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Office of Securities
Press Releases

Date

Description
January 13, 2012 Office of Securities Announces Investment Scam Sentencing in Federal Court
January 10, 2012 Office of Securities Encourages Investing in Business Opportunities, But Alerts Consumers to Potential for Fraud in Certain Ventures
December 1, 2011 Office of Securities Announces Initiative to Combat Elder Financial Abuse
November 8, 2011 Governor and Office of Securities Join ‘National Call-In Day’ on November 10th to Highlight Elder Financial/Investment Abuse
November 1, 2011 Maine Office of Securities Announces IARD System Fee Waiver For Investment Adviser Firms and Representatives
October 28, 2011 Maine Securities Administrator Highlights Fraud Risk Posed by Self-Directed IRAs and Urges Investors to Use Caution
October 14, 2011 Sentence Announced in Advance-Fee Loan Scheme
September 27, 2011 Maine's Office of Securities Announces Statewide “Financial Wellness” Conference
September 23, 2011 Office of Securities Highlights State and Federal Action to Stop Scheme Targeting Deaf Investors
September 1, 2011 Maine’s Office of Securities Releases Annual List of Top Investor Traps
July 8, 2011 Maine’s Office of Securities Announces Conviction of California-based Scammer Who Defrauded Maine Investors
June 15, 2011 Department of Professional and Financial Regulation Highlights Efforts to Fight Exploitation of Seniors on Elder Abuse Awareness Day
June 8, 2011 Maine’s Office of Securities Takes Action Against the Unlicensed Sale of Unregistered Investment Products
May 20, 2011 Office of Securities Announces Improvements to System for Checking Financial Advisers’ Disciplinary Records
May 12, 2011 Teachers from Across State Given Tools and Resources to Foster Financial Literacy Education in Maine Schools
April 14, 2011 Maine Office of Securities Announces Restitution Totals for 2010: Individual Investors and Investment Firms Benefit
January 13, 2012 Office of Securities Announces Investment Scam Sentencing in Federal Court
January 10, 2012 Office of Securities Encourages Investing in Business Opportunities, But Alerts Consumers to Potential for Fraud in Certain Ventures
December 1, 2011 Office of Securities Announces Initiative to Combat Elder Financial Abuse
November 8, 2011 Governor and Office of Securities Join ‘National Call-In Day’ on November 10th to Highlight Elder Financial/Investment Abuse
November 1, 2011 Maine Office of Securities Announces IARD System Fee Waiver For Investment Adviser Firms and Representatives
October 28, 2011 Maine Securities Administrator Highlights Fraud Risk Posed by Self-Directed IRAs and Urges Investors to Use Caution
October 14, 2011 Sentence Announced in Advance-Fee Loan Scheme
September 27, 2011 Maine's Office of Securities Announces Statewide “Financial Wellness” Conference
September 23, 2011 Office of Securities Highlights State and Federal Action to Stop Scheme Targeting Deaf Investors
September 1, 2011 Maine’s Office of Securities Releases Annual List of Top Investor Traps
July 8, 2011 Maine’s Office of Securities Announces Conviction of California-based Scammer Who Defrauded Maine Investors
June 15, 2011 Department of Professional and Financial Regulation Highlights Efforts to Fight Exploitation of Seniors on Elder Abuse Awareness Day
June 8, 2011 Maine’s Office of Securities Takes Action Against the Unlicensed Sale of Unregistered Investment Products
May 20, 2011 Office of Securities Announces Improvements to System for Checking Financial Advisers’ Disciplinary Records
May 12, 2011 Teachers from Across State Given Tools and Resources to Foster Financial Literacy Education in Maine Schools
April 14, 2011 Maine Office of Securities Announces Restitution Totals for 2010: Individual Investors and Investment Firms Benefit
   
   
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Last Updated: October 25, 2011