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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.

Webinars & Events

SIFMA’s C&L Society develops valuable professional development offerings for compliance and legal professionals. Explore our upcoming webinars, watch on demand content and earn CLE credit.

Be sure to mark your calendar to join us on March 20-23, 2022 for our C&L Annual Seminar – live and in-person at the Grande Lakes Orlando!

View Webinars & Events

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Board & Officers

  • Michelle Bryan Oroschakoff, President

    LPL Financial LLC

  • Kenneth Miller, Executive Vice President

    Bank of America

  • Scott Kursman, Secretary

    Citigroup Global Markets Inc.

  • Cynthia Adams

    Jefferies LLC

  • Barbara Armeli

    Charles Schwab

  • Gerald Balacek

    JPMorgan Chase & Co.

  • Molly Deere

    Stephens Inc.

  • Christina Dugger

    JPMorgan Chase & Co.

  • Mary Beth Findlay

    Credit Suisse

  • Joseph Fleming

    Ameriprise Financial, Inc.

  • Elizabeth J. Ford

    Deutsche Bank

  • Mara Galeano

    UBS

  • Ira D. Hammerman

    SIFMA

  • Christopher Lewis

    Edward Jones

  • Jacqueline LiCalzi

    Morgan Stanley

  • Richard Link

    Edward Jones

  • Ilene Marquardt

    Wells Fargo

  • Greg McShea

    Janney Montgomery Scott

  • John O'Connell

    Goldman Sachs & Co.

  • Karen O’Toole

    Fidelity Investments

  • Felicia Rector

  • Joan Schwartz

    BNY Mellon/Pershing

  • Lauri Scoran

    Jefferies LLC

  • Mark Seffinger

    LPL Financial LLC

  • Doug Siegel

    Oppenheimer

  • David Sparks

    Raymond James Financial, Inc.

  • Garry Stegeland

    Stifel Financial

  • Susan Steinthal

    Citizens Bank

  • Andrew Stemmer

    Deutsche Bank

  • Ryan Taylor

    RBC Capital Markets

  • Anne Tennant

    Morgan Stanley Wealth Management

  • David Williams

    Wells Fargo

  • Bari Jane Wolfe

    DTCC

  • 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

  • Elaine H. Mandelbaum

Resources

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