Site Map |

Search SEC:

Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Check a Security Registration
• Investor Education
• Small business help
• Industry information
• Laws, rules & advisory rulings
• Employment Opportunities

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

Contact Us: Office of Securities

The Office of Securities welcomes consumer complaints and questions, including questions about investments, financial professionals, and securities laws.

Telephone and fax

Telephone: 1-877-624-8551 (toll free in Maine) or 207-624-8551

TTY Calls: Your voice number followed by: TTY users call Maine relay 711

Fax: 207-624-8404

E-mail

Complaints

On-line complaint form

Check Before You Invest
On-line inquiry

Staff e-mail directory

Comprehensive list of staff members and their e-mail addresses

Mailing address (USPS)

Department of Professional & Financial Regulation
Office of Securities
121 State House Station
Augusta, Maine 04333

Courier deliveries (Fed Ex, UPS)

Department of Professional & Financial Regulation
Office of Securities
76 Northern Avenue
Gardiner, Maine 04345

Driving directions

Privacy of your personal information

Examine the personal information collected and stored by an agency about you

Webmaster

For technical inquiries or if you are having trouble accessing any portion of this Web site, please contact the webmaster. We also welcome any comments or feedback you may have that will help us improve our site.

 

 

Email Updates

To sign up for updates or to access your subscriber preferences, please enter your contact information below.

1. Email Address

Last Updated: April 19, 2024

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• The Maine Office Of Securities Cybersecurity Guideline 2018
• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• FINRA Regulation
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

 

Email Updates

To sign up for updates from the Office of Securities or to access your subscriber preferences, please enter your email address below.

1. Email Address

Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer