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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.

2021 Committee Rosters

West Region

Name Firm Location District
Alan Carlisle SoFi Securities LLC San Francisco, CA District 1
Joseph Helmer Caldwell Sutter Capital, Inc. Sausalito, CA District 1
Mark Howells M.S. Howells & Co. Scottsdale, AZ District 3
Robert Jones Sorrento Pacific Financial, LLC San Diego, CA District 2
Michael Kane Transactiondrivers LLC Los Angeles, CA District 2
Laura Liu First Republic Securities San Francisco, CA District 1
Kent Lund GVC Capital LLC Greenwood Village, CO District 3
Audrey McMahon Ares Investor Services LLC Los Angeles, CA District 2
Michael Moran Charles Schwab & Co., Inc San Francisco, CA District 1
Stephen Murphy Armory Securities, LLC Manhattan Beach, CA District 2
Sally Palmer Qatalyst Partners LP San Francisco, CA District 1
Mark Quinn First Allied Securities, Inc. San Diego, CA District 2
Ann Robinson Farmers Financial Westlake Village, CA District 2
Alexis Schumann SagePoint Financial, Inc. Phoenix, AZ District 3
Jacob Stewart Saturna Brokerage Services, Inc. Bellingham, WA District 3
Harry Striplin Paulson Investment Company, LLC Lake Oswego, OR District 3
Dan Thomas Independent Financial Group, LLC San Diego, CA District 2

Mid-West Region

Name Firm Location District
Stephen Berkeley Loop Capital Markets, LLC Chicago, IL District 8
Suzanne Bond Inland Securities Corporation Oak Brook, IL District 8
Kenneth Cherrier U.S. Bancorp Investments, Inc. Minneapolis, MN District 4
Brett Flansburg Ameriprise Financial Services, Inc. Minneapolis, MN District 4
Elizabeth Hansen Waddell & Reed Overland Park, KS District 4
Bill Hayden KeyBanc Capital Markets Cleveland, OH District 8
Elizabeth Kaplan Robert W. Baird & Co. Incorporated Louisville, KY District 8
Trinity Lee Heim, Young & Associates, Inc. Springfield, MO District 4
Adym Rygmyr Edward Jones St. Louis, MO District 4
Peter Schwartz Gregory J. Schwartz & Co., Inc. Bloomfield, MI District 8
John Szwagulak Huntington Securities, Inc. Chicago, IL District 8

North Region

Name Firm Location District
John Cooney Infinex Investments, Inc. Meriden, CT District 11
Nancy Heffner Lincoln Investment Fort Washington, PA District 9
Sheelagh Howett Cantella & Co. Inc. Boston, MA District 11
Samantha Larew Manning & Napier Investor Services, Inc. Fairport, NY District 9
Susan Moscaritolo Compass Distributors, LLC Berwyn, PA District 9
Scott Noah Griffin Financial Group Lawrenceville, NJ District 11
Adam Scaramella Prudential Investment Management Services LLC Newark, NJ District 9
Matthew J. Sugden Commonwealth Financial Network Waltham, MA District 11
Mark Trabucco State Street Global Markets, LLC Boston, MA District 11
Steven Trigili Garden State Securities, LLC Red Bank, NJ District 9
Douglas Wright The Investment Center, Inc. Bedminster, NJ District 9

New York City Region

Name Firm Location District
Darla Bartkowiak Amherst Pierpont New York, NY District 10
Erin Baskett Market Securities, LLC New York, NY District 10
Miles Edwards Bruderman Brothers LLC New York, NY District 10
Elana Feigenblatt Cabot Lodge Securities LLC New York, NY District 10
Robert Hackel R.F. Lafferty & Co. Inc. New York, NY District 10
Joshua Hergan Park Avenue Securities LLC New York, NY District 10
James Port Broadridge Business Process Outsourcing, LLC Jersey City, NJ District 10
Hisham Sobhy Oldfield Capital Group New York, NY District 10
Osamu Watanabe Moelis & Company, LLC New York, NY District 10
Christopher Winchenbaugh Intrepid Partners New York, NY District 10

South Region

Name Firm Location District
Harold Chaffee National Securities Corporation Boca Raton, FL District 7
Anthony Cognevich Hancock Whitney Investment Services Inc. New Orleans, LA District 5
Cade Hamner Commerce Street Capital, LLC Dallas, TX District 6
Angela Holliday Frost Brokerage Services, Inc. San Antonio, TX District 6
Charis I. Jones LPL Financial, LLC Fort Mill, SC District 7
Mimi LeGaye Moody Securities, LLC Houston, TX District 6
Damon Meyer Crews & Associates Little Rock, AR District 5
John Muschalek Hilltop Securities Inc. Dallas, TX District 6
Michael Pedlow Kestra Investment Services, LLC Austin, TX District 6
Michael Petagna Amuni Financial. Inc. St. Petersburg, FL District 7
Jennifer Scola Carty & Company, Inc. Memphis, TN District 5
Ann Sebert Capital Institutional Services, Inc. Dallas, TX District 6
Martin Shea, Jr. Vining Sparks Memphis, TN District 5
Kurt Sims Arvest Wealth Management Jacksonville, AR District 5
Alyson Stevens Wiley Bros. Aintree Capital, LLC Nashville, TN District 5
James M. Swartwout Robinhood Securities LLC Lake Mary, FL District 7
Wendy Walton Avantax Investment Services, Inc. Dallas, TX District 6
Carrie Wisniewski Bridge Capital Associates, Inc. Lilburn, GA District 7
Melinda Wolfe Kovack Securities, Inc. Fort Lauderdale, FL District 7