Karen Braine

Designsite 8/18/25 Designsite 8/18/25

Karen Braine

Vice President, Insider Trading Investigations

FINRA

Designsite 7/3/25 Designsite 7/3/25

Elizabeth Grari

Manager of Supervision
Cetera Wealth Services, LLC.

Designsite 6/13/25 Designsite 6/13/25

Amy Caiazza

Partner, Fintech and Financial Services
Wilson Sonsini Goodrich & Rosati

Holly Orefice 5/30/25 Holly Orefice 5/30/25

Ashley Mendelsohn

CCO

Element Pointe Advisors, LLC

Holly Orefice 5/28/25 Holly Orefice 5/28/25

Adam Aramati

Partner

Kirkland & Ellis LLP

Designsite 5/28/25 Designsite 5/28/25

Shauna Harrison

Executive Director, Compliance

GCM Grosvenor

Holly Orefice 5/27/25 Holly Orefice 5/27/25

Sooni Raymaker

Chief Risk and Compliance Officer

SBA Florida

Holly Orefice 5/21/25 Holly Orefice 5/21/25

Michele Foldenauer

Managing Director
ACA Group

Holly Orefice 5/12/25 Holly Orefice 5/12/25

Meredith Henning

Vice President- Compliance

PGIM Investments/PIMS

Holly Orefice 5/12/25 Holly Orefice 5/12/25

Michael Schwartzberg

Partner

Winget, Spadafora & Schwartzberg, LLP

Holly Orefice 5/9/25 Holly Orefice 5/9/25

Danielle Money

Chief Compliance Officer

Crescat Capital LLC

Holly Orefice 5/9/25 Holly Orefice 5/9/25

Glenn Cross

Chief Compliance Officer

Coinbase Asset Management, LLC

Holly Orefice 5/9/25 Holly Orefice 5/9/25

Bart Layton

CEO

AI Guardian

Holly Orefice 5/8/25 Holly Orefice 5/8/25

Nicole Edwards

Manager, Compliance

Mariner Wealth Advisors

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Carlos Barrientos

Chief Compliance Officer

Invex, LLC

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Ann Marie Swanson

Director

Kroll

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Lori Weston

Head of Compliance

ComplianceAdvisor

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Patty Balezentis

Head of PCG Supervision Governance and Reporting

Raymond James

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Sam Draddy

Senior Vice President, Market Abuse, Surveillance and Market Intelligence, Market Regulation

FINRA

Holly Orefice 5/7/25 Holly Orefice 5/7/25

Kevin Bush

Chief Compliance Officer, General Counsel and Secretary