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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

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