Directory of Compliance & Governance executives in the Brokerage industry

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	Title	Organization	Location	Name	Info	Validated
	SVP/Chief Compliance Officer	Madison Capital Management, LLC	New York, NY	M...... N.....		11/03/08
	Chief Compliance Officer	Citigroup Inc.	New York, NY	C.... A.....		09/12/08
	Dir Compliance/Technology	Global Crown Capital, LLC	San Francisco, CA	C...... K......		09/12/08
	Chief Regulatory Officer/SVP	American Stock Exchange LLC	New York, NY	C...... C......		09/12/08
	Chief Compliance Officer, Vice President	Loomis Sayles & Co.	Boston, MA	D.. R...		06/06/08
	Chief Compliance Officer	Diamond Hill Capital Management, Inc.	Columbus, OH	Y.... G...		06/27/08
	Chief Development Officer for Private Client, L...	The Bear Stearns Companies Inc.	New York, NY	R...... C.....		06/20/08
	Chief Compliance Officer	Scott & Stringfellow, Inc.	Richmond, VA	A... C....		03/12/08
	Vice President, Chief Operating Officer and Chi...	R.M. Davis, Inc.	Mansfield, OH	W.... L......		04/18/08
	Vice President and Director, Global Corporate G...	Wellington Management Company, LLP	Boston, MA	L.... S......		04/19/08
	Chief Compliance Officer	Vanguard	Valley Forge, PA	P...... S.......		04/21/08
	Personal Trust Officer and Compliance Officer	InvesTrust N.A	Oklahoma City, OK	D..... S.....		04/17/08
	Senior Vice President, Chief Regulatory Counsel...	Affiliated Managers Group Inc	Prides Crossing, MA	C........ C......		04/21/08
	Vice President and Senior Counsel, Legal and Co...	Affiliated Managers Group Inc	Prides Crossing, MA	L.... C......		04/21/08
	Secretary, Chief Compliance Officer	Foxby Corp	New York, NY	J... R......		04/16/08
	Chief Compliance Officer	Symphonic Financial Advisors	Liberty, MO	G.... G........		04/18/08
	Vice President and Senior Counsel, Legal and Co...	Affiliated Managers Group Inc	Prides Crossing, MA	C..... M......		04/21/08
	Chief Compliance Officer and Vice President of ...	Hambrecht & Quist Capital Management LLC	Boston, MA	C...... H....		04/14/08
	General Counsel and Chief Compliance Officer	Saturna Capital Corporation	Bellingham, WA	J.. W......		04/19/08
	Secretary and Chief Compliance Officer	Kayne Anderson MLP Investment Company	Los Angeles, CA	D.... S.........		04/22/08
	Chief Compliance Officer	Symphonic Financial Advisors	Liberty, MO	B...... M....		04/18/08
	Director of Regulatory Affairs	GAMCO Investors, Inc.	Rye, NY	P.... G........		04/18/08
	Legal Counsel and Chief Compliance Officer	Saturna Capital Corporation	Bellingham, WA	G..... S....		04/19/08
	Operations and Chief Compliance Officer	Alexander Capital Management Group Inc.	Denver, CO	T.. V.......		04/16/08
	Director - Compliance and Risk Management	Wall Street Global Ltd	New York, NY	C.... D........		04/23/08
	Chief Compliance Officer of the Funds and Direc...	Daiwa Securities Trust Company	Jersey City, NJ	A...... C......		04/22/08
	Managing Director, Chief Operating Officer and ...	Greycourt & Co, Inc.	Pittsburgh, PA	D.... L......		04/19/08
	Chief Compliance Officer	Avondale Partners LLC	Nashville, TN	S.... S.....		04/17/08
	Chief Compliance Officer	Barclays Global Investors Limited	San Francisco, CA	C...... P...		04/21/08
	Director of Corporate Governance	International Finance Corporation	Washington, DC	T..... B.....		04/23/08
	Chief Compliance Officer	Dimensional Fund Advisors	Santa Monica, CA	C.......... C......		04/18/08
	Assistant Vice President and Compliance Officer...	OppenheimerFunds, Inc.	New York, NY	C.... G......		04/21/08
	Chief Compliance Officer	optionsXpress Holdings, Inc.	Chicago, IL	B....... M....		04/18/08
	Chief Compliance Officer and Attorney	Century Management Company	Austin, TX	D.... S....		04/16/08
	Vice President, Compliance Officer and Anti-Mon...	Dimensional Fund Advisors	Santa Monica, CA	A...... R.......		04/18/08
	Chief Compliance Officer	Brecek & Young Advisors, Inc.	Folsom, CA	L... F.....		04/23/08
	Chief Compliance Officer	ADVISORport	Plymouth Meeting, PA	L.... L.....		04/16/08
	Chief Compliance Officer	The Ziegler Companies Inc	Milwaukee, WI	E........ W......		04/20/08
	Regional Compliance Officer	Brecek & Young Advisors, Inc.	Folsom, CA	K...... P...		04/23/08
	Chief Compliance Officer	Cheevers & Company Inc	Chicago, IL	G...... R...		04/19/08
	Compliance Officer and A Vice President	Goldman, Sachs & Co.	New York, NY	K.... F...		04/21/08
	Chief Compliance Officer	Mawer Investment Management Ltd.	Calgary, AB	D.... M...		04/14/08
	Executive Vice President, Risk and Compliance	Legent Clearing Corp	Omaha, NE	C.... B....		04/23/08
	Chief Compliance Officer, Sales Trader	The Griswold Company	New York, NY	C.......... C.......		04/20/08
	President, Chief Financial and Compliance Officer	Brockhouse Cooper	Montreal, QC	H..... M......		04/19/08
	Treasurer, Controller and Compliance Officer	Clay Finlay Inc.	New York, NY	W...... O........		04/17/08
	Senior Vice President In Legal and Compliance D...	Mesirow Financial Inc	Chicago, IL	P...... M........		04/20/08
	Chief Compliance Officer and Director of Financ...	Roxbury Capital Management, Inc.	Santa Monica, CA	M...... K....		04/20/08
	Financial Advisor Assistant and Compliance Coor...	LPF Financial Advisors	Sarasota, FL	P.... H............		04/21/08
	Chief Compliance Officer	New York Life Investment Management LLC	Parsippany, NJ	A..... M......		04/15/08

Results 1 - 50 of 645

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