2023 FINRA Regional Committee Election
On October 23, 2023, FINRA announced the Regional Committee election. Firms in Districts with contested elections (Districts 2, 3, 4, 6, 7, 8, 9 and 10) will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected Regional Committee members will take office in January 2024. (Ballots were not mailed for uncontested seats.)
Each candidate was provided an opportunity to submit a biography and personal statement. FINRA has posted the candidates' information for all contested and uncontested seats to help firms learn more about each candidate in their region.
Firms in Districts 2, 3, 4, 6, 7, 8 and 9 may vote for two candidates for the seats corresponding to their District. Firms in District 10 may vote for four candidates.
Candidates
To review the candidates, please click on the links below.
| Midwest Region Committee/District 4 Representative Candidates* (contested) – Two seats available | ||
| Kenneth Cherrier | Chief Compliance Officer | Fidelity & Guaranty Securities, LLC |
| Matthew J. Kinsella | Vice President and Chief Compliance Officer | Ameritas Investment Company, LLC |
| Steve Youhn | Chief Compliance Officer | Cambridge Investment Research |
(*Paul Maniffa, Manager – Business Compliance & Risk Controls, Ameriprise Financial, Inc. withdrew as a candidate.)
| Midwest Region Committee/District 8 Representative Candidates (contested) – Two seats available | ||
| Jon V. Cherry | President & Head of North America Brokerage | Northern Trust Securities, Inc. |
| Tim Graham | President | Private Client Services, LLC |
| Randolph F. Pistor | Chief Legal Officer | Sigma Financial Corporation |
| John Szwagulak | Chief Compliance Officer | Huntington Securities, Inc. |
| Eric Wolfman | Deputy CCO, Senior Vice President and Compliance Director | Keybanc Capital Markets, Inc. |
| New York Region Committee/District 10 Candidates (contested) – Four seats available | ||
| Dennis Azary | Deputy Chief Compliance Officer | Finalis Securities LLC |
| Lawrence S. Block | President and Chief Compliance Officer | Anubis Securities LLC |
| DiAnne Calabrisotto | Chief Operating Officer and Chief Compliance Officer | Siebert Williams Shank & Co., LLC |
| Steven Jafarzadeh | CCO & Partner | Stonehaven, LLC |
| John Keating | Chief Compliance Officer | Webull Financial |
| Dean Park | Chief Compliance Officer | BTG Pactual US Capital, LLC |
| Bishen Pertab | President, CEO & CCO | ICICI Securities Inc. |
| Stephen Sikes | Chief Executive Officer | Public Investing |
| Osamu Watanabe | General Counsel and Chief Compliance Officer | Moelis & Company LLC |
| North Region Committee/District 9 Candidates (contested) – Two seats available | |||
| Richard J. Carlesco Jr. | CEO/Recruiting | IBN Financial Services, Inc. | |
| Jason Gerb | SVP, Chief Regulatory Officer | Osaic Wealth, Inc. | |
| Caroline K. Hall | Chief Compliance Officer and Deputy General Counsel | Janney Montgomery Scott | |
| Jeff Johnson | Chief Compliance Officer | Pacer Financial, Inc. | |
| Nick Leighton | Associate Chief Compliance Officer | Hornor, Townsend & Kent, LLC | |
| Stephanie Mumford | Chief Compliance Officer/Managing Legal Counsel | T. Rowe Price Investment Services, Inc. | |
| Jeffrey Pasquerella | Global Chief Legal Officer | Drivewealth LLC | |
| North Region Committee/District 11 Candidate (uncontested) – Two seats available | ||
| Diana Perlman | Deputy Chief Compliance Officer | VP Distributors, LLC |
| South Region Committee/District 5 Candidate (uncontested) – Two seats available | ||
| Alyson Mencio Stevens | Chief Compliance Officer | Wiley Bros.-Aintree Capital &Partners, LLC |
| South Region Committee/District 6 Candidates (contested) – Two seats available | ||
| Debby Bicanic | Head of Supervision, Fixed Income Capital Markets | Hilltop Securities, Inc |
| Veronica Hammond | Senior Vice President, Chief Compliance Officer | First Command Brokerage Services, Inc. |
| Jim Muir | Chief Compliance Officer | USAA Investment Services Company |
| Chris Neidlinger | Chief Compliance Officer and AML Officer | Institutional Securities Corporation |
| Mike Pedlow | Chief Compliance Officer | Kestra Financial |
| Tarah Williams | President & Chief Operating Officer | Prospera Financial Services |
| South Region Committee/District 7 Candidates (contested) – Two seats available | ||
| Shauna Blake | Senior Vice President, Head of Supervision | LPL Financial |
| Scot Galvin | Sr. Director and Chief Operating Officer | Robinhood Securities LLC |
| Paula Heffron | Chief Compliance Officer | First Citizens Investor Services, Inc. |
| Joquinn T. Sadler | CEO | Nortlov Securities, LLC |
| Robert Sykes | Chief Compliance Officer | Ally Invest Securities LLC |
| West Region Committee/District 1 – no candidates (uncontested) – Two seats available |
| West Region Committee/District 2 Candidates (contested) – Two seats available | ||
| Travis L. Bator | Chief Compliance Officer | Independent Financial Group LLC |
| John Calicchio | President/CEO | ICON Capital Group, LLC |
| Michael Kane | CEO, ER, CCO, AML, BCP, CE | TransactionDrivers LLC dba Kane & Company |
| Darius Lashkari | CCO / AMLCO | Investment Placement Group |
| Mark Quinn | Director of Regulatory Affairs | Cetera Advisor Networks, LLC |
| Ann Robinson | Chief Compliance Officer | Farmers Financial Solutions, LLC |
| West Region Committee/District 3 Candidates (contested) – Two seats available | ||
| Daren Bryan | Manager, Branch Office Compliance/Inspections Team | Empower Financial Services, Inc. |
| Janice Hernandez | Compliance Officer | Wilson-Davis & Co., Inc. |
| Michael S. Schoonmaker | President of M Holdings Securities | M Holdings Securities |
| Jacob Stewart | Chief Compliance Officer | Saturna Brokerage Services |
| Robert Wrubel | President | Cascade Investment Group, Inc. |