Division of Examinations Staff Directory

National Leadership

Keith Cassidy — 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
Alexis Hall — National Associate Director, Technology Controls Program
Kevin Goodman — National Associate Director, FINRA and Securities Industry Oversight Examination Program
Allison Fakhoury — National Associate Director, Clearance and Settlement Examination Program

Regional Leadership - Broker-Dealer Exchange Examination Program

Lourdes Caballes — Associate Director (New York)
Tina Diamantopoulos — Associate Director (Chicago, Denver, Fort Worth, Los Angeles, San Francisco)
Rina Hussain — Associate Director (Boston, Philadelphia, Washington, D.C., Atlanta, Miami)

Regional Leadership - Investment Adviser/Investment Company Examination Program

Mark Dowdell — Associate Director, Philadelphia
J. Cindy Eson — Associate Director, Los Angeles
Kenneth French — Associate Director, Atlanta
Marshall Gandy — Associate Director, Fort Worth
Louis Gracia — Associate Director, Chicago
Maurya Keating — Associate Director, New York
Kevin Kelcourse — Associate Director, Boston
Thomas Piccone — Associate Director, Denver
Omar Santos — Acting Associate Director, Miami
Monique Winkler — Associate Director, San Francisco