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Enforcement Division

The Enforcement Division’s mission is to investigate and enforce the laws subject to the Department of Financial Protection and Innovation to protect consumers and ensure a fair marketplace for the financial services industry.

The Enforcement Division has the authority to:

  • Issue administrative orders to stop violations of the law, and assess penalties;
  • Bring civil injunctive actions, appoint receivers, freeze assets, obtain victim relief; and
  • Assists in the criminal investigation and prosecution of laws and refers criminal violations to the appropriate United States Attorney, Attorney General, or District Attorney for prosecution.

To determine if the Department has taken enforcement action against any company or individual, you may search our online listing of actions and orders. If you wish to submit a complaint, please contact the DFPI’s Customer Service Office at 1-866-275-2677 or submit your complaint online.

Enforcement Division Leadership

Mary Ann Smith

Deputy Commissioner, Enforcement

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