SEC.gov | Los Angeles Regional Office

About the Office

The Los Angeles Regional Office of the Securities and Exchange Commission has jurisdiction in Arizona, Hawaii, Guam, Nevada, and Southern California.

Contact Us »

444 South Flower Street, Suite 900
Los Angeles, CA 90071
Phone: 323-965-3998
E-mail: losangeles@sec.gov

Vacant, Regional Director
Katharine Zoladz, Co-Regional Director, Associate Regional Director (Enforcement)
Gary Leung, Associate Regional Director (Enforcement)
J. Cindy Eson, Co-Regional Director, Associate Regional Director (Examinations)

What’s New

Investor Alert re: Hawaii Wildfires
August 16, 2023

SEC Charges Self-Described “Securities Compliance” Attorney with Fraud in Planned Pump-and-Dump Scheme
March 1, 2022

SEC Charges California Company and Promoters Engaged in Pump-And-Dump Scheme Involving Covid-19 Claims
February 17, 2022

Outreach Events

Financial Planning Month at Los Angeles Public Library
Address: LAPL (downtown), Los Angeles, CA
Date: October 19, 2023
Time: TBD
Description: Presentation on Investing Wisely and Avoiding Fraud

Oceanside Chamber of Commerce Senior Expo
Address: Oceanside, CA
Date: October 12, 2023
Time: All day
Description: SEC investor education booth

Senior Scam Stopper
Address: Lakewood, CA
Date: October 12, 2023
Time: 9:00-11:00 AM
Description: Presentation on investing wisely and avoiding fraud

Golden Future 50+ East LA
Address: East Los Angeles, CA
Date: October 11, 2023
Time: All day
Description: SEC investor education booth

LA AEI Forum: Supporting Small Business Growth
Address: Los Angeles, CA
Date: October 5, 2023
Time: 8:30 AM-1:00 PM
Description: Facilitating capital formation

Santa Barbara Senior Expo
Address: Santa Barbara, CA
Date: October 4, 2023
Time: All day
Description: SEC investor education booth

Native American Finance Officers Association Conference
Address: Phoenix, AZ
Date: October 2, 2023
Time: All day
Description: Investing wisely and avoiding fraud

Latino College Expo
Address: Pomona, CA
Date: September 16, 2023
Time: All day
Description: SEC careers, investing wisely and avoiding fraud for students

4 Corners Indian Country Annual Conference
Address: Salt Lake City, UT
Date: August 25, 2023
Time: All day
Description: Investing wisely and avoiding fraud

Yellow Ribbon Reintegration Program: Air Force Reserve
Address: Anaheim, CA
Date: August 19-20, 2023
Time: All day
Description: Presentations on investing in the digital age for deploying reservists and their families

Street Vendor Financial & Digital Literacy Fair
Address: Los Angeles Public Library, Los Angeles, CA
Date: June 12, 2023
Time: All day
Description: Investor education booth

Investing Wisely and Safely for College Students
Address: Gateway Community College, Phoenix, AZ
Date: April 11, 2023
Time: 12:00-2:00 PM
Description: Investing wisely and avoiding fraud for students, staff, and faculty at Gateway Community College.

Investing Throughout Your Military Service
Address: Coast Guard Base San Pedro/Long Beach, CA
Date: April 11 and 13, 2023
Time: noon
Description: Investing wisely and avoiding fraud for Coast Guard personnel stationed at San Pedro/Long Beach.

Avoiding Cryptocurrency Scams
Address: Los Angeles Public Library (downtown Los Angeles)
Date: April 19, 2023
Time: noon
Description: A conversation with the public, the Los Angeles Regional Office of the SEC, and the California DFPI about investing in the digital age.

Investing Wisely and Safely for College Students, Careers with the SEC
Address: University of Hawaii at Manoa
Date: April 25, 2023
Time: 10:00 AM-1:30 PM
Description: The role of the SEC, planning wisely for your financial future, and possible career paths at the SEC.

Hawaii Federal Fire Department: What’s in Your Retirement Portfolio?
Address: Hawaii Federal Fire Department, Honolulu, HI
Date: April 26, 2023
Time: 10:00 AM-4:00 PM
Description: Investing wisely and avoiding fraud. Presentations by the SEC-LARO and the Federal Retirement Thrift Investment Board (TSP).

Command Financial Specialist Training: Investing Wisely and Safely Throughout Your Military Career
Address: Joint base Pearl Harbor Hickam, Military and Family Support Center
Date: April 26, 2023
Time: 4:30-5:30 PM
Description: CFS training on advising service members on investing wisely and safely.

Hawaii Federal Employees: What’s in Your Retirement Portfolio?
Address: Aaliamanu Military Reservation, Honolulu, HI
Date: April 27, 2023
Time: 10:00 AM-4:00 PM
Description: Investing wisely and avoiding fraud. Presentations by the SEC-LARO, the Social Security Administration, and the Federal Retirement Thrift Investment Board (TSP).

Investing Wisely and Safely for College Students, Careers with the SEC
Address: University of Hawaii at West Oahu
Date: April 27, 2023
Time: 12:30-3:30 PM
Description: The role of the SEC, planning wisely for your financial future, and possible career paths at the SEC.

Joint Base Pearl Harbor Hickam Naval Shipyard: What’s in Your Retirement Portfolio?
Address: Joint Base Pearl Harbor Hickam Naval Shipyard
Date: April 28, 2023
Time: 10:00 AM-4:00 PM
Description: Investing wisely and avoiding fraud. Presentations by the SEC-LARO, the Social Security Administration, and the Federal Retirement Thrift Investment Board (TSP).

Golden Futures 50+ Expo
Address: Pasadena, CA
Date: May 11, 2023
Time: All day
Description: SEC-staff resource table providing investor education literature and information for seniors.

UCLA Business and Law Investing Society: Investing Wisely and SEC Career Paths
Address: UCLA, Los Angeles, CA (virtual)
Date: May 14, 2023
Time: 6:00-7:00 PM
Description: The role of the SEC, planning wisely for your financial future, and possible career paths at the SEC.