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Sources of Possible Legal and Other Assistance

Financial Industry Regulatory Authority, Regulation, Inc.

If you think that you have been subjected to improper or unfair sales practices or conduct by your broker, contact your brokerage firm's compliance officer or manager immediately. If you are still not satisfied, other resources that are available to you include the following:

District 1

  • 525 Market Street, Suite 300
    San Francisco, CA 94105-2711
    (415) 882-1200, Fax (415) 546-6991

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

  • 300 South Grand Avenue, Suite 1600
    Los Angeles, CA 90071
    (213) 627-2122, Fax (213) 617-3299

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.

Investor Protection Trust (IPT)

The Investor Protection Trust (IPT) provides independent, objective information needed by consumers to make informed investment decisions. Founded in 1993 as part of a multi-state settlement to resolve charges of broker misconduct, IPT’s charter consists of two major functions: serving as an independent source of non-commercial investor education materials and assisting in the prosecution of securities fraud. IPT operates programs under its own auspices and uses grants to underwrite important initiatives carried out by other organizations.

If you need a lawyer dealing with securities complaints and problems, you may wish to try the following:

  • If you already have a lawyer, consult with her or him about your problem and your options to determine if you need a lawyer who specializes in securities.
  • The State Bar of California
  • 180 Howard Street
    1149 South Hill Street
    San Francisco, CA 94102
    Los Angeles, 90015
    (415) 538-2000
    213) 765-1000
  • County Bar Associations listed in your telephone directory.
  • You may broaden the list of possible securities lawyers by consulting directories of attorneys found in many libraries and at Web sites. Examples include the following: the Martindale-Hubbell Law Directory (www.martindale.com), West Legal Directory (www.lawoffice.com), and FindLaw's Lawyer and Law Firm Directory (www.findlaw.com).

For your convenience, listed below are some associations that may provide you with referrals in your area. The Department of Corporations does not endorse, recommend, or approve a specific organization or lawyer.

This association limits its membership to lawyers who specialize in representing individuals in arbitration and other legal actions. Most PIABA members offer a free initial consultation either by telephone or in person.

American Arbitration Association (AAA)

The American Arbitration Association (AAA) recently began a two-year pilot program in cooperation with Securities Industry Conference on Arbitration (SICA) to provide investors with a broader choice of arbitration forums to resolve disputes with their brokerage firms outside of the securities industry. SICA is an organization consisting of public members, the Securities Industry Association, and the securities self-regulatory organizations, such as the Financial Industry Regulatory Authority and some stock exchanges. The offices in California are listed below.

  • Kristina Loehr, Regional Manager
    2030 Main Street, Suite 1650
    Irvine, CA 92614-7240
    (949) 251-9836, Fax: (949) 251-9842
  • Michael R. Powell, Vice President
    3055 Wilshire Blvd, Floor 7
    Los Angeles, CA 90010-1108
    (213) 383-6516, Fax (213) 386-2251
  • Steven Andersen, Regional Manager
    600 B Street, Suite 1450
    San Diego, CA 92101-4586
    (619) 239-3051, Fax (619) 239-3807
  • Paul L. Van Loon, Vice President
    225 Bush Street, Floor 18
    San Francisco, CA 94104-4207
    (415) 981-3901, Fax (415) 781-8426