New York Regional Office

About the Office

The New York Regional Office of the Securities and Exchange Commission has jurisdiction in New York and New Jersey.

100 Pearl St., Suite 20-100
New York, NY 10004-2616
Phone: 212-336-1100
E-mail: newyork@sec.gov

Antonia M. Apps, Regional Director
Thomas P. Smith, Jr, Associate Regional Director (Enforcement)
Sheldon L. Pollock, Associate Regional Director (Enforcement)
Tejal D. Shah, Associate Regional Director (Enforcement)
Thomas Butler, Associate Regional Director (Investment Management)
Maurya Keating, Associate Regional Director (Investment Management)
Lourdes Caballes, Associate Regional Director (Broker-Dealer)
Michael Rufino, Associate Regional Director (Broker-Dealer)