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.

Events & Webinars

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 today. View all events.

What’s On: Spring & Summer 2022

Recognitions and Awards

The C&L Society recognizes leaders in the compliance and legal industry with the annual presentation of our Rauschman Award and DEI Advocate Award.

The Rauschman Award

The Alfred J. Rauschman Award is presented by the Compliance & Legal Society annually to a candidate who has demonstrated significant contributions to the compliance and legal communities, promoted open communications among industry practitioners to share ideas and issues, fostered dialogue and communications with regulators and dedicated their career to the securities industry. Alfred J. Rauschman was a visionary in the securities industry compliance and legal profession who served as the Society’s first President.

 

The DEI Advocate Award

The C&L Society is committed to advancing diversity, equity and inclusion in our industry. The Diversity, Equity & Inclusion Advocate Award celebrates legal or compliance professionals who have demonstrated an exceptional commitment to building creative solutions that address diversity, equity and inclusion inequities in the financial services industry and ensures the next generation of leaders reflects our diverse society.

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.
  • Paul Carlesimo

    RBC Capital Markets, LLC
  • 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
  • Erica Green

    Vanguard Marketing Corporation
  • Jennifer Grego

    Morgan Stanley Wealth Management
  • Ira D. Hammerman

    SIFMA
  • Peggy Ho

    Commonwealth Financial Network
  • Christopher Lewis

    Edward Jones
  • Richard Link

    Edward Jones
  • Ilene Marquardt

    Wells Fargo
  • Greg McShea

    Janney Montgomery Scott
  • James Meadows

    Barclays
  • John O'Connell

    Goldman Sachs & Co.
  • Karen O’Toole

    Fidelity Investments
  • 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
  • Andrew Stemmer

    Deutsche Bank
  • 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