About

The Chicago 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 Chicago office primarily conducts its enforcement or examination activities in Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, Wisconsin.

Contact the Office

312-353-7390 chicago@sec.gov

Leadership

  • Tina Diamantopoulos—Associate Director (Examinations)
  • Louis Gracia—Associate Director (Examinations)
  • Anne McKinley—Acting Associate Director (Enforcement)
  • Paul Montoya—Associate Director (Enforcement)