Before you Invest, Investigate™ ...
Do you have a complaint about a broker, brokerage firm or investment advisor? If you do, the SEC, your regional NASD Office and your local state securities regulators want to hear from you. You can contact each of those regulators at the addresses listed below.
Division of Enforcement
Mail Stop 2-2
450 Fifth Street, N.W.
Washington, D.C. 20549-0202
Telephone No.: 1 800 SEC-0202
Fax Number: (202) 942-9570
E-mail Address: enforcement@sec.gov
Web Site: www.sec.gov
If you wish to file a customer complaint with NASD Regulation, contact your regional NASDR office at the following locations:
District 1 - San Francisco
525 Market Street, Suite 300
San Francisco, CA 94105-2711
(415) 882-1200
Fax: (415) 546-6991
Elisabeth P. Owens, Director
Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties), and Hawaii
District 2 - Los Angeles
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
(213) 627-2122
Fax: (213) 617-3299
Lani M. Sen Woltmann, Director
Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye), and the former U.S. Trust Territories
District 3 - Denver
Republic Office Building
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100
Fax: (303) 620-9450
James G. Dawson, V.P., Director
Arizona, Colorado, New Mexico, Utah, and Wyoming
District 3 - Seattle
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
Fax: (206) 623-2518
James G. Dawson, Director
Alaska, Idaho, Montana, Oregon, and Washington
District 4 - Kansas City
12 Wyandotte Plaza
120 West 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700
Fax: (816) 421-5029
Thomas Clough, V.P., Director
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
District 5 - New Orleans
1100 Poydras Street
Suite 850, Energy Centre
New Orleans, LA 70163
(504) 522-6527
Fax: (504) 522-4077
Warren A. Butler, Jr., V.P., Director
Alabama, Arkansas, Kentucky, Louisiana, Mississippi, Oklahoma, and Tennessee
District 6 - Dallas
12801 North Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554
Fax: (972) 716-7646
Virginia F. M. Jams, Associate Director
Texas
District 7 - Atlanta
One Securities Centre, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100
Fax: (404) 237-9290
David Paulukaitis, Director
Florida, Georgia, North Carolina, South Carolina, Virginia, Puerto Rico, the
Canal Zone, and the Virgin Islands
District 8 - Chicago
10 S. LaSalle St., 20th Floor
Chicago, IL 60603-1002
(312) 899-4400
Fax: (312) 236-3025
Carlotta A. Romano, V.P., Director
Illinois, Indiana, Michigan, and Wisconsin
District 8 - Cleveland
Renaissance on Playhouse Sq.
1350 Euclid Ave., Suite 650
Cleveland, OH 44115
(216) 694-4545
Fax: (216) 694-3048
William H. Jackson, Jr., Director
Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)
District 9 - Woodbridge
581 Main Street, 7th floor
Woodbridge, NJ 07095
(732) 596-2000
Fax: (732) 596-2001
Gary K. Liebowitz, Sr. V.P., Director
New Jersey (except southern New Jersey in the immediate Philadelphia vicinity)
District 9 - Philadelphia
11 Penn Center 1835 Market Street, 19th Floor
Philadelphia, PA 19103
(215) 665-1180
Fax: (215) 496-0434
John P. Nocella, Sr. V.P., Director
Delaware, Pennsylvania, West Virginia, District of Columbia, Maryland, and the part of southern New Jersey in the immediate Philadelphia vicinity
District 10 - New York City
One Liberty Plaza
New York, NY 10006
(212) 858-4000
Fax: (212) 858-4189
David A. Leibowitz, Sr. V.P., Director
The five boroughs of New York City
District 10 – Long Island Satellite Office
Two Jericho Plaza
Jericho, New York 11753
(516) 949-4200
Fax: (516) 949-4201
Hans Reich, Asst. Director
District 11 - Boston
260 Franklin St., 16th Floor
Boston, MA 02110
(617) 261-0800
Fax: (617) 951-2337
Fred McDonald, V.P., Director
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont, and New York (except for the counties of Monroe, Livingston, and Steuben; and the five boroughs of New York City)
A full up-to-date list of the NASAA State Offices, including Canada and Mexico, may be found on their web site located at: http://www.nasaa.org/nasaa/abtnasaa/find_regulator.asp