Monique C. Winkler is Regional Director of the SEC’s San Francisco Regional Office. Ms. Winkler joined the SEC’s San Francisco office in 2008 as a staff attorney and became an Assistant Regional Director in 2015, Associate Regional Director in 2019, and Regional Director in 2022. She served as a member of the Public Finance Abuse Unit since its formation in 2010 until August 2019.
The Regional Office has a staff of over 125 people and is responsible for the SEC’s enforcement and examination programs in Northern California, Washington, Oregon, Montana, Idaho and Alaska with over 1,000 investment advisers, almost 50 mutual fund complexes and over 250 broker-dealers located in the region. The public and pre-IPO companies located in the region are among the most dynamic and closely-followed issuers and companies in the country, including those in Silicon Valley, San Francisco, Seattle and Portland.
Prior to joining the Commission, Ms. Winkler practiced securities and complex commercial litigation. She earned her bachelor’s degree from Indiana University and her law degree from Vanderbilt University School of Law.