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

Thomas P. Smith, Jr, Associate Regional Director (Enforcement) and Acting Regional Director
Sheldon L. Pollock, Associate Regional Director (Enforcement)
Thomas Butler, Associate Regional Director (Investment Management)
Maurya Keating, Associate Regional Director (Investment Management) and Acting Regional Director
Lourdes Caballes, Associate Regional Director (Broker-Dealer)
Michael Rufino, Associate Regional Director (Broker-Dealer)