NSCP.ORG

Nikolay Vydashenko

Holly Orefice 10/21/24 Holly Orefice 10/21/24

Nikolay Vydashenko

Assistant Director, Division of Enforcement, Fort Worth office

U.S. Securities & Exchange Commission

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Alexis Hall

Holly Orefice 10/11/24 Holly Orefice 10/11/24

Alexis Hall

National Technology Controls Program Acting Director

U.S. Securities & Exchange Commission

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Aaron Pinnick

Holly Orefice 9/3/24 Holly Orefice 9/3/24

Aaron Pinnick

Manger, Thought Leadership Customer Success Risk Strategies

ACA Group

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Carolyn Drayer-Greenwalt

Holly Orefice 8/28/24 Holly Orefice 8/28/24

Carolyn Drayer-Greenwalt

Chief Compliance Officer

Patient Square Capital

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Tina Salehi Gubb

Holly Orefice 6/26/24 Holly Orefice 6/26/24

Tina Salehi Gubb

Senior Vice President, Enforcement Legal

FINRA

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Kim Chapman

Holly Orefice 6/17/24 Holly Orefice 6/17/24

Kim Chapman

Chief Compliance Officer

Berthel Fisher & Co Financial Services Inc

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Andrew Bowers

Holly Orefice 6/17/24 Holly Orefice 6/17/24

Andrew Bowers

Assistant Vice President, Advisory Compliance

Cambridge

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Chad Earnst

Holly Orefice 6/17/24 Holly Orefice 6/17/24

Chad Earnst

Global Chief Compliance Officer and Assoc. General Counsel

Goldentree Asset Management

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Leyna Goro

Holly Orefice 6/14/24 Holly Orefice 6/14/24

Leyna Goro

Senior Director, Membership Application Program (MAP)

FINRA

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Deborah Lamb

Holly Orefice 6/12/24 Holly Orefice 6/12/24

Deborah Lamb

Chief Compliance Officer

Denali Advisors, LLC

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Josh Broaded

Holly Orefice 6/11/24 Holly Orefice 6/11/24

Josh Broaded

Global Head of Regulatory Compliance

ACA

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Rob Guldner

Holly Orefice 6/11/24 Holly Orefice 6/11/24

Rob Guldner

Chief Compliance Officer

Steward Partners

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Syed Bukhari

Holly Orefice 6/11/24 Holly Orefice 6/11/24

Syed Bukhari

Examination Director in Capital Markets and Investment Banking

FINRA

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Shelly Davis

Holly Orefice 6/10/24 Holly Orefice 6/10/24

Shelly Davis

Senior Director, Risk Monitoring

FINRA

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Anne Anderson

Holly Orefice 6/9/24 Holly Orefice 6/9/24

Anne Anderson

Compliance Manager; Head of Regulatory Reporting & Advisory Support

The Vanguard Group, Inc

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Ranah Esmaili

Holly Orefice 6/6/24 Holly Orefice 6/6/24

Ranah Esmaili

Partner

Sidley Austin LLP

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Jon Elvin

Holly Orefice 5/22/24 Holly Orefice 5/22/24

Jon Elvin

Strategic Risk Advisor

Saifr

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Heather Lyon

Holly Orefice 5/22/24 Holly Orefice 5/22/24

Heather Lyon

Chief Compliance Officer

Strategic Investment Advisors

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Megan Monroe

Holly Orefice 5/21/24 Holly Orefice 5/21/24

Megan Monroe

Head of Compliance

TBD, a subsidiary of Block, Inc.

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Shayna Henderson

Holly Orefice 5/21/24 Holly Orefice 5/21/24

Shayna Henderson

Director, Compliance -Advertising and Communications

Cambridge Investment Research, Inc

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