The 20 Rising Stars of Compliance 2007 - (Page 26) RISING STARS 1. 20 COMPLIANCE MENTORS’ PAGE The following mentors were singled out for their impeccable example which challenged and cultivated the skills and character necessary to create a Rising Star. Glenn Albaum Staff Supervisor Financial Industry Regulatory Authority Steven Lofchie Partner Cadwalader, Wickersham & Taft Mara Galeano Senior Associate General Counsel and Executive Director UBS Sheilah Reycraft Director Citi-Smith Barney David Rosenstein Senior V.P. and Executive Director of Enforcement Financial Industry Regulatory Authority 3. Jeff Harwin Director, Global Monetary & Fin. Control Group Merrill Lynch Maura Kelly Director, Global Monetary & Fin. Control Group Merrill Lynch Tim Lorah Global Head, Anti-Money Laundering Group Morgan Stanley Meg Zucker Institutional Coverage Manager, Anti-Money Laundering Group Morgan Stanley 4. Peggy Bennett Chief Compliance Officer FSC Securities Afsaneh Beschloss President and CEO The Rock Creek Group Dr. Sudhir Krishnamurthi Managing Director The Rock Creek Group Kenneth Lohsen Managing Director Credit Suisse Sherri Rossoff Chief Compliance Officer and General Counsel The Rock Creek Group 7. Steve Bee Director of Home Office Compliance Edward Jones Doug Kelly Executive V.P. and Director of Law & Compliance A.G. Edwards & Sons 26 COMPLIANCE RISING STARS SEPTEMBER 2007 Andy Small General Counsel Scottrade Brian Underwood Senior V.P. and Director of Compliance A.G. Edwards & Sons 8. Erik Aschenbrenner Managing Director The Response Cos. Seth Page Senior Managing Director for the Americas Corporate Finance Partners 9. Drew Bowden General Counsel Legg Mason Capital Management Theresa Messina Senior Vice President Fannie Mae 14. Andy Kalinowski President and Founder Upstate Special Risk Services; Co-founder LifeMark Securities Joseph McCarthy Regional Director Financial Industry Regulatory Authority Vincent Micciche Co-founder, CFO and Chief Compliance Officer LifeMark Securities 15. George Mazin Partner Dechert 16. Thomas Leahy Bureau Chief, Rackets Bureau Bronx District Attorney’s Office Robert Marchman Executive V.P., Enforcement New York Stock Exchange Selwyn Notelovitz Chief Compliance Officer Wellington Management 17. Thomas Henricks Former Director of Compliance J.C. Bradford Phil Shellabarger Compliance Officer Stephens Inc. 18. Kiara Hammond V.P., Central Compliance Lehman Brothers 19. Saul Cohen Retired Partner Proskauer Rose 20. Philip Becker Senior V.P., Fixed Income Compliance Citigroup Global Markets Jeffrey Ingber Managing Director and Head of Global Transaction Services Compliance, Banking Compliance, Employee Services Compliance Citigroup Global Markets Omer Oztan Senior V.P., Regulatory Legal Citigroup Global Markets 2. 10. Richard Biegen Global Head of Compliance AIG Investments Caroline Stirling Director of Compliance, U.K. AIG Investments Europe Carinne Withey Head of Compliance, Securities Division Goldman Sachs International 11. George A. Montes Executive Vice President Chief Compliance Officer and CFO Emmett A. Larkin Irene Sosh Mother 12. Charles Etherington General Counsel American Century Investments David Riggs V.P. and Associate General Counsel Charles Schwab Ken Scott Member, Shadow Fin. Regulatory Committee American Enterprise Institute David Tucker Former General Counsel American Century Investments 13. Leor Landa Partner Davis Polk & Wardwell Mary Anne Mayo Member The Nelson Law Firm 5.
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