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Contact Information

NEP Contact Information

April 19, 2017

Office of Compliance Inspections and Examinations

National Leadership

100 F Street, NE
Washington, DC 20549
(202) 551-6200

Peter Driscoll Acting Director of the Office of Compliance Inspections and Examinations
Jane Jarcho Deputy Director/Co-National Associate Director of the Investment Adviser/Investment Company Examination Program
Robert Fisher Managing Executive
Daniel Kahl Chief Counsel
James Reese Acting Chief Risk and Strategy Officer
Kristin Snyder Co-National Associate Director of the Investment Adviser/Investment Company Examination Program
John Polise National Associate Director of the Broker Dealer and Exchange Examination Program
Kevin Goodman National Associate Director of the FINRA and Securities Industry Oversight Examination Program
Askari Foy National Associate Director of the Technology Controls Program

Regional Office Leadership

Atlanta Regional Office (ARO)

950 East Paces Ferry, N.E., Suite 900
Atlanta, GA 30326
404-842-7600

Walter Jospin Regional Director
Donna Esau Acting Associate Regional Director (Examinations)

Boston Regional Office (BRO)

33 Arch Street, 23rd Floor
Boston, MA 02110
617-573-8900

Paul Levenson Regional Director
Kevin Kelcourse Associate Regional Director (Examinations)

Chicago Regional Office (CHRO)

175 W. Jackson Boulevard, Suite 900
Chicago, IL 60604
312-353-7390

David Glockner Regional Director
Steven Levine Associate Regional Director, Investment Adviser/Investment Company Examination Program 
Daniel Gregus Associate Regional Director, Broker Dealer and Exchange Examination Program/Associate Director of Clearance and Settlement Examination Program

Denver Regional Office (DRO)

1961 Stout Street, Suite 1700
Denver, CO 80294
303-844-1000

Julie Lutz Regional Director
Thomas Piccone Associate Regional Director (Examinations)

Fort Worth Regional Office (FWRO)

801 Cherry Street, Suite 1900, Unit 18
Fort Worth, TX 76102
817-978-3821

Shamoil Shipchandler Regional Director
Marshall Gandy Associate Regional Director (Examinations)

Los Angeles Regional Office (LARO)

444 South Flower Street, Suite 900
Los Angeles, CA 90071
323-965-3998

Michele Layne Regional Director
Bryan Bennett Associate Regional Director (Examinations)

Miami Regional Office (MIRO)

801 Brickell Ave., Suite 1800
Miami, FL 33131
305-982-6300

Eric Bustillo Regional Director
John Mattimore Associate Regional Director (Examinations)

New York Regional Office (NYRO)

200 Vesey Street, Suite 400
New York, NY 10281
212-336-1100

Andrew Calamari Regional Director
Ken Joseph Associate Regional Director, Investment Adviser/Investment Company Examination Program 
Robert Sollazzo Associate Regional Director, Broker Dealer and Exchange Examination Program

Philadelphia Regional Office (PLRO)

1617 JFK Boulevard, Suite 520
Philadelphia, PA 19103
215-597-3100

Jeffrey Boujoukos Regional Director
Joy Thompson Associate Regional Director (Examinations)

Salt Lake Regional Office (SLRO)

351 S. West Temple Street, Suite 6.100
Salt Lake City, UT 84101
801-524-5796

Richard Best Regional Director

San Francisco Regional Office (SFRO)

44 Montgomery Street, Suite 2800
San Francisco, CA 94104
415-705-2500

Jina Choi Regional Director
Kristin Snyder Associate Regional Director (Examinations)