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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 Monday, May 28th in observance of Memorial Day. Many services offered by the Office are always available on this website.

 

Be an Informed Investor
NEW Investor Alert:
Crowdfunding

Resources for Saving & Investing

America Saves Week

Military Saves Week

Maine Licensed Investment Advisors

Switch Training Power Point

Recent Investor Education Events

Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program

April 18, 2012
5:00 pm to 6:30 pm

University of New England/Portland Campus

View a video of the April 18th presentation

 

The 3rd Annual Fostering Financial Literacy In Maine Schools Conference, April 26th, 2012 at the Augusta Civic Center was a success.

View media coverage on the Maine Jump Start Coalition website: http://www.jumpstart.org/press-room9.html

 

How to recognize telemarketing scams
(Video from the U.S. FTC)

 

American Sign Language Videocast of the SEC Investor Alert on the Imperia Invest IBC case.

Recent Investor Education Publications

 

Hard copies of all investor education publications and more are available by contacting the Office of Securities at 1-877-624-8551

News and Alerts

  • Maine’s Office of Securities Issues Advisory to Warn Consumers about “Crowdfunding” Investments
  • Maine's Office of Securities and UNE to Present Innovative Program to Help Health Care Professionals Screen for Elder Financial Exploitation and Investment Fraud
  • Maine’s Office of Securities Announces Major Settlement With Bankers Life and Casualty Company
  • Office of Securities and Partners Announce Statewide 'Financial Literacy in Maine Schools' Conference
  • Maine’s Office of Securities Announces Restitution Totals and Other Investor Protection Measures Taken in 2011
  • Office of Securities Announces Investment Scam Sentencing in Federal Court
  • Office of Securities Encourages Investing in Business Opportunities, But Alerts Consumers to Potential for Fraud in Certain Ventures
  • Office of Securities Announces Initiative to Combat Elder Financial Abuse
  • Governor and Office of Securities Join ‘National Call-In Day’ on November 10th to Highlight Elder Financial/Investment Abuse
  • Maine Office of Securities Announces IARD System Fee Waiver For Investment Adviser Firms and Representatives
  • Maine Securities Administrator Highlights Fraud Risk Posed by Self-Directed IRAs and Urges Investors to Use Caution
  • Sentence Announced in Advance-Fee Loan Scheme

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    Last Updated: May 17, 2012