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UNITED STATES Alabama Securities Commission 401 Adams Avenue Suite 280 P.O. Box 304700 Montgomery, AL 36130-4700 Joseph P. Borg Director (334) 242-2984 (334) 242-2984 (800) 222-1253 (800) 222- 1253 FREE (334) 242-0240 (Fax) Alaska Dept. of Commerce, Community and Economic Development Div. of Banking, Securities & Corporations 150 Third Street, Suite 217 P.O. Box 110807 Juneau, AK 99811-0807 Kevin Anselm Director (907) 465-2521 (907) 465-2521 (907) 465-2549 (Fax) Arizona Corporation Commission Securities Division Montana Commissioner of Securities & Insurance Montana State Auditor’s Office Securities Department 840 Helena Avenue Helena, MT 59601 Lynne Egan Deputy Securities Commissioner (406) 444-2040 (406) 444- 2040 (406) 444-5558 (Fax) Nebraska Nebraska Department of Banking & Finance Commerce Court 1230 “O” Street, Suite 400 PO Box 95006 Lincoln, NE 68509-5006 Jack E. Herstein Assistant Director (402) 471-3445 (402) 471- 3445 Nevada Secretary of State

Regulators Contact Information Update for 2015

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Page 1: Regulators Contact Information Update for 2015

UNITED STATES

Alabama

Securities Commission401 Adams AvenueSuite 280P.O. Box 304700Montgomery, AL 36130-4700

Joseph P. BorgDirector

(334) 242-2984 (334) 242-2984

(800) 222-1253 (800) 222-1253 FREE(334) 242-0240 (Fax)

Alaska

Dept. of Commerce, Community andEconomic DevelopmentDiv. of Banking, Securities & Corporations150 Third Street, Suite 217P.O. Box 110807Juneau, AK 99811-0807

Kevin AnselmDirector

(907) 465-2521 (907) 465-2521(907) 465-2549 (Fax)

Arizona

Corporation CommissionSecurities Division1300 West Washington StreetThird FloorPhoenix, AZ 85007

Matthew J. NeubertDirector

Montana

Commissioner of Securities & InsuranceMontana State Auditor’s OfficeSecurities Department840 Helena AvenueHelena, MT 59601

Lynne EganDeputy Securities Commissioner

(406) 444-2040 (406) 444-2040(406) 444-5558 (Fax)

Nebraska

Nebraska Department of Banking & FinanceCommerce Court1230 “O” Street, Suite 400PO Box 95006Lincoln, NE 68509-5006

Jack E. HersteinAssistant Director

(402) 471-3445 (402) 471-3445

Nevada

Secretary of StateSecurities Division555 East Washington AvenueSuite 5200Las Vegas, NV 89101

Diana FoleySecurities Administrator

(702) 486-2440 (702) 486-2440

Page 2: Regulators Contact Information Update for 2015

(602) 542-4242 (602) 542-4242(602) 388-1335 (Fax)

Arkansas

Securities DepartmentHeritage West Building201 East Markham, Room 300Little Rock, AR 72201-1692

Heath AbshureSecurities Commissioner

(501) 324-9260 (501) 324-9260(501) 324-9268 (Fax)

California

Department of Business Oversight1515 K StreetSuite 200Sacramento, CA 95814-4052

Jan Lynn OwenCommissioner of the Department of Business Oversight

(866) 275-2677 (866) 275-2677 FREE(916) 322-1559 (Fax)

Colorado

Division of Securities1560 BroadwaySuite 900Denver, CO 80202

Gerald RomeActing Securities Commissioner

(303) 894-2320 (303) 894-2320

(702) 486-2452 (Fax)

New Hampshire

Bureau of Securities RegulationDepartment of State107 North Main Street, # 204Concord, NH 03301-4989

Barry GlennonDirector of Securities Regulation

(603) 271-1463 (603) 271-1463(603) 271-7933 (Fax)

New Jersey

Department of Law & Public SafetyBureau of Securities153 Halsey Street6th FloorNewark, NJ 07102

Amy KopletonDeputy Bureau Chief

(973) 504-3600 (973) 504-3600(973) 504-3601 (Fax)

