The New York Regional Office of the Securities and Exchange Commission has jurisdiction in New York and New Jersey.
Learn more about the office's FraudWise program to protect communities from affinity fraud.
100 Pearl St., Suite 20-100
New York, NY 10004-2616
Phone: 212-336-1100
E-mail: newyork@sec.gov
Antonia M. Apps, Regional Director
Thomas P. Smith, Jr, Associate Regional Director (Enforcement)
Sheldon L. Pollock, Associate Regional Director (Enforcement)
Tejal D. Shah, Associate Regional Director (Enforcement)
Thomas Butler, Associate Regional Director (Investment Management)
Maurya Keating, Associate Regional Director (Investment Management)
Lourdes Caballes, Associate Regional Director (Broker-Dealer)
Michael Rufino, Associate Regional Director (Broker-Dealer)
Modified: April 19, 2016