How to Contact the New York Regional Office
Key Personnel at the Northeast Region Office
Katherine M. Bayer
Phone: (212) 858-4382
Case Administrator Manager
Phone: (212) 858-4370
Case Assistant Manager
Phone: (212) 858-4200
Phone: (212) 858-5287
Phone: (212) 858-4707
Arthur G. Baumgartner
Phone: (212) 858-4724
Phone: (212) 858-4463
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 Fax: (646) 625-6050 Requests for Awards; (301) 527-4873 Arbitration or mediation case-related and other correspondence
- By Email: FINRA Dispute Resolution staff members can be reached by email. Email addresses use the following protocol: email@example.com
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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.