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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.

2020 Committee Rosters

West Region

Name Firm Location District
Alan Carlisle SoFi Securities LLC San Francisco, CA District 1
Chris Charles Wulff, Hansen & Co. San Rafael, 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
Laura Liu First Republic Securities San Francisco, CA District 1
Suzann LoCoco CUSO Financial Services, L.P. San Diego, CA District 2
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
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
Greg A. Ruppert Charles Schwab & Co. Inc. San Francisco, CA District 1
Joanne M. Salisbury EK Riley Investments, LLC Seattle, WA District 3
Alexis Schumann SagePoint Financial, Inc. Phoenix, AZ District 3
Harry Striplin Paulson Investment Company, LLC Lake Oswego, OR District 3
Dan Thomas Independent Financial Group, LLC San Diego, CA District 2
Daniel Weingarten SageTrader San Francisco, CA District 1

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
Patrick Dogan Edward Jones St. Louis, MO District 4
Brett Flansburg Ameriprise Financial Services, Inc. Minneapolis, MN District 4
Amy Guthrey Burch & Company, Inc. Kansas City, MO 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
Kevin Miller Securities America, Inc. La Vista, NE District 4
Peter Schwartz Gregory J. Schwartz & Co., Inc. Bloomfield, MI District 8

North Region

Name Firm Location District
John Cooney Infinex Investments, Inc. Meriden, CT District 11
Sheelagh Howett Cantella & Co. Inc. Boston, MA District 11
Susan Moscaritolo Compass Distributors, LLC Berwyn, PA District 9
Scott Noah Fieldpoint Private Securities, LLC Greenwich, CT District 11
Richard O’Brien National Financial Services, LLC Boston, MA District 11
Page H. Pennell AXA Advisors, LLC New York, NY District 9
Adam Scaramella Prudential Investment Management Services LLC Newark, NJ District 9
Kevin Spence Cary Street Partners Richmond, VA 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
Stephen Distante Vanderbilt Securities, LLC Woodbury, NY District 10
Miles Edwards Bruderman Brothers LLC New York, NY District 10
Elana Feigenblatt Cabot Lodge Securities LLC New York, NY District 10
Jay Gettenberg Sidoti & Company LLC New York, NY District 10
Jason Gerb TD Private Client Wealth 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
John Parmigiani Allied Millennial Partners, 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

South Region

Name Firm Location District
Kirk Bell Raymond James Financial Services, Inc. St. Petersburg, FL District 7
Harold Chaffee National Securities Corporation Boca Raton, FL District 7
Eric Chartan Avantax Investment Services, Inc. Irving, TX District 6
Anthony Cognevich Hancock Whitney Investment Services Inc. New Orleans, LA District 5
Abel Garcia, Jr. Prospera Financial, Inc. Dallas, TX District 6
Cade Hamner Commerce Street Capital, LLC Dallas, TX District 6
Robert Keenan St. Bernard Financial Services, LLC Russellville, AR District 5
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
Martin Shea, Jr. Vining Sparks Memphis, TN District 5
Kurt Sims Arvest Wealth Management Jacksonville, AR District 5
Jim Webb Cape Securities Inc. McDonough, GA District 7
Mary Ellen Williams Lieblong & Associates Little Rock, AR District 5
Carrie Wisniewski Bridge Capital Associates, Inc. Lilburn, GA District 7
Melinda Wolfe Kovack Securities, Inc. Fort Lauderdale, FL District 7
Daniel Woodring PFS Investments, Inc. Duluth, GA District 7