About
The San Francisco 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 San Francisco office primarily conducts its enforcement or examination activities in Northern California as well as Alaska, Idaho, Montana, Oregon, and Washington.
Contact the Office
44 Montgomery Street, Suite 2800, San Francisco, CA 94104
Directors
- Monique Winkler, Regional Director
- Jason H. Lee, Associate Regional Director (Enforcement)
- Elena Ro, 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.