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About the Office of Securities

The Office of Securities protects fb88 investors by investigating 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 fb88.

Securities Administrator: Jesse A. Devine

What we can do for you

• We can help you with problems with your financial professional
• We can investigate your investment-related complaint and take legal action if appropriate, which may include seeking the return of your money
• We can tell you useful information about your 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 fb88?
• We can give you information to make you a better investor

Contact us

 

Last Updated: December 23, 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 fb88 Office Of Securities Cybersecurity Guideline 2018
• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

 

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