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.
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)