About
The Denver 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 Denver office primarily conducts its enforcement or examination activities in Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, and Wyoming.
Directors
- Jason Burt, Regional Director
- Nicholas Heinke, Associate Regional Director (Enforcement)
- Thomas Piccone, Associate Regional Director (Examinations)