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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 — Lori Richards

Chief Counsel — John Walsh
Associate Director — Mary Ann Gadziala
Associate Director — Gene Gohlke
Associate Director — A. Duer Meehan

Assistant Chief Counsel — Nancy Hansbrough
Assistant Director (BD) — Richard Hannibal
Assistant Director (BD) — Suzanne McGovern
Assistant Director (IA/IC) — Lou Becka
Assistant Director (IA/IC) — Mavis Kelly
Assistant Director (Market Oversight) — Tina Barry
Assistant Director (Market Oversight) — Mark Donohue
Assistant Director (Market Oversight) — Thomas Eidt
Assistant Director (SRO2) — Helene McGee

Regional Offices

Atlanta Regional Office

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

Office of the Regional Director

Senior Associate Regional Director — Ronald L. Crawford

Associate Regional Director (Examinations) — James L. Carley

Assistant Regional Director (BD) — Howard Dennis Jr.
Assistant Regional Director (IA/IC) — Vacant
Assistant Regional Director (IA/IC) — H. Dandridge Campbell

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 (EXAM) — 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) — John R. Brissman

Assistant Regional Director (BD) — Thomas F. Murphy
Assistant Regional Director (BD) — Daniel Gregus
Assistant Regional Director (BD) — James G. Hopkins
Assistant Regional Director (IA/IC) — Douglas R. Adams

Associate Regional Director (IA/IC) — Jane E. Jarcho

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 — George Curtis

Associate Regional Director (Exam) — Kevin Goodman

Assistant Regional Director (BD) — Lonnie Morgan
Assistant Regional Director (IA/IC) — William L. Johnson

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 (EXAM) — Kimberly Garber

Assistant Regional Director (IA/IC) — David W. Taylor
Assistant Regional Director (IA/IC) — Mary D. Walters
Assistant Regional Director (BD) — Julie A. Preuitt

Los Angeles Regional Office

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

Office of the Regional Director — Acting Director — Rosalind R. Tyson

Senior Special Counsel — Rabia Cebeci

Associate Regional Director (Regulation.) — Rosalind R. Tyson

Assistant Regional Director (IA/IC) — Michael P. Levitt
Assistant Regional Director (BD) — Cindy S. Wong
Assistant Regional Director (IA/IC) — Charles T. Liao
Assistant Regional Director (BD) — Martin J. Murphy
Assistant Regional Director (IA/IC) — Vacant

Miami Regional Office

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

Office of the Regional Director — David P. Nelson

Office of Associate Regional Director (Examinations) — John C. Mattimore

Assistant Regional Director (BD) — Vacant
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 4300
New York, NY 10281
(212) 336-1100

Office of the Regional Director — Mark K. Schonfeld

Office of Associate Regional Director (IA/IC Exams) — Thomas Biolsi

Assistant Regional Director (IA) — Dorothy A. Eschwie
Assistant Regional Director (IC) — William J. Delmage
Assistant Regional Director (IA) — Dawn M. Blankenship
Assistant Regional Director (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
Philadelphia, PA 19106-1532
(215) 597-3100

Office of the Regional Director — Daniel M. Hawke

Associate Regional Director (EXAM) — Joy G. Thompson

Assistant Regional Director (IA/IC) — Vacant
Assistant Regional Director (IA/IC) — Paul T. Hee
Assistant Regional Director (BD) — Albert L. Ehrhart

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 — Acting Co-Regional Directors — Marc J. Fagel and Daryl F. Hagel

Associate Regional Director (EXAM) — Daryl F. Hagel

Assistant Regional Director (BD) — Jennet Zundel
Assistant Regional Director (IA/IC) — Edward G. Haddad
Assistant Regional Director (IA/IC) — Matthew M. O'Toole

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