Contact Information
Division of Examinations Staff Directory
April 19, 2017
Division of Examinations
National Leadership
100 F Street, NE
Washington, DC 20549
(202) 551-6200
| Keith Cassidy | Acting Director |
| Jennifer McCarthy | Chief Counsel |
| Alecia Davis | Managing Executive |
| Hane Kim | Chief Risk and Strategy Officer |
| Marshall Gandy | Co-National Associate Director of the Investment Adviser/Investment Company Examination Program |
| Vanessa Horton | Co-National Associate Director of the Investment Adviser/Investment Company Examination Program |
| Michael Rufino | National Associate Director of the Broker Dealer and Exchange Examination Program |
| Kevin Goodman | National Associate Director of the FINRA and Securities Industry Oversight Examination Program |
| Allison Fakhoury | National Associate Director of the Clearance and Settlement Examination Program |
| Alexis Hall | Acting National Associate Director of the Technology Controls Program |
| Adam Storch | Associate Director of the Event and Emerging Risk Examination Team |
Regional Office Leadership
Atlanta Regional Office (ARO)
950 East Paces Ferry, N.E., Suite 900
Atlanta, GA 30326
404-842-7600
| Nekia Jones | Regional Director |
| Kenneth French | Associate Regional Director (Examinations) |
Boston Regional Office (BRO)
33 Arch Street, 23rd Floor
Boston, MA 02110
617-573-8900
| Sylvestre Fontes | Regional Director |
| Kevin Kelcourse | Associate Regional Director (Examinations) |
Chicago Regional Office (CHRO)
175 W. Jackson Boulevard, Suite 900
Chicago, IL 60604
312-353-7390
| Tina Diamantopoulos | Regional Director |
| Vanessa Horton | Associate Regional Director, Investment Adviser/Investment Company Examination Program |
| Louis Gracia | Associate Regional Director, Investment Adviser/Investment Company Examination Program |
| Allison M. Fakhoury | Acting Associate Regional Director, Broker Dealer and Exchange Examination Program |
Denver Regional Office (DRO)
1961 Stout Street, Suite 1700
Denver, CO 80294
303-844-1000
| Jason Burt | Regional Director |
| Thomas Piccone | Associate Regional Director (Examinations) |
Fort Worth Regional Office (FWRO)
801 Cherry Street, Suite 1900, Unit 18
Fort Worth, TX 76102
817-978-3821
| Eric Werner | Regional Director |
| Marshall Gandy | Associate Regional Director (Examinations) |
Los Angeles Regional Office (LARO)
444 South Flower Street, Suite 900
Los Angeles, CA 90071
323-965-3998
| Kate Zoladz | Regional Director |
| J. Cindy Eson | Associate Regional Director (Examinations) |
Miami Regional Office (MIRO)
801 Brickell Ave., Suite 1800
Miami, FL 33131
305-982-6300
| Eric Bustillo | Regional Director |
| John Mattimore | Associate Regional Director (Examinations) |
New York Regional Office (NYRO)
200 Vesey Street, Suite 400
New York, NY 10281
212-336-1100
| Antonia Apps | Regional Director |
| Maurya Keating | Associate Regional Director, Investment Adviser/Investment Company Examination Program |
| Lourdes Caballes | Associate Regional Director, Broker Dealer and Exchange Examination Program |
| Michael Rufino | Associate Regional Director, Broker Dealer and Exchange Examination Program |
Philadelphia Regional Office (PLRO)
1617 JFK Boulevard, Suite 520
Philadelphia, PA 19103
215-597-3100
| Nicholas Grippo | Regional Director |
| Joy Thompson | Associate Regional Director (Examinations) |
San Francisco Regional Office (SFRO)
44 Montgomery Street, Suite 2800
San Francisco, CA 94104
415-705-2500
| Monique Winkler | Regional Director |
| Elena Ro | Associate Regional Director (Examinations) |
Last Reviewed or Updated: March 13, 2025