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Maine Office of Securities

MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update

MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update 150 150 Rex Securities Law

According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME

Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME 150 150 Rex Securities Law

April 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell,  ,  a  previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…

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Revere Securities Sanctioned by Securities Regulators

Revere Securities Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) ,  a  FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

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Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Rex Securities Law

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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Maine Securities Regulator to Testify to Congress About Financial Exploitation of Senior Citizens

Maine Securities Regulator to Testify to Congress About Financial Exploitation of Senior Citizens 150 150 Rex Securities Law

February 3, 2015-Augusta, Maine Judith Shaw, administrator of Maine’s Office of Securities, is scheduled to testify before the U.S. Senate Special Committee on Aging according to the Portland Press Herald.…

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Seminar On How to Avoid Financial Abuse/Exploitation Set for Maine Residents February 1st

Seminar On How to Avoid Financial Abuse/Exploitation Set for Maine Residents February 1st 150 150 Rex Securities Law

January 27, 2015-Augusta, Maine A public forum on how older citizens can successfully “Age in Place….At Home” will be held on Sunday, February 1, 2015, in Jewett Hall Auditorium at…

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Malcolm Meikle Sanctioned by Securities Regulators

Malcolm Meikle Sanctioned by Securities Regulators 150 150 Rex Securities Law

November 20, 2014 The Financial Industry Regulatory Authority (FINRA) sanctioned broker Malcolm McGreggor Meikle by assessing a fine of $10,000 and suspending his securities registration for 20 days to resolve…

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Maine Office of Securities Publishes Investor Alerts

Maine Office of Securities Publishes Investor Alerts 150 150 Rex Securities Law

The State of Maine, Office of Securities , in their effort to keep Maine investors informed, has published the following Investor Alerts, which are available here: What is Virtual Currency? Financial…

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Maine Office of Securities Fines J.P. Morgan Securities $51,150

Maine Office of Securities Fines J.P. Morgan Securities $51,150 150 150 Rex Securities Law

In September 2014, as part of a multi state investigation, the Maine Office of Securities found that J.P. Morgan Securities failed to establish an adequate supervisory system to monitor the…

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