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Contact Information

Contact Information

Division of Corporation Finance

Office of the Director

Name and Title Telephone Number
Keith F. Higgins
(202) 551-3110
Shelley Parratt
Deputy Director (Disclosure Operations)
(202) 551-3130
Peter Uhlmann
Managing Executive
(202) 551-3130
Michele Anderson
Associate Director (Legal)
(202) 551-3440
James Daly
Associate Director (Disclosure Operations)
(202) 551-3140
David Fredrickson
Associate Director (Chief Counsel)
(202) 551-3500
Karen Garnett
Associate Director (Disclosure Operations)
(202) 551-3032
Mark Kronforst
Associate Director (Chief Accountant)
(202) 551-3400
Cicely LaMothe
Associate Director (Disclosure Operations)
(202) 551-3411
Shelly Luisi
Associate Director (Disclosure Standards)
(202) 551-3031
Kyle Moffatt
Associate Director (Disclosure Operations)
(202) 551-3031
Elizabeth Murphy
Associate Director (Legal)
(202) 551-3180
Barry Summer
Associate Director (Disclosure Operations)
(202) 551-3160

Disclosure Operations Offices

The Division selectively reviews company securities filings through its filing review process both to monitor and to enhance compliance with disclosure and accounting requirements. These filings include those of new issuers and as well as public companies reporting under the Exchange Act. Companies are assigned to one of 11 Assistant Director offices in our full disclosure program or to the Office of Structured Finance in the case of ABS issuers. The Office of Global Security Risk also reviews and comments on filings.

If you do not know which office your company is assigned to, click here.

If you have received comments on a filing and wish to discuss them with the staff, start by contacting the person identified in the letter you received. If you are not satisfied with the resolution of any issue, we encourage you to ask for reconsideration of the comments.

Office Name and Leadership Telephone Number
AD Office 1 — Healthcare and Insurance
Suzanne Hayes, Assistant Director
James Rosenberg, Senior Assistant Chief Accountant
(202) 551-3710
AD Office 2 — Consumer Products
Mara Ransom, Assistant Director
James Allegretto, Senior Assistant Chief Accountant
(202) 551-3720
AD Office 3 — Information Technologies and Services
Barbara Jacobs, Assistant Director
Craig Wilson, Senior Assistant Chief Accountant
(202) 551-3730
AD Office 4 — Natural Resources
H. Roger Schwall, Assistant Director
W. Bradshaw Skinner, Senior Assistant Chief Accountant
(202) 551-3740
AD Office 5 — Transportation and Leisure
Anne Nguyen Parker, Assistant Director
Andrew Mew, Senior Assistant Chief Accountant
(202) 551-3750
AD Office 6 — Manufacturing and Construction
Pamela Long, Assistant Director
Melissa Rocha, Senior Assistant Chief Accountant
(202) 551-3760
AD Office 7 — Financial Services
Dieter King, Assistant Director
John Nolan, Senior Assistant Chief Accountant
Stephanie Sullivan, Senior Assistant Chief Accountant
(202) 551-3770
AD Office 8 — Real Estate and Commodities
Sonia Barros, Assistant Director
Daniel Gordon, Senior Assistant Chief Accountant
(202) 551-3780
AD Office 9 — Beverages, Apparel and Mining
John Reynolds, Assistant Director
Tia Jenkins, Senior Assistant Chief Accountant
(202) 551-3790
AD Office 10 — Electronics and Machinery
Amanda Ravitz, Assistant Director
Martin James, Senior Assistant Chief Accountant
(202) 551-3800
AD Office 11 — Telecommunications
Larry Spirgel, Assistant Director
Carlos Pacho, Senior Assistant Chief Accountant
(202) 551-3810
Office of Global Security Risk
Cecilia Blye, Chief
(202) 551-3470

For information concerning filing on EDGAR, or how to deal with EDGAR filing problems, contact the numbers outlined here.

Legal Policy and Accounting Offices

The Division of Corporation Finance has several offices that develop and issue interpretive guidance, consider and respond to requests for “no-action,” exemptive and waiver letters, write rules for Commission consideration and provide legal and financial reporting assistance to Disclosure Operations and other Commission divisions and offices.  Attorneys and accountants in these offices are available to assist with interpretive and other questions about those federal securities laws the Division helps the Commission to administer.  You can find descriptions of the legal policy and accounting offices, together with details on how to communicate with them, here.

Office Name and Leadership Telephone Number
Office of Capital Markets Trends
Amy Starr, Chief
(202) 551-3860
Office of Chief Accountant
Mark Kronforst, Chief Accountant
(202) 551-3400
Office of Chief Counsel
David Fredrickson, Chief Counsel
(202) 551-3500
Office of Enforcement Liaison
[Vacant], Chief
(202) 551-3420
Office of International Corporate Finance
Paul Dudek, Chief
(202) 551-3450
Office of Mergers and Acquisitions
[Vacant], Chief
(202) 551-3440
Office of Rulemaking
Felicia Kung, Chief
(202) 551-3430
Office of Small Business Policy
Sebastian Gomez, Chief
(202) 551-3460
Office of Structured Finance
Katherine Hsu, Chief
(202) 551-3850

October 5, 2015

Modified: Oct. 5, 2015