SIFMA Compliance & Legal Society

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry.

About the SIFMA Compliance & Legal Society

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. Membership provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.

Board & 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
  • 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
  • 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
  • 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

  • Scott Bieler

Resources

Become a Member

Society members gain instant connections with fellow compliance & legal professionals from broker-dealers, asset managers, mutual funds, law firms, consulting firms, regulatory agencies and more. Our breadth of membership provides opportunities for members to critically and effectively engage on key issues affecting the compliance and legal functions of the industry.

Industry Member – $50
Employees of organizations/firms whose activities are directly relates to the compliance and regulatory areas of the securities business

Counsel Member – $150
Bar members associated with financial services or securities law firms

Special Member – $150
Consultants associated with a company who provides services to the securities industry

Regulatory Member – $50
Employees of regulatory agencies, including but not limited to: the SEC, FINRA, the CFTC, Regional Exchanges, the State Attorney General’s Office and the State Securities Commissioner Office

Member benefits include:

  • Priority Access and Discounted Rates for Society Events
  • Professional Development and Networking Opportunities
  • Eligibility for CLE and Other Continuing Education Credits
  • Access to the SIFMA C&L Society LinkedIn Group