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Office of Compliance Inspections and Examinations — Contact Information

Office of Compliance Inspections and Examinations

100 F Street, NE
Washington, DC 20549
(202) 551-6200

  • Office of the Director — Carlo V. di Florio
    • Deputy Director— Norman Champ
    • Managing Executive — Robert Fishman
      • Assistant Director (Risk/Surveillance) — James Reese
      • Assistant Director (IT) — Gregory Cobert
    • Chief Counsel — John Walsh
      • Assistant Director (Exam. Support-Legal) — Kris Easter
    • Associate Director (Broker Dealer) — Julius Leiman-Carbia
      • Assistant Director (Large Firm Monitoring) — James Giles
      • Assistant Director (Broker Dealer) — Richard Hannibal
      • Assistant Director (Broker Dealer) — Suzanne McGovern
    • Associate Director (IA/IC) — Andrew Bowden
      • Assistant Director (IA/IC) — Marita Bartolini
      • Assistant Director (IA/IC) — Mavis Kelly
    • Associate Director (Market Oversight) — John Polise
      • Assistant Director (Market Oversight) — Helene McGee
      • Assistant Director (Market Oversight) — Mark Donohue
      • Assistant Director (Market Oversight) — Tina Barry
      • Assistant Director (Market Oversight) — Rina Hussain
    • Associate Director (Clearance & Settlement) — Dawn Patterson
    • Assistant Director (Credit Rating) — Abraham Losice

Regional Offices

Atlanta Regional Office

3475 Lenox Road, N.E., Suite 1000
Atlanta, GA 30326-1232
(404) 842-7600

  • Office of the Regional Director — Rhea Kemble Dignam
    • Associate Regional Director (Exams) — Askari J. Foy
      • Assistant Regional Director (BD) — Howard Dennis Jr.
      • Assistant Regional Director (IA/IC) — Vacant
      • Assistant Regional Director (IA/IC) — Vacant

Boston Regional Office

33 Arch Street, 23rd Floor
Boston, MA 02110-1424
(617) 573-8900

  • Office of the Regional Director — David P. Bergers
    • Associate Regional Director (Exams) — Lucile A. Corkery
      • Assistant Regional Director (IA/IC) — Elizabeth A. Salini
      • Assistant Regional Director (IA/IC) — Michael Garrity
      • Assistant Regional Director (IA/IC) — Joseph B. Mick
      • Assistant Regional Director (BD) — Andrew D. Caverly

Chicago Regional Office

175 W. Jackson Boulevard
Suite 900
Chicago, IL 60604
(312) 353-7390

  • Office of the Regional Director — Merri Jo Gillette
    • Associate Regional Director (BD Exams) — Barbara S. Lorenzen
      • Assistant Regional Director (BD) — Thomas F. Murphy
      • Assistant Regional Director (BD) — Daniel Gregus
      • Assistant Regional Director (BD) — James G. Hopkins
    • Associate Regional Director (IA/IC Exams) — Jane E. Jarcho
      • Assistant Regional Director (IA/IC) — Douglas R. Adams
      • Assistant Regional Director (IA/IC) — Thomas N. Kirk
      • Assistant Regional Director (IA/IC) — Maureen S. Dempsey
      • Assistant Regional Director (IA/IC) — Larry P. Purdue
      • Assistant Regional Director (IA/IC) — Louis A. Gracia
      • Assistant Regional Director (IA/IC) — David J. Mueller

Denver Regional Office

1801 California Street, Suite 1500
Denver, CO 80202-2656
(303) 844-1000

  • Office of the Regional Director — Donald M. Hoerl
    • Associate Regional Director (Regulation) — Kevin W. Goodman
      • Assistant Regional Director (BD/TA) — Denise S. Saxon
      • Assistant Regional Director (IA/IC) — Thomas M. Piccone

Fort Worth Regional Office

Burnett Plaza, 19th floor
801 Cherry Street, Unit 18
Fort Worth, TX 76102
(817) 978-3821

