About
The New York 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 New York office primarily conducts its enforcement or examination activities in New York and New Jersey.
What's New
Contact the Office
100 Pearl St., Suite 20-100, New York, NY 10004-2616
Leadership
- Sheldon Pollock—Associate Director (Enforcement)
- Tejal Shah—Associate Director (Enforcement)
- Thomas Smith—Associate Director (Enforcement)
- Mark Sylvester—Associate Director (Enforcement)
- Lourdes Caballes—Associate Director (Examinations)
- Maurya Keating—Associate Director (Examinations)
FraudWise Project Works to Protect Targeted Communities
The New York Regional Office has launched FraudWise, a program to help educate communities in New York and New Jersey that are or could be targets of a community-based investment fraud known as affinity fraud.