Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation

About the Office of Securities

The Office of Securities protects Maine investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

Securities Administrator: Judith M. Shaw

What we can do for you

  • We can help you with problems with your financial professional
  • We can investigate your investment-related complaint and take legal action if appropriate, which may include seeking the return of your money
  • We can tell you useful information about your financial professional or investment salesperson, including:
    • Is the person properly licensed?
    • Has the person had any past discipline or complaints?
    • Is the investment the person is selling something that can be sold lawfully in Maine?
  • We can give you information to make you a better investor
Contact us

 

Office of Securities & Investment Regulation

Last Updated: January 15, 2014