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