New Mexico

Regulation & Licensing DepartmentSecurities Division2550 Cerrillos RoadSanta Fe, NM 87505

Alan WilsonDirector of Securities

(505) 476-4580 (505) 476-4580(505) 984-0617 (Fax)

Page 3: Regulators Contact Information Update for 2015

(303) 861-2126 (Fax)

Connecticut

Department of Banking260 Constitution PlazaHartford, CT 06103-1800

Eric WilderDirector of Securities

(860) 240-8230 (860) 240-8230(860) 240-8295 (Fax)

Delaware

Delaware Department of JusticeInvestor Protection UnitCarvel State Office Building820 North French Street, 5th Fl.Wilmington, DE 19801

Owen LefkonInvestor Protection Director

(302) 577-8424 (302) 577-8424(302) 577-6987 (Fax)

District of Columbia

Department of Insurance, Securities and BankingSecurities Bureau810 First Street, NESuite 701 Washington, DC 20002

Theodore A. MilesAssociate Commissioner, Securities

(202) 442-7800 (202) 442-7800(202) 354-1092 (Fax)

New York

Office of the Attorney GeneralInvestor Protection Bureau120 Broadway23rd FloorNew York, NY 10271

Chad JohnsonBureau Chief

(212) 416-8222 (212) 416-8222(212) 416-8136 (Fax)

North Carolina

Department of the Secretary of StateSecurities Division2 South Salisbury StreetRaleigh, NC 27601

David S. MasseyDeputy Securities Administrator

(919) 733-3924 (919) 733-3924(919) 807-2183 (Fax)

North Dakota

Securities Commission600 East BoulevardState Capitol, 5th FloorBismarck, ND 58505-0510

Karen TylerCommissioner

(701) 328-2910 (701) 328-2910(701) 328-2946 (Fax)

Page 4: Regulators Contact Information Update for 2015

Florida

Office of Financial Regulation200 East Gaines StreetTallahassee, FL 32399-0372

Pam EptingDirector, Division of Securities

(850) 410-9500 (850) 410-9500(850) 410-9748 (Fax)

Georgia

Office of the Secretary of StateDivision of SecuritiesTwo Martin Luther King, Jr. Drive SE802 West TowerAtlanta, GA 30334

Tom ZagorskySecurities Division Director

(478) 207-2440 (478) 207-2440

Hawaii

Department of Commerce &Consumer AffairsDivision of Business Regulation335 Merchant StreetRoom 203Honolulu, HI 96813

Tung ChanCommissioner of Securities

(808) 586-2744 (808) 586-2744(808) 586-2733 (Fax)

Ohio

Division of Securities77 South High Street22nd FloorColumbus, OH 43215-6131

Andrea SeidtCommissioner

(614) 644-7381 (614) 644-7381(614) 466-3316 (Fax)

Oklahoma

Securities Commissioner1st National Center, Suite 860120 N. RobinsonOklahoma City, OK 73102

Irving FaughtAdministrator

(405) 280-7700 (405) 280-7700(405) 280-7742 (Fax)

Oregon

Department of Consumer& Business ServicesDiv. of Finance & Corp. Securities350 Winter Street, NERoom 410Salem, OR 97301-3881

David TatmanDivision Administrator

(503) 378-4140 (503) 378-4140(503) 947-7862 (Fax)

Page 5: Regulators Contact Information Update for 2015

Idaho

Department of Finance800 Park BoulevardSuite 200Boise, ID 83712

Marilyn T. ChastainSecurities Bureau Chief

(208) 332-8004 (208) 332-8004(208) 332-8099 (Fax)

Illinois

Office of the Secretary of StateSecurities Department69 West Washington StreetSuite 1220Chicago, IL 60602

Tanya SolovDirector of Securities

(312) 793-3384 (312) 793-3384(312) 793-1202(Fax)

Indiana

Office of the Secretary of StateSecurities Division302 West WashingtonRoom E-111Indianapolis, IN 46204

Carol MihalikSecurities Commissioner

(317) 232-6681 (317) 232-6681(317) 233-3675 (Fax)

Pennsylvania

Pennsylvania Department ofBanking and Securities17 North 2nd Street, Suite 1300Harrisburg, PA 17101-2290

