About the Office
The Los Angeles Regional Office of the Securities and Exchange Commission has jurisdiction in Arizona, Hawaii, Guam, Nevada, and Southern California.
Learn more about the office's Western Alliance to Protect Targeted Communities initiative.
Contact Us »
444 South Flower Street, Suite 900
Los Angeles, CA 90071
Phone: 323-965-3998
E-mail: losangeles@sec.gov
Katharine Zoladz, Regional Director
Gary Leung, Associate Regional Director (Enforcement)
Brent Wilner, Associate Regional Director (Enforcement)
J. Cindy Eson, Associate Regional Director (Examinations)
What’s New
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
July 11, 2023
SEC Charges Three Southern California Siblings with Insider Trading
September 27, 2023
Investor Alert re: Hawaii Wildfires
August 16, 2023
Outreach Events
City of Fernley Small Business Resource Fair
Address: Fernley City Hall, Fernley, NV
Date: May 1, 2024
Time: 9:00 AM
Description: SEC investor education booth
Sun City Senior Expo
Address: Sundial Rec Center, 14801 North 103rd Avenue, Sun City, AZ
Date: May 6, 2024
Time: 9:00 AM-1:00 PM
Description: SEC investor education booth
LA-LIFT: What to Know Before You Invest
Address: Via Zoom (https://www.whywelift.org/)
Date: May 9, 2024
Time: All day
Description: Four presentations on investing wisely and avoiding fraud (2 in English, 2 in Spanish)
B’nai B’rith Senior Investor Outreach
Address: Sonesta Redondo Beach and Marina, 300 North Harbor Drive, Redondo Beach, CA
Date: May 16, 2024
Time: 8:30 AM-4:30 PM
Description: Presentation on investing wisely and avoiding fraud
Community Resource Expo for Seniors
Address: Oasis Senior Center, 801 Narcissus Avenue, Corona Del Mar, CA
Date: May 18, 2024
Time: All day
Description: SEC investor education booth
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.
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.
Modified: May 29, 2024