The Maine Office of Securities enforces Maine’s securities laws, licenses broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives, and reviews registration statements and exemption...more
8/28/2023
/ Broker-Dealer ,
Cease and Desist Orders ,
Chapter 11 ,
Consent Order ,
Cryptocurrency ,
Digital Assets ,
Enforcement ,
Investment Adviser ,
NASAA ,
Promissory Notes ,
Robinhood Financial ,
Settlement ,
Unlicensed Professionals