Victoria A. ReiderExecutive Deputy Secretary

(717) 787-2665 (717) 787-2665(717) 783-5125 (Fax)

Puerto Rico

Commissioner of Financial InstitutionsPO Box 11855San Juan, PR 00910-3855

Damaris Mendoza-RomanSecurities Administrator

(787) 723-3131(787) 723-4225 (Fax)

Rhode Island

Department of Business Regulation1511 Pontiac AvenueJohn O. Pastore Complex Bldg. 69-1Cranston, RI 02920-4407

Maria D’AlessandroAssociate Director& Superintendent of Securities

(401) 462-9527 (401) 462-9527(401) 462-9645 (Fax)

South Carolina

Office of the Attorney General

Page 6: Regulators Contact Information Update for 2015

Iowa

Insurance DivisionSecurities Bureau601 Locust – 4th floorDes Moines, IA 50309

Rosanne MeadSecurities Administrator

(515) 281-5705 (515) 281-5705(515) 281-3059 (Fax)

Kansas

Office of the Securities Commissioner109 SW 9th StreetSuite 600Topeka, KS 66612

Joshua NeySecurities Commissioner

(785) 296-3307 (785) 296-3307(785) 296-6872 (Fax)

Kentucky

Department of Financial Institutions1025 Capital Center DriveSuite 200Frankfort, KY 40601

Shonita BossierDirector, Div. of Securities

(502) 573-3390 (502) 573-3390

(800) 223-2579 (800) 223-2579 FREE(502) 573-2182 (Fax)

Securities DivisionRembert C. Dennis Office Building, Suite 5011000 Assembly Street

PO Box 11549Columbia, SC 29211-1549

T. Stephen LynchDeputy Securities Commissioner

(803) 734-9916 (803) 734-9916(803) 734-3677 (Fax)

South Dakota

Division of Securities445 E Capitol AvenuePierre, SD 57501-3185

Michael YoungbergDirector

(605) 773-4823 (605) 773-4823(605) 773-5953 (Fax)

Tennessee

Department of Commerce & InsuranceSecurities DivisionDavy Crockett Tower, Suite 680500 James Robertson ParkwayNashville, TN 37243-0575

Daphne D. SmithAssistant Commissioner for Securities

(615) 741-2947 (615) 741-2947(615) 532-8375 (Fax)

Texas

Page 7: Regulators Contact Information Update for 2015

Louisiana

Securities CommissionOffice of Financial Institutions8660 United Plaza Blvd.Second FloorBaton Rouge, LA 70809-7024

Rhonda ReevesDeputy Securities Commissioner

(225) 925-4512 (225) 925-4512

Maine

Dept. of Professional & Financial RegulationOffice of Securities121 State House StationAugusta, ME 04333-0121

Judith M. ShawSecurities Administrator

(207) 624-8551 (207) 624-8551(207) 624-8590 (Fax)

Maryland

Office of the Attorney GeneralDivision of Securities200 Saint Paul PlaceBaltimore, MD 21202-2020

Melanie Senter LubinSecurities Commissioner

(410) 576-6360 (410) 576-6360(410) 576-6532 (Fax)

Massachusetts

Securities Division

State Securities Board208 East 10th Street5th Floor, PO Box 13167Austin, TX 78701

John MorganSecurities Commissioner

(512) 305-8300 (512) 305-8300(512) 305-8310 (Fax)

U.S. Virgin Islands

Division of Banking and Insurance18 Kongens GadeSaint Thomas, VI 00802

Deverita SturdivantChief of Securities Regulation

(340) 774-7166

Utah

Department of CommerceDivision of Securities160 East 300 South2nd Floor

PO Box 146760Salt Lake City, UT 84114-6760

Keith WoodwellDirector

(801) 530-6600 (801) 530-6600(801) 530-6980 (Fax)

Vermont

Department of Financial Regulation89 Main Street, 3rd Floor

Page 8: Regulators Contact Information Update for 2015

One Ashburton PlaceRoom 1701Boston, MA 02108

Bryan LantagneDirector

(617) 727-3548 (617) 727-3548(617) 248-0177(Fax)

