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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
Karla Black General Counsel 207-624-8551
Meredith P. Turney Director of Corporation Finance,
Securities Registration
207-624-8551
James D. Liddell Attorney,
Securities Registration and Rulemaking
207-624-8551
Vanessa N. Smith Senior Securities Examiner,
Examinations and Investment Adviser Licensing
207-624-8551
Vacant Director of Examinations and Licensing,
Examinations and Firm Licensing
207-624-8551
Andrew W. Shuman Senior Securities Examiner,
Examinations and Investment Adviser Licensing
207-624-8551
Jacqueline M. Drouin Senior Investigator,
Consumer complaints, investigations
207-624-8551
Cathy Williams Senior Investigator,
Consumer complaints, investigations

207-624-8551

Nathan M. McLaughlin

Investigator,
Consumer complaints, investigations

207-624-8551
Dan Davies

Investigator,
Consumer complaints, investigations

207-624-8551
Rebecca Taylor Investigator,
Consumer complaints, investigations

207-624-8551

Billie-Jo A. Pyska Licensing Coordinator,
Licensing of broker-dealers, agents and investment adviser representatives

207-624-8551

Vacant Administrative Secretary 207-624-8551
Dana M. Faucher Management Analyst I,
Processing of securities and mutual fund filings, process and train new e-filers, scheduling of licensee seminars and website editor
207-624-8551
Angela D. McAllister Office Associate II,
Processing of securities and mutual fund filings
207-624-8551

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Last Updated: July 13, 2018