Division of Examinations Staff Directory

National Leadership

Keith Cassidy — Acting Director
Jennifer McCarthy — Chief Counsel
Alecia Davis — Managing Executive
Hane Kim — Chief Risk and Strategy Officer
Marshall Gandy — National Associate Director, Investment Adviser/Investment Company Examination Program
Vanessa Horton —  National Associate Director, Investment Adviser/Investment Company Examination Program
Michael Rufino — National Associate Director, Broker Dealer and Exchange Examination Program
Kevin Goodman — National Associate Director, FINRA and Securities Industry Oversight Examination Program
Allison Fakhoury — National Associate Director, Clearance and Settlement Examination Program
Alexis Hall — Acting National Associate Director, Technology Controls Program
Adam Storch — Associate Director, Event and Emerging Risk Examination Team

Regional Offices

Atlanta Regional Office
Kenneth French — Associate Director

Boston Regional Office
Kevin Kelcourse — Associate Director

Chicago Regional Office
Louis Gracia — Associate Director, Investment Adviser/Investment Company Examination Program
Tina Diamantopoulos — Associate Director, Broker Dealer and Exchange Examination Program

Denver Regional Office
Thomas Piccone — Associate Director

Fort Worth Regional Office
Marshall Gandy — Associate Director

Los Angeles Regional Office
J. Cindy Eson — Associate Director

Miami Regional Office
Jean Cabot — Associate Director

New York Regional Office
Maurya Keating — Associate Director, Investment Adviser/Investment Company Examination Program
Lourdes Caballes — Associate Director, Broker Dealer and Exchange Examination Program

Philadelphia Regional Office
Mark Dowdell — Acting Associate Director

San Francisco Regional Office
Monique Winkler — Associate Director