Michigan

Department of Licensing and Regulatory AffairsCorporation, Securities and Commercial Licensing Bureau2501 Woodlake Circle, Okemos, MI 48864PO Box 30018Lansing, MI 48909

Alan J. SchefkeBureau Director

(517)241-9202 (517)241-9202

Minnesota

Department of Commerce85 East 7th PlaceSuite 500Saint Paul, MN 55101

Mike RothmanCommissioner

(651)539-1500 (651)539-1500(651) 296-4328 (Fax)

Mississippi

Office of the Secretary of StateSecurities Division

Montpelier, VT 05620-3101

Michael PieciakDeputy Commissioner of Securities

(802) 828-3420 (802) 828-3420(802) 828-2896 (Fax)

Virginia

State Corporation CommissionDivision of Securities & Retail Franchising1300 East Main Street9th Floor

PO Box 1197Richmond, VA 23218

Ronald W. ThomasDirector

(804) 371-9051 (804) 371-9051(804) 371-9911 (Fax)

Washington

Department of Financial InstitutionsSecurities Division150 Israel Rd, SW

PO Box 9033Tumwater, WA 98507-9033

William BeattyDirector of Securities

(360) 902-8760 (360) 902-8760(360) 902-0524 (Fax)

West Virginia

Page 9: Regulators Contact Information Update for 2015

700 North Street, PO Box 136Jackson, MS 39202

Cheryn NetzAsst. Secretary of State

(601) 359-1334 (601) 359-1334(601) 359-9070 (Fax)

Missouri

Office of the Secretary of StateSecurities Division600 West Main StreetJefferson City, MO 65101

Andrew HartnettSecurities Commissioner

(573) 751-4136 (573) 751-4136(573) 526-3124 (Fax)

Office of the State AuditorSecurities DivisionBuilding 1Room W-100Charleston, WV 25305-0230

Lisa HopkinsSenior Deputy Commissioner of Securities

(304) 558-2257 (304) 558-2257(304) 558-4211 (Fax)

Wisconsin

Department of Financial InstitutionsDivision of Securities201 W. Washington AvenueSuite 300

PO Box 1768Madison, WI 53701-1768

Patricia D. StruckAdministrator

(608) 266-1064 (608) 266-1064(608) 264-7979 (Fax)

Wyoming

Secretary of StateCompliance DivisionState Capitol Building200 W. 24th StreetCheyenne, WY 82002-0020

Karen WheelerDivision Director

(307) 777-7370 (307) 777-7370(307) 777-7640 (Fax)

Page 10: Regulators Contact Information Update for 2015

CANADA

Alberta

Securities CommissionSuite 600, 250 – 5th Street S.W.Calgary, AB T2P 0R4Canada

Glenda CampbellVice-Chair

(403) 297-6454 (403) 297-6454(403) 297-6156 (Fax)

British Columbia

Securities CommissionP.O. Box 10142, Pacific Centre701 West Georgia StreetVancouver, BC V7Y 1L2Canada

Brenda LeongChair

(604) 899-6500 (604) 899-6500(604) 899-6506 (Fax)

Manitoba

Securities Commission500-400 St. Mary AvenueWinnipeg, MB R3C 4K5Canada

Douglas R. BrownDirector, Legal, Enforcement & Registrations

Nunavut

Department of JusticeLegal Registries DivisionP.O. Box 1000 – Station 5701st Floor, Brown BuildingIqaluit, NU X0A 0H0Canada

Louis ArkiSuperintendent of Securities

(867) 975-6590 (867) 975-6590(867) 975-6594 (Fax)

Ontario

Securities Commission20 Queen Street West, Suite 1900Box 55Toronto, ON M5H 3S8Canada

Kathryn DanielsDeputy Director of Enforcement

(416) 593-8314 (416) 593-8314(416) 593-8122 (Fax)

Prince Edward Island

Department of Environment, Labour and Justice95 Rochford Street4th Floor, Shaw BuildingCharlottetown, PE C1A 7N8Canada

Katharine TummonSuperintendent of Securities

Page 11: Regulators Contact Information Update for 2015

(204) 945-2548 (204) 945-2548(204) 945-0330 (Fax)