  • Office of the Regional Director — Rose Romero
    • Associate Regional Director (Exams) — Kimberly Garber
      • Senior Special Counsel — Victoria F. Prescott
      • Assistant Regional Director (Exams) — David W. Taylor
      • Assistant Regional Director (Exams) — Mary D. Walters
      • Assistant Regional Director (Exams) — Donna C. Esau

Los Angeles Regional Office

5670 Wilshire Boulevard, 11th Floor
Los Angeles, CA 90036-3648
(323) 965-3998

  • Office of the Regional Director — Rosalind R. Tyson
    • Assistant Regional Director, Operations — Rabia Cebeci
    • Associate Regional Director (Exams) — Martin J. Murphy
      • Assistant Regional Director (#1) (IA/IC) — Charles Liao
      • Assistant Regional Director (#2) (BD) — Cindy S. Wong
      • Assistant Regional Director (#3) (IA/IC) — Vacant
      • Assistant Regional Director (#4) (BD) — Karol Pollock
      • Assistant Regional Director (#5) (IA/IC) — Thomas Mackin

Miami Regional Office

801 Brickell Ave., Suite 1800
Miami, FL 33131
(305) 982-6300

  • Office of the Regional Director — Eric Bustillo
    • Office of Associate Regional Director (Exams) — John C. Mattimore
      • Assistant Regional Director (IA/IC) — Faye A. Chin
      • Assistant Regional Director (BD & IA/IC) — Nicholas A. Monaco

New York Regional Office

3 World Financial Center
Room 400
New York, NY 10281
(212) 336-1100

  • Office of the Regional Director — George S. Canellos
    • Office of Associate Regional Director (IA/IC Exams) — Thomas Biolsi
      • Assistant Regional Director (IA/IC) — Dorothy A. Eschwie
      • Assistant Regional Director (IA/IC) — William J. Delmage
      • Assistant Regional Director (IA/IC) — Dawn M. Blankenship
      • Assistant Regional Director (IA/IC) — Joseph P. DiMaria
    • Office of Associate Regional Director (BD Exams) — Robert A. Sollazzo
      • Assistant Regional Director (BD) — Rosanne R. Smith
      • Assistant Regional Director (BD) — Richard A. Heaphy
      • Assistant Regional Director (BD) — John M. Nee
    • Office of Associate Regional Director (BD Exams) — Richard D. Lee
      • Assistant Regional Director (BD) — Linda A. Lettieri
      • Assistant Regional Director (BD) — Steven C. Vitulano

Philadelphia Regional Office

The Mellon Independence Center
701 Market Street
Suite 2000
Philadelphia, PA 19106-1532
(215) 597-3100

  • Office of the Regional Director — Daniel M. Hawke
    • Associate Regional Director (Exams) — Joy G. Thompson
      • Assistant Regional Director (IA/IC) — Mark Dowdell
      • Assistant Regional Director (IA/IC) — Frank A. Thomas
      • Assistant Regional Director (BD) — Diane Hagy
      • Assistant Regional Director (IA/IC) — Steven Dittert

Salt Lake Regional Office

15 W. South Temple Street
Suite 1800
Salt Lake City, UT 84101
(801) 524-5796

  • Office of the Regional Director — Kenneth D. Israel, Jr.
    • Branch of Compliance Inspections and Examinations
      • Branch Chief — Floyd G. Hastings

San Francisco Regional Office

44 Montgomery Street, Suite 2600
San Francisco, CA 94104
(415) 705-2500

  • Office of the Regional Director — Marc J. Fagel
    • Associate Regional Director (Exams) — Vacant
      • Assistant Regional Director (BD) — Carla J. Carriveau
      • Assistant Regional Director (IA/IC) — Edward G. Haddad
      • Assistant Regional Director (IA/IC) — Matthew M. O'Toole

 

 

http://www.sec.gov/about/offices/ocie/ocie_org.htm


Modified: 12/08/2011