About
The New York 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 New York office primarily conducts its enforcement or examination activities in New York and New Jersey.
What's New
Contact the Office
100 Pearl St., Suite 20-100, New York, NY 10004-2616
Directors
- 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)
FraudWise Project Works to Protect Targeted Communities
The New York Regional Office has launched FraudWise, a program to help educate communities in New York and New Jersey that are or could be targets of a community-based investment fraud known as affinity fraud.