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Securities Administrator Judith Shaw at Work - Consumer Protection High Priority

Department of Professional and Financial Regulation Commissioner Anne Head welcomed Judith M. Shaw of Brunswick as head of Maine’s Office of Securities on November 24th. Ms. Shaw brings a wealth of administrative experience to this position and a strong commitment to consumer protection.

“Given ongoing economic concerns and uncertainty in our nation’s financial markets, the role and responsibilities of Maine’s Office of Securities has never been more important,” Commissioner Head commented. “Judy Shaw has the experience, leadership qualities and concern for consumers that will be essential at this critical time.”

The Office of Securities protects Maine investors by investigating and prosecuting violations of 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 also conducts extensive outreach to consumers—something Shaw views as fundamentally important particularly during these trying economic times.

“The Office of Securities plays a vital licensing and enforcement role,” Shaw stated. “At the same time, the efforts we make to inform the public about wise investing practices may be just as important. Educating consumers and protecting them from fraudulent practices must be among our highest priorities.”

Shaw comes to the Securities Administrator position following eight years as a Deputy Superintendent at the Bureau of Insurance. Prior to serving in that capacity, she worked as an assistant attorney general representing the Bureau of Insurance. Shaw graduated from Widener School of Law in 1987 and has a bachelor’s degree in political science from the University of Maine at Orono.

Commissioner Head joined Administrator Shaw in encouraging consumers with questions or concerns about an investment product, advisor, broker or firm to contact the Office of Securities toll-free at 1-877-624-8551. More information about the Office and its resources is available online at www.maine.gov/pfr/securities.

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Last Updated: April 19, 2024