| Name: | FINRA Dispute Resolution, Inc. |
| Jurisdiction: | Rhode Island |
| Entity type: | Foreign Non-Profit Corporation |
| Status: | Withdrawn |
| Date of Organization in Rhode Island: | 04 Apr 2000 (25 years ago) |
| Date of Dissolution: | 26 Jan 2016 (9 years ago) |
| Date of Status Change: | 26 Jan 2016 (9 years ago) |
| Identification Number: | 000111823 |
| ZIP code: | 02888 |
| County: | Kent County |
| Purpose: | TO OFFER A DISPUTE RESOLUTION PROGRAM AS A SERVICE TO INVESTORS, BROKER/DEALERS, AND ASSOCIATED PERSONS |
| Historical names: |
NASD Dispute Resolution, Inc. |
| Principal Address: |
222 JEFFERSON BOULEVARD SUITE 200, WARWICK, RI, 02888, USA
|
| Name | Role | Address |
|---|---|---|
| CORPORATION SERVICE COMPANY | Agent | 222 JEFFERSON BOULEVARD SUITE 200, WARWICK, RI, 02888, USA |
| Name | Role | Address |
|---|---|---|
| RICHARD G. KETCHUM | PRESIDENT | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| SUSAN WOLBURGH JENAH | DIRECTOR | 192 CARMICHAEL AVENUE TORONTO, ON M5M 2X3 CA |
| JOSEPH C. MECANE | DIRECTOR | 745 SEVENTH AVENUE, 3RD FL NEW YORK, NY 10019 USA |
| JOSHUA S. LEVINE | DIRECTOR | 2095 BROADWAY, 5TH FL NEW YORK, NY 10023 USA |
| LUIS M. VICEIRA | DIRECTOR | BAKER LIBRARY 367 BOSTON, MA 02163 USA |
| KEVIN A. CARRENO | DIRECTOR | 300 S. ORANGE AVENUE, SUITE 1100 ORLANDO, FL 32801 USA |
| BRIGITTE C. MADRIAN | DIRECTOR | 79 JFK STREET CAMBRIDGE, MA 02138 USA |
| ROBERT W. SCULLY | DIRECTOR | 9 E. 79TH STREET NEW YORK, NY 10075 USA |
| MARK W. CRESAP | DIRECTOR | 259 RADNOR-CHESTER ROAD, SUITE 230 RADNOR, PA 19087 USA |
| LESLIE SEIDMAN | DIRECTOR | 10 BEECHWOOD LANE WESTPORT, CT 06880 USA |
| MARK S. CASADY | DIRECTOR | 75 STATE STREET BOSTON, MA 02109 USA |
| Name | Role | Address |
|---|---|---|
| RICHARD G. KETCHUM | DIRECTOR/CEO/CHAIRMAN | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| TRACY JOHNSON | SVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| GERALDINE M. WALSH | SVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| JONATHAN SOKOBIN | SVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| CAMERON FUNKHOUSER | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| GREGORY AHERN | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| STEVEN A. JOACHIM | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| MICHAEL RUFINO | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| BILL WOLLMAN | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| SUSAN F. AXELROD | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| J. BRADLEY BENNETT | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| THOMAS M. SELMAN | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| RICHARD W. BERRY | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| THOMAS GIRA | EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| CARLO V. DI FLORIO | CHIEF RISK OFFICER | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| ROBERT COLBY | CHIEF LEGAL OFFICER | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| TODD T. DIGANCI | CFO & EVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| ROBERT A. RENNER | VICE PRESIDENT | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| MARCIA E. ASQUITH | SECRETARY & SVP | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Name | Role | Address |
|---|---|---|
| STEVEN J. RANDICH | EVP & CIO | 1735 K STREET, NW WASHINGTON, DC 20006 USA |
| Type | Date | Old Value | New Value |
|---|---|---|---|
| Name Change | 2008-01-04 | NASD Dispute Resolution, Inc. | FINRA Dispute Resolution, Inc. |
| Number | Name | File Date |
|---|---|---|
| 201691283130 | Application for Certificate of Withdrawal | 2016-01-26 |
| 201564080510 | Annual Report | 2015-06-30 |
| 201452569110 | Statement of Change of Registered/Resident Agent | 2014-12-31 |
| 201438823870 | Annual Report | 2014-05-09 |
| 201322370770 | Annual Report | 2013-06-10 |
Date of last update: 20 May 2025
Sources: Rhode Island Department of State
