About

The Fort Worth Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

The Fort Worth office primarily conducts its enforcement or examination activities in Arkansas, Kansas, Oklahoma, and Texas.

Contact the Office

817-978-3821 dfw@sec.gov

Directors

  • Eric R. Werner, Regional Director
  • Marshall Gandy, Co-National Associate Director, IA-IC Examinations
  • David Fraser, Associate Regional Director, Enforcement