About
The Philadelphia 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 Philadelphia office primarily conducts its enforcement or examination activities in Delaware, Maryland, Pennsylvania, Virginia, West Virginia, and the District of Columbia.
Contact the Office
One Penn Center, 1617 John F. Kennedy Boulevard, Suite 520, Philadelphia, PA 19103
Directors
- Nicholas P. Grippo, Regional Director
- Scott Thompson, Associate Regional Director (Enforcement)
- Joy G. Thompson, Associate Regional Director (Examinations)