New Brunswick

Financial and Consumer Services Commission85 Charlotte Street, Suite 300Saint John, NB E2L 2J2Canada

Rick HancoxExecutive Director

(506) 658-3060 (506) 658-3060(506) 658-3059 (Fax)

Newfoundland & Labrador

Financial Services Regulation DivisionPO Box 8700St. John’s, NL A1B 4J6Canada

Douglas Connolly, CGASuperintendent of Securities

(709)-729-4189 (709)-729-4189(709)-729-6187 (Fax)

Northwest Territories

Office of Superintendent of SecuritiesDepartment of Justice1st Floor Stuart M. Hodgson Building5009 – 49th Street

PO Box 1320Yellowknife, NT X1A 2L9Canada

(902) 368-4550 (902) 368-4550(902) 368-5283 (Fax)

Québec

Autorité des Marchés Financiers800 Square Victoria, 22nd FloorC.P. 246, tour de la BourseMontreal, PQ H4Z 1G3Canada

Jean LorrainDirector, International AffairsRegulation Directorate

(514) 395-0337 (514) 395-0337(514) 873-3090 (Fax)

Saskatchewan

Financial and Consumer Affairs Authority601 – 1919 Saskatchewan DriveRegina, SK S4P 4H2Canada

Dean MurrisonDirector

(306) 787-5879 (306) 787-5879(306) 787-5899 (Fax)

Yukon

Department of Community ServicesCorporate Affairs C-6P.O. Box 2703Whitehorse, YT Y1A 2C6Canada

Frederik Pretorius

Page 12: Regulators Contact Information Update for 2015

Gary MacDougall,Superintendent of Securities

(867) 873-7490 (867) 873-7490(867) 873-0243 (Fax)

Nova Scotia

Securities Commission5251 Duke StreetSuite 400, Duke Tower

PO Box 458Halifax, NS B3J 2P8Canada

Sarah P. BradleyChair

(902) 424-7768 (902) 424-7768(902) 424-4625 (Fax)

Superintendent of Securities

(867) 667-5314 (867) 667-5314(867) 393-6251 (Fax)

MEXICO

Comisión Nacional Bancaria y de ValoresAv. Insurgentes Sur 1971, Torre SurPiso 11Plaza Inn, Col. Guadalupe Inn, C.P. 01020Mexico

Jose LoyolaDirector General of International Affairs011 52 55 1454-6020

MontanaCommissioner of Securities & InsuranceMontana State Auditor’s Office

Page 13: Regulators Contact Information Update for 2015

Securities Department840 Helena AvenueHelena, MT 59601

Lynne EganDeputy Securities Commissioner

(406) 444-2040 (406) 444-2040(406) 444-5558 (Fax)

 

Nebraska

Nebraska Department of Banking & FinanceCommerce Court1230 “O” Street, Suite 400PO Box 95006Lincoln, NE 68509-5006

Jack E. HersteinAssistant Director

(402) 471-3445 (402) 471-3445

 

Nevada

Secretary of StateSecurities Division555 East Washington AvenueSuite 5200Las Vegas, NV 89101

Diana FoleySecurities Administrator

(702) 486-2440 (702) 486-2440(702) 486-2452 (Fax)

 

New Hampshire 

Bureau of Securities RegulationDepartment of State107 North Main Street, # 204Concord, NH 03301-4989

Page 14: Regulators Contact Information Update for 2015

Barry GlennonDirector of Securities Regulation

(603) 271-1463 (603) 271-1463(603) 271-7933 (Fax)

 

New Jersey 

Department of Law & Public SafetyBureau of Securities153 Halsey Street6th FloorNewark, NJ 07102

Amy KopletonDeputy Bureau Chief

(973) 504-3600 (973) 504-3600(973) 504-3601 (Fax)

 

New Mexico

Regulation & Licensing DepartmentSecurities Division2550 Cerrillos RoadSanta Fe, NM 87505

Alan WilsonDirector of Securities

(505) 476-4580 (505) 476-4580(505) 984-0617 (Fax)

 

New York 

Office of the Attorney GeneralInvestor Protection Bureau120 Broadway23rd FloorNew York, NY 10271

