FINRA Regional Committees

The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).

Regional 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 region (or district) by clicking a committee member’s name. View a map of our district office locations.

2018 Committee Rosters

West Region

Name Firm Location District
Sally Aelion Sutter Securities, Inc. San Francisco, CA District 1
Dave Banerjee Second Street Securities, Inc. Woodland Hills, CA District 2
Jeff Branch Morgan Stanley Fresno, CA District 1
Alan Carlisle SoFi Securities LLC San Francisco, CA District 1
Chris Charles Wulff, Hansen & Co. San Rafael, CA District 1
Kay Johnson National Securities Corporation Seattle, WA District 3
Suzann LoCoco CUSO Financial Services, L.P. San Diego, CA District 2
Audrey McMahon Ares Investor Services LLC Los Angeles, CA District 2
Bridget McNamara-Fenesy M Holdings Securities, Inc. Portland, OR District 3
Robert Molinari Commonwealth Financial Network San Diego, CA District 2
Mark Quinn First Allied Securities, Inc. San Diego, CA District 2
Greg A. Ruppert Charles Schwab & Co. Inc. San Francisco, CA District 1
Joanne M. Salisbury EK Riley Investments, LLC Seattle, WA District 3
Robert Salvador Motif San Mateo, CA District 1
Kenneth Schindler GWFS Equities, Inc. Greenwood Village, CO District 3
Alexis Schumann SagePoint Financial, Inc. Phoenix, AZ District 3
Harry Striplin Umpqua Investments, Inc. Portland, OR District 3
Michelle Thomas WBB Securities, LLC San Diego, CA District 2
Robert Yu Loo Whitehall-Parker Securities, Inc. San Francisco, CA District 1

Mid-West Region

Name Firm Location District
Eric Bederman Romano Wealth Management Evanston, IL District 8
Stephen Berkeley Loop Capital Markets, LLC Chicago, IL District 8
Patrick Dogan Edward Jones St. Louis, MO District 4
Brett Flansburg Ameriprise Financial Services, Inc. Minneapolis, MN District 4
Jeffry Freiburger Robert W. Baird & Co. Incorporated Milwaukee, WI District 8
Mark Gherity Morgan Stanley Minneapolis, MN District 4
Amy Guthrey Burch & Company, Inc. Kansas City, MO District 4
Stephen Mack Mack Investment Securities Northfield, IL District 8
Chuck Millington Millington Investments, LLC Naperville, IL District 8
Jessica Pastorino M&A Securities Group, Inc. Kansas City, MO District 4
Nancy Richter Cutter & Company, Inc. Ballwin, MO District 4
Matthew Rothchild Advanced Advisor Group, LLC Cambridge, MN District 4
Amy Shelton American Century Investment Services Kansas City, MO District 4
Jeffrey B. Williams Northwestern Mutual Investment Services Milwaukee, WI District 8

North Region

Name Firm Location District
Nanette Chern Funds Distributor, LLC Portland, ME District 11
Lou D'Souza RBC Capital Markets, LLC Toronto, Ontario District 11
Nancy Heffner Lincoln Investment Fort Washington, PA District 9
Earle Hollister St. Germain Securities Inc. Springfield, MA District 11
Sheelagh Howett Cantella & Co. Inc. Boston, MA District 11
Miriam Lefkowitz Summit Equities, Inc. Parsippany, NY District 9
MacGregor Maitland Commonwealth Financial Network Waltham, MA District 11
Shawn P. McLaughlin McLaughlin Ryder Investments, Inc. Alexandria, VA District 9
Richard O’Brien National Financial Services, LLC Boston, MA District 11
Page H. Pennell AXA Advisors, LLC New York, NY District 9
Michael Robinson Morgan Stanley McLean, VA District 9
Paul Tolley Commonwealth Financial Network Waltham, MA District 11
Steven Trigili Garden State Securities, LLC Red Bank, NJ District 9

New York City Region

Name Firm Location District
Elizabeth Bailey RBC Capital Markets Jersey City, NJ District 10
Darla Bartkowiak Amherst Pierpoint Securities, LLC New York, NY District 10
Erin Baskett Autonomous Research US New York, NY District 10
Stephen Distante Vanderbilt Securities, LLC Woodbury, NY District 10
Jay Gettenberg LiquidityEdge, LLC New York, NY District 10
Steven Jafarzadeh Stonehaven, LLC New York, NY District 10
Patrick Langone Morgan Stanley New York, NY District 10
Joseph Mendola Siebert Brandford Shank, LLC New York, NY District 10
John Parmigiani Allied Millennial Partners, LLC New York, NY District 10
David Shields Wellington Shields & Co. LLC New York, NY District 10
John Weitzer HSBC Securities (USA) Inc. New York, NY District 10

South Region

Name Firm Location District
Mark Chambers Thrasher & Chambers, Inc. Bentonville, AR District 5
Richard Folmar Wells Fargo Advisors, LLC. Oklahoma City, OK District 5
Abel Garcia, Jr. Prospera Financial, Inc. Dallas, TX District 6
Robert Keenan St. Bernard Financial Services, LLC Russellville, AR District 5
Carol Ann Kinzer Piedmont Securities LLC Alpharetta, GA District 7
Mimi LeGaye Moody Securities, LLC Houston, TX District 6
Mark N. Lontchar, Jr Raymond James Financial Services, Inc. St. Petersburg, FL District 7
Linde Murphy M.E. Allison & Co., Inc. San Antonio, TX District 6
Michael Pagano 1st Global Capital Corp. Dallas, TX District 6
Jacob D. Palmer SWBC Investment Services, LLC San Antonio, TX District 6
Kathryn Phillips The Baker Group, LP Oklahoma City, OK District 5
Raymond Thompson Dorsey & Company, Inc. New Orleans, LA District 5
Jim Webb Cape Securities Inc. McDonough, GA District 7
Kelly Welker Sagepoint Financial, Inc. San Antonio, TX District 6
Scott Wilkins NBC Securities, Inc. Birmingham, AL District 5
Mary Ellen Williams Lieblong & Associates Little Rock, AR District 5
Carrie Wisniewski Bridge Capital Associates, Inc. Lilburn, GA District 7
Daniel Woodring PFS Investments, Inc. Duluth, GA District 7
Stephen Youhn PROEQUITIES, Inc. Birmingham, AL District 5