How to Contact the New York Regional Office

Key Personnel at the Northeast Region Office

Katherine Bayer
Regional Director
Phone: (212) 858-4382

Vilna Henry
Associate Regional Director
Phone: (212) 858-4370

Sean Wallerson
Regional Operations Manager
Phone: (212) 858-4706

Kelly Unger
Regional Manager
Phone: (212) 858-5287

Case Administrators

Bola Aguda
Phone:  (212) 858-4707

Arthur Baumgartner
Phone: (212) 858-4724

Archna Curry
Phone: (212) 858-4463

Kwame Dowe
Phone: (212) 858-5288

Contact the Northeast Region Office

  • By Phone: Main number for the New York office: (212) 858-4200 Between the hours of 9 a.m. and 5 p.m.
  • By Email: FINRA Dispute Resolution staff members can be reached by email. Email addresses use the following protocol:

City Information

Check city information for regular updates about transit/traffic information and restrictions.

Mail Delivery Information

Based upon the advice of the U.S. Postal Service and law enforcement authorities, FINRA and its family of companies will no longer open or accept any mail (envelopes or packages) that does not have complete return names and addresses. Please be sure when sending mail to FINRA that your information is fully and appropriately labeled.