Maine Office of Securities

Mission:
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.

General Description of Services:
The Office can help with problems with financial professionals, investigate investment-related complaints, and take legal action if appropriate. Consumers may contact the Office for useful information about a financial professional or investment salesperson, including:

  • Is the person properly licensed?
     
  • Has the person had any past discipline or complaints?
     
  • Is the investment the person is selling something that can be sold lawfully in Maine?

For those with questions about investing, the Office has many resources to assist with making informed financial decisions.

Area served: State of Maine

Elder Abuse Related Services: The Office can provide free resources to educate consumers and providers on elder financial abuse, including brochures and speakers for presentations. The Office can also investigate complaints of elder financial abuse and provide referrals to other state agencies.

Contact Person:
Dona Garippa
dona.l.garippa@maine.gov

Judith Shaw
judith.m.shaw@maine.gov

Location

Maine Office of Securities
121 SHS
Augusta, ME 04330
Phone: (207) 624-8551 or (877) 624-855