About
The Chicago Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.
The Chicago office primarily conducts its enforcement or examination activities in Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, Wisconsin.
What's New
Contact the Office
175 W. Jackson Boulevard, Suite 1450, Chicago , IL 60604
Directors
- Tina Diamantopoulos, Regional Director
- Kathryn A. Pyszka, Associate Regional Director (Enforcement)
- Paul A. Montoya, Associate Regional Director (Enforcement)
- Louis A. Gracia, Associate Regional Director (Examinations)
- Vanessa L. Horton, Associate Regional Director (Examinations)