About
The Los Angeles 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 Los Angeles office primarily conducts its enforcement or examination activities in Southern California as well as Arizona, Guam, Hawaii, and Nevada.
What’s New
Contact the Office
444 South Flower Street, Suite 900, Los Angeles, CA 90071
Directors
- Katharine Zoladz, Regional Director
- Gary Leung, Associate Regional Director (Enforcement)
- Brent Wilner, Associate Regional Director (Enforcement)
- J. Cindy Eson, Associate Regional Director (Examinations)
Western Alliance to Protect Targeted Communities
The Western Alliance to Protect Targeted Communities (WAPTC) aims to pursue investment frauds targeting identifiable communities at an early stage and tailor investor education outreach to those affected communities.