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 |
| Teresa Luiz |
GWFS Equities Inc |
Greenwood Village, CO |
District 3 |
| 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 |
| Matthew Rothchild |
Advanced Advisor Group, LLC |
Cambridge, MN |
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 |
Fieldpoint Private Securities, LLC |
Greenwich, CT |
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 |
