Compliance SubCommittee

Mission Statement of Sub-Committee:

To provide a forum to identify and discuss current issues facing the Broker-Dealer and Investment Adviser community and serve as a resource to resolve those issues.

To assist the Executive Committee in working with regulators to satisfactorily resolve those issues.

To represent the Broker-Dealer and Investment Adviser Compliance and Legal community and positively influence regulatory action and direction on issues facing the Broker-Dealer and Investment Adviser Compliance and Legal Community.

Chairperson:

Michelle Oroschakoff
Morgan Stanley Smith Barney
Michelle.Oroschakoff@morganstanley.com

Members:

Edward R. Arnold
Citigroup Global Markets Inc.
edward.r.arnold@citigroup.com

Howard Plotkin
RBC Capital Markets Corporation
howard.plotkin@rbccm.com

Jerry Baker
Consultant, SIFMA C&L Division
geraldbaker@msn.com

Anthony Primiano
Merrill Lynch
anthony_primiano@ml.com

Belinda Blaine
Morgan Stanley & Co.
belinda.blaine@morganstanley.com

David Prince
Stephens Investment Management Group
david.prince@stephens.com

Anita White
Raymond James & Associates, Inc.
anita.white@raymondjames.com

Jeff Freiburger
Robert W. Baird & Co. Incorporated
jfreiburger@rwbaird.com

Louise Guarneri
Credit Suisse
louise.guarneri@credit-suisse.com

Bari Havlik
Charles Schwab & Co., Inc.
bari.havlik@schwab.com