Chad JohnsonBureau Chief

Page 15: Regulators Contact Information Update for 2015

(212) 416-8222 (212) 416-8222(212) 416-8136 (Fax)

 

North Carolina

Department of the Secretary of StateSecurities Division2 South Salisbury StreetRaleigh, NC 27601

David S. MasseyDeputy Securities Administrator

(919) 733-3924 (919) 733-3924(919) 807-2183 (Fax)

 

North Dakota 

Securities Commission600 East BoulevardState Capitol, 5th FloorBismarck, ND 58505-0510

Karen TylerCommissioner

(701) 328-2910 (701) 328-2910(701) 328-2946 (Fax)

 

Ohio

Division of Securities77 South High Street22nd FloorColumbus, OH 43215-6131

Andrea SeidtCommissioner

(614) 644-7381 (614) 644-7381(614) 466-3316 (Fax)

Page 16: Regulators Contact Information Update for 2015

 

Oklahoma

Securities Commissioner1st National Center, Suite 860120 N. RobinsonOklahoma City, OK 73102

Irving FaughtAdministrator

(405) 280-7700 (405) 280-7700(405) 280-7742 (Fax)

 

Oregon

Department of Consumer& Business ServicesDiv. of Finance & Corp. Securities350 Winter Street, NERoom 410Salem, OR 97301-3881

David TatmanDivision Administrator

(503) 378-4140 (503) 378-4140(503) 947-7862 (Fax)

 

Pennsylvania

Pennsylvania Department ofBanking and Securities17 North 2nd Street, Suite 1300Harrisburg, PA 17101-2290

Victoria A. ReiderExecutive Deputy Secretary

(717) 787-2665 (717) 787-2665(717) 783-5125 (Fax)

 

Page 17: Regulators Contact Information Update for 2015

Puerto Rico

Commissioner of Financial InstitutionsPO Box 11855San Juan, PR 00910-3855

Damaris Mendoza-RomanSecurities Administrator

(787) 723-3131(787) 723-4225 (Fax)

 

Rhode Island

Department of Business Regulation1511 Pontiac AvenueJohn O. Pastore Complex Bldg. 69-1Cranston, RI 02920-4407

Maria D’AlessandroAssociate Director& Superintendent of Securities

(401) 462-9527 (401) 462-9527(401) 462-9645 (Fax)

 

South Carolina

Office of the Attorney GeneralSecurities DivisionRembert C. Dennis Office Building, Suite 5011000 Assembly Street

PO Box 11549Columbia, SC 29211-1549

T. Stephen LynchDeputy Securities Commissioner

(803) 734-9916 (803) 734-9916(803) 734-3677 (Fax)

 

South Dakota 

Page 18: Regulators Contact Information Update for 2015

Division of Securities445 E Capitol AvenuePierre, SD 57501-3185

Michael YoungbergDirector

(605) 773-4823 (605) 773-4823(605) 773-5953 (Fax)

 

Tennessee

Department of Commerce & InsuranceSecurities DivisionDavy Crockett Tower, Suite 680500 James Robertson ParkwayNashville, TN 37243-0575

Daphne D. SmithAssistant Commissioner for Securities

(615) 741-2947 (615) 741-2947(615) 532-8375 (Fax)

 

Texas

State Securities Board208 East 10th Street5th Floor, PO Box 13167Austin, TX 78701

John MorganSecurities Commissioner

(512) 305-8300 (512) 305-8300(512) 305-8310 (Fax)

 

U.S. Virgin Islands

Division of Banking and Insurance18 Kongens GadeSaint Thomas, VI 00802

Deverita Sturdivant

Page 19: Regulators Contact Information Update for 2015

Chief of Securities Regulation

(340) 774-7166

 

Utah

Department of CommerceDivision of Securities160 East 300 South2nd Floor

PO Box 146760Salt Lake City, UT 84114-6760

Keith WoodwellDirector

(801) 530-6600 (801) 530-6600(801) 530-6980 (Fax)

 

Vermont

Department of Financial Regulation89 Main Street, 3rd FloorMontpelier, VT 05620-3101

