Executive Committee

The following make up the SIFMA Compliance & Legal Society's Executive Committee.

Officers

David C. Prince, President, Stephens Investment Management Group, LLC
Elaine H. Mandelbaum, Executive Vice President, Citi Institutional Clients Group
Bari M. Havlik, Treasurer, Charles Schwab & Company, Inc.
Bari Jane Wolfe, Secretary, DTCC

Vice Presidents

Michael R. Alford, Membership – Networking & Engagement, Raymond James & Co.
Anne Cooney, Membership – Networking & Engagement, Morgan Stanley Wealth Management
Gerald Balacek, Education, JPMorgan Chase & Co. 
Jacqueline LiCalzi, Education, Morgan Stanley
Lauri Scoran, Strategic Planning, Jefferies LLC
Jerry Mauricio, Diversity & Inclusion, Capital One Investing
Kathleen McCarthy, Diversity & Inclusion, GE Capital Corporation

Executive Committee

David Bartholomew, Edward Jones
Tracy Calder, LPL Financial LLC
Anne Cooney, Morgan Stanley Wealth Management
Raymond Dorado, Citizens Bank 
Elizabeth J. Ford, Deutsche Bank
Ira D. Hammerman, SIFMA
Douglas Kelly, Wells Fargo & Co.
Scott Kimmel, Barclays
Richard Link, Edward Jones
Garry Lischin, BNY Mellon
Thomas Matthias, Goldman Sachs & Co.
Kenneth Miller, Bank of America
Michelle Bryan Oroschakoff, LPL Financial LLC
Karen O’Toole, Fidelity Investments
Wesley L. Ringo, J.J.B. Hilliard, W.L. Lyons LLC
Garry Stegeland, Stifel Financial
Stephen Strombelline, Charles Schwab
Brent Taylor, UBS Wealth Management Americas
David Williams, Wells Fargo

Past Presidents

Alfred J. Rauschman
Edwin B. Peterson
Edward I. O'Brien
William J. Fitzpatrick
Philip J. Hoblin, Jr.
John P. Cione
David Marcus
Stephen L. Hammerman
Judith G. Belash
Saul S. Cohen
M. David Hyman
William R. Harman
Loren Schechter
O. Ray Vass
Stuart L. Sindell
Robert J. Albano
Robert I. Kleinberg
Kevin J. McKay
Allen B. Holeman
Robert C. Errico
James A. Tricarico, Jr.
Michael H. Stone
David A. DeMuro
Paul A. Merolla
Beth Dorfman
Edward Turan
Louise Guarneri
Howard R. Plotkin
I. Scott Bieler


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