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Securities & Investment Regulation
OTHER PFR AGENCIES
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.
The Office of Securities will be closed Thursday, July 4, 2013, in observance of Independence Day.
Saturday, June, 15, 2013, is World Elder Abuse Awareness Day. The Office of Securities is dedicated to the protection of Maine consumers and committed to providing education and resources to address the serious issue of elder financial abuse. Below is a partial list of state agencies and organizations in Maine providing information, services, and education on elder abuse, including financial exploitation.
To see Governor LePage’s proclamation designating June 15th as “Maine Elder Abuse Awareness Day,”
Maine Office of Aging and Disability Services:
Maine Adult Protective Services:
Maine Department of Professional and Financial Regulation:
Maine Area Agencies on Aging:
Legal Services for the Elderly:
American Sign Language Videocast of the SEC Investor Alert
on the Imperia Invest IBC case.
Hard copies of all investor education publications and more are available by contacting the Office of Securities at 1-877-624-8551
Last Updated: June 17, 2013
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