Legal Question in Investment Law in California

You're now four years after the fact and facing potential statute of limitations problems, in addition to the legal and factual problems of 'proving' legal liability, overcoming liability waivers and releases you may likely have signed, proving the loss was due to his professional misconduct or malpractice and not just the market going down, etc., etc. Plus, the loss was 'only' a 'small' amount that would make suing for it economically questionable. Only if you won a lawsuit, would you have any ability to get your legal fees paid by the other side. It is a cost to benefit and a risk to reward analysis whether it makes sense for you to spend legal fees on this that could easily be as much as you are seeking to recover.

I agree with Mr. Nelson. Also, in your contacts with FINRA and California, did these agencies merely ignore you, or did they give you any reasons for their inability or unwillingness to help?

If the former, maybe your inquiries were not on the right form, or mis-addressed, or not clear enough, or just got lost in the shuffle, in which case you might get somewhere by re-applying for assistance, very carefully reading and following their rules. If, however, the agences responded but were not encouraging about your potential claim, maybe that's the end of the line.