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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