Staff Directory: Office of Securities
We invite you to e-mail your questions to staff members at the Office of Securities.
|
Name |
Position |
Phone |
|
Judith M. Shaw |
Securities Administrator |
207-624-8551 |
|
Stephen L. Diamond |
Assistant Securities Administrator, Registration and Licensing |
207-624-8551 |
|
Molly C. Gerencer |
Assistant Securities Administrator, Registration and Licensing |
207-624-8551 |
|
Douglas F. Jennings |
Staff Attorney |
207-624-8551 |
|
Jacqueline M. Drouin |
Senior Investigator/Examiner
consumer complaint investigations |
207-624-8551 |
|
Christian Caruso |
Investigator/Examiner
Agent licensing, consumer complaint investigations |
207-624-8551 |
|
Willis P. Smedberg |
Investigator/Examiner, Agent licensing, consumer complaint investigations |
207-624-8551 |
|
Cathy Williams |
Investigator/Examiner, Investment Adviser licensing, consumer complaint investigations |
207-624-8551 |
|
Alyson Cummings |
Investor Education Manager, Statewide securities educational outreach, fraud prevention
and education |
207-624-8551 |
|
Billie-Jo A. DeRosby |
Licensing Coordinator, Licensing of broker-dealers, agents
and investment adviser representatives |
207-624-8551 |
|
Dona L. Garippa |
Administrative Secretary |
207-624-8551 |
|
Dana M. Faucher |
Office Specialist I
Initial processing of all securities and mutual fund filings, status checks on securities
registration and exemption filings, scheduling of licensee seminars, initial receipt
of filing fees and accounting for all fees |
207-624-8551 |
|
Angela D. McAllister |
Office Associate II
Initial processing of all securities and mutual fund filings, status checks on securities
registration and exemption filings, initial receipt of filing fees and accounting
for all fees |
207-624-8551 |
| |
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Last Updated:
April 10, 2009