Michael PieciakDeputy Commissioner of Securities

(802) 828-3420 (802) 828-3420(802) 828-2896 (Fax)

 

Virginia

State Corporation CommissionDivision of Securities & Retail Franchising1300 East Main Street9th Floor

PO Box 1197Richmond, VA 23218

Ronald W. Thomas

Page 20: Regulators Contact Information Update for 2015

Director

(804) 371-9051 (804) 371-9051(804) 371-9911 (Fax)

 

Washington

Department of Financial InstitutionsSecurities Division150 Israel Rd, SW

PO Box 9033Tumwater, WA 98507-9033

William BeattyDirector of Securities

(360) 902-8760 (360) 902-8760(360) 902-0524 (Fax)

 

West Virginia 

Office of the State AuditorSecurities DivisionBuilding 1Room W-100Charleston, WV 25305-0230

Lisa HopkinsSenior Deputy Commissioner of Securities

(304) 558-2257 (304) 558-2257(304) 558-4211 (Fax)

 

Wisconsin

Department of Financial InstitutionsDivision of Securities201 W. Washington AvenueSuite 300

PO Box 1768

Page 21: Regulators Contact Information Update for 2015

Madison, WI 53701-1768

Patricia D. StruckAdministrator

(608) 266-1064 (608) 266-1064(608) 264-7979 (Fax)

 

Wyoming

Secretary of StateCompliance DivisionState Capitol Building200 W. 24th StreetCheyenne, WY 82002-0020

Karen WheelerDivision Director

(307) 777-7370 (307) 777-7370(307) 777-7640 (Fax)

UNITED STATES

Alabama

Securities Commission401 Adams Avenue

Montana

Commissioner of Securities & InsuranceMontana State Auditor’s Office

Page 22: Regulators Contact Information Update for 2015

Suite 280P.O. Box 304700Montgomery, AL 36130-4700

Joseph P. BorgDirector

(334) 242-2984 (334) 242-2984

(800) 222-1253 (800) 222-1253 FREE(334) 242-0240 (Fax)

Alaska

Dept. of Commerce, Community andEconomic DevelopmentDiv. of Banking, Securities & Corporations150 Third Street, Suite 217P.O. Box 110807Juneau, AK 99811-0807

Kevin AnselmDirector

(907) 465-2521 (907) 465-2521(907) 465-2549 (Fax)

Arizona

Corporation CommissionSecurities Division1300 West Washington StreetThird FloorPhoenix, AZ 85007

Matthew J. NeubertDirector

(602) 542-4242 (602) 542-4242(602) 388-1335 (Fax)

Arkansas

Securities Department840 Helena AvenueHelena, MT 59601

Lynne EganDeputy Securities Commissioner

(406) 444-2040 (406) 444-2040(406) 444-5558 (Fax)

Nebraska

Nebraska Department of Banking & FinanceCommerce Court1230 “O” Street, Suite 400PO Box 95006Lincoln, NE 68509-5006

Jack E. HersteinAssistant Director

(402) 471-3445 (402) 471-3445

Nevada

Secretary of StateSecurities Division555 East Washington AvenueSuite 5200Las Vegas, NV 89101

Diana FoleySecurities Administrator

(702) 486-2440 (702) 486-2440(702) 486-2452 (Fax)

New Hampshire

Bureau of Securities RegulationDepartment of State

Page 23: Regulators Contact Information Update for 2015

Securities DepartmentHeritage West Building201 East Markham, Room 300Little Rock, AR 72201-1692

Heath AbshureSecurities Commissioner

(501) 324-9260 (501) 324-9260(501) 324-9268 (Fax)

California

Department of Business Oversight1515 K StreetSuite 200Sacramento, CA 95814-4052

Jan Lynn OwenCommissioner of the Department of Business Oversight

(866) 275-2677 (866) 275-2677 FREE(916) 322-1559 (Fax)

Colorado

Division of Securities1560 BroadwaySuite 900Denver, CO 80202

Gerald RomeActing Securities Commissioner

(303) 894-2320 (303) 894-2320(303) 861-2126 (Fax)

Connecticut

Department of Banking260 Constitution Plaza

107 North Main Street, # 204Concord, NH 03301-4989

Barry GlennonDirector of Securities Regulation

(603) 271-1463 (603) 271-1463(603) 271-7933 (Fax)

