ryder Investments, Inc. Alexandria, VA
Stephanie Peters Mumford T. Rowe Price Investments Baltimore, MD
Michael Robinson Morgan Stanley McLean, VA
Douglas Wright The Investment Center Bedminster, NJ

District 10

Name Firm Location
Erin Baskett Autonomous Research US New York, NY
Christopher Davis Wells Fargo Advisors, LLC Melville, NY
Stephen Distante Vanderbilt Securities, LLC Woodbury, NY
Steven Jafarzadeh Stonehaven, LLC New York, NY
Maurya Keating AXA Advisors, LLC New York, NY
Patrick Langone Morgan Stanley New York, NY
Joseph Mendola Siebert Branford Shank, LLC New York, NY
Howard Sendrovitz J.P. Morgan Securities LLC New York, NY
John Weitzer RBC Capital Markets, LLC New York, NY
Sue Zhou WiseBanyan Securities LLC New York, NY

District 11

Name Firm Location
Nanette Chern Funds Distributor, LLC Portland, ME
Lou D’Souza Cormark Securities, Inc. Toronto, ON
Earle Hollister St. Germain Securities Inc. Springfield, MA
Jay Lanstein Cantella & Co., Inc. Boston, MA
MacGregor Maitland Signator Investors, Inc. Boston, MA
David Swartz Morgan Stanley Wellesley, MA
Paul Tolley Commonwealth Financial Network Waltham, MA