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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.

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Contact Us »

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)

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Wednesday, May 4th, 2022
5 p.m. Eastern
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What's New

  • SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures
    Dec. 20, 2021
  • COLLEGE PREP-101: PREPARING FOR YOUR FINANCIAL FUTURE (PDF)
    Nov. 18, 2021
  • SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
    Oct. 26, 2021
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