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SIFMA Compliance & Legal Society

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

About the SIFMA Compliance & Legal Society

SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50-year history, it 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

  • Elaine H. Mandelbaum, General Counsel

    Interactive Brokers

  • Michelle Bryan Oroschakoff, Executive Vice President

    LPL Financial LLC

  • Bari Jane Wolfe, Secretary

    DTCC

  • Gerald Balacek, Education

    JPMorgan Chase & Co.

  • Jacqueline LiCalzi, Education

    Morgan Stanley

  • Lauri Scoran, Strategic Planning

    Jefferies LLC

  • Anne Tennant, Membership – Networking & Engagement

    Morgan Stanley Wealth Management

  • Cynthia Adams

    Jefferies LLC

  • Barbara Armeli

    Charles Schwab

  • Tracy Calder

    LPL Financial LLC

  • Mary Beth Findlay

    Credit Suisse

  • Joseph Fleming

    Ameriprise Financial, Inc.

  • Elizabeth J. Ford

    Deutsche Bank

  • Mara Galeano

    UBS

  • Ira D. Hammerman

    SIFMA

  • David Knight

    Stephens Inc.

  • Scott Kursman

    Citigroup Global Markets Inc.

  • Christopher Lewis

    Edward Jones

  • Richard Link

    Edward Jones

  • Ilene Marquardt

    Wells Fargo

  • Kenneth Miller

    Bank of America

  • John O'Connell

    Goldman Sachs & Co.

  • Karen O’Toole

    Fidelity Investments

  • Joan Schwartz

    BNY Mellon/Pershing

  • Mark Seffinger

    Barclays

  • David Sparks

    Raymond James Financial, Inc.

  • Garry Stegeland

    Stifel Financial

  • Andrew Stemmer

    Deutsche Bank

  • Brent Taylor

  • Ryan Taylor

    RBC Capital Markets

  • 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

  • David C. Prince

Resources

If you have any questions, please contact SIFMA's Office of Professional Societies at 212.313.1290 or [email protected].