About the Office
The Chicago Regional Office of the U.S. Securities and Exchange Commission has jurisdiction in Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin.
Contact Us »
175 W. Jackson Boulevard, Suite 1450
Chicago, IL 60604
Phone: 312-353-7390
E-mail: chicago@sec.gov
Joel R. Levin, Regional Director
Kathryn A. Pyszka, Associate Regional Director (Enforcement)
Robert J. Burson, Senior Associate Regional Director (Enforcement)
Daniel Gregus, Associate Regional Director (Examinations)
Steve Levine, Associate Regional Director (Examinations)
What’s New
SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
September 4, 2019
SEC Charges Chicago-Based Investment Professional with Stealing Client Funds
August 27, 2019
SEC Wins Jury Trial Against Broker Charged with Insider Trading
August 14, 2019
Upcoming Outreach Events
Peotone Public Library
Address: 515 N. 1st St., Peotone, IL
Date: Tuesday, September 10, 2019
Time: 6:00 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Active Seniors Expo
Address: 6201 Joliet Rd., Countryside, IL
Date: Wednesday, September 11, 2019
Time: 8:00 a.m. - 2:00 p.m.
Description: SEC staff will be in attendance with informational materials and resources for investors.
Joliet Public Library
Address: 150 N. Ottawa St., Joliet, IL
Date: Tuesday, September 24, 2019
Time: 5:30 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
New Lenox Public Library
Address: 120 Veteran’s Pkwy., New Lenox, IL
Date: Wednesday, September 25, 2019
Time: 5:30 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Oak Park Public Library
Address: World Investor Week 834 Lake Street, Oak Park, IL
Date: Tuesday, October 1, 2019
Time: 7:00 p.pm. - 9:00 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Tinley Park District
Address: 8125 W. 171st St., Tinley Park, IL
Date: Tuesday, October 17, 2019
Time: 10:00 a.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Active Seniors Expo
Address: Atlantis Banquets 1273 N. Rand Rd., Arlington Heights, IL
Date: Wednesday, October 30, 2019
Time: 8:00 a.m. - 2:00 p.m.
Description: SEC staff will be in attendance with informational materials and resources for investors.
Lemont Police Dept.
Address: 14500 W. 127th St., Lemont, IL
Date: Tuesday November 5, 2019
Time: 10:00 a.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Lemont Police Library
Address: 50 E. Wend St., Lemont, IL
Date: Thursday November 14, 2019
Time: Noon
Description: ISEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Palos Heights Public Library
Address: 12501 S. 71st Ave., Palos Heights, IL
Date: Wednesday, January 15, 2020
Time: 6:30 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Downers Grove Public Library
Address: 1050 Curtiss St., Downers Grove, IL
Date: Thursday, April 7, 2020
Time: 7:00 p.m.
Description: SEC staff presentation on the various types of investments, how to research an investment professional and investment, and recognizing the investment fraud.
Speaking With Main Street Investors in the Windy City