New Jersey

Department of Law & Public SafetyBureau of Securities153 Halsey Street6th FloorNewark, NJ 07102

Amy KopletonDeputy Bureau Chief

(973) 504-3600 (973) 504-3600(973) 504-3601 (Fax)

New Mexico

Regulation & Licensing DepartmentSecurities Division2550 Cerrillos RoadSanta Fe, NM 87505

Alan WilsonDirector of Securities

(505) 476-4580 (505) 476-4580(505) 984-0617 (Fax)

New York

Office of the Attorney GeneralInvestor Protection Bureau120 Broadway23rd Floor

Page 24: Regulators Contact Information Update for 2015

Hartford, CT 06103-1800

Eric WilderDirector of Securities

(860) 240-8230 (860) 240-8230(860) 240-8295 (Fax)

Delaware

Delaware Department of JusticeInvestor Protection UnitCarvel State Office Building820 North French Street, 5th Fl.Wilmington, DE 19801

Owen LefkonInvestor Protection Director

(302) 577-8424 (302) 577-8424(302) 577-6987 (Fax)

District of Columbia

Department of Insurance, Securities and BankingSecurities Bureau810 First Street, NESuite 701 Washington, DC 20002

Theodore A. MilesAssociate Commissioner, Securities

(202) 442-7800 (202) 442-7800(202) 354-1092 (Fax)

Florida

Office of Financial Regulation200 East Gaines StreetTallahassee, FL 32399-0372

Pam EptingDirector, Division of Securities

New York, NY 10271

Chad JohnsonBureau Chief

(212) 416-8222 (212) 416-8222(212) 416-8136 (Fax)

North Carolina

Department of the Secretary of StateSecurities Division2 South Salisbury StreetRaleigh, NC 27601

David S. MasseyDeputy Securities Administrator

(919) 733-3924 (919) 733-3924(919) 807-2183 (Fax)

North Dakota

Securities Commission600 East BoulevardState Capitol, 5th FloorBismarck, ND 58505-0510

Karen TylerCommissioner

(701) 328-2910 (701) 328-2910(701) 328-2946 (Fax)

Ohio

Division of Securities77 South High Street22nd FloorColumbus, OH 43215-6131

Andrea Seidt

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(850) 410-9500 (850) 410-9500(850) 410-9748 (Fax)

Georgia

Office of the Secretary of StateDivision of SecuritiesTwo Martin Luther King, Jr. Drive SE802 West TowerAtlanta, GA 30334

Tom ZagorskySecurities Division Director

(478) 207-2440 (478) 207-2440

Hawaii

Department of Commerce &Consumer AffairsDivision of Business Regulation335 Merchant StreetRoom 203Honolulu, HI 96813

Tung ChanCommissioner of Securities

(808) 586-2744 (808) 586-2744(808) 586-2733 (Fax)

Idaho

Department of Finance800 Park BoulevardSuite 200Boise, ID 83712

Marilyn T. ChastainSecurities Bureau Chief

(208) 332-8004 (208) 332-8004

Commissioner

(614) 644-7381 (614) 644-7381(614) 466-3316 (Fax)

Oklahoma

Securities Commissioner1st National Center, Suite 860120 N. RobinsonOklahoma City, OK 73102

Irving FaughtAdministrator

(405) 280-7700 (405) 280-7700(405) 280-7742 (Fax)

Oregon

Department of Consumer& Business ServicesDiv. of Finance & Corp. Securities350 Winter Street, NERoom 410Salem, OR 97301-3881

David TatmanDivision Administrator

(503) 378-4140 (503) 378-4140(503) 947-7862 (Fax)

Pennsylvania

Pennsylvania Department ofBanking and Securities17 North 2nd Street, Suite 1300Harrisburg, PA 17101-2290

Victoria A. ReiderExecutive Deputy Secretary

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(208) 332-8099 (Fax)

Illinois

Office of the Secretary of StateSecurities Department69 West Washington StreetSuite 1220Chicago, IL 60602

Tanya SolovDirector of Securities

(312) 793-3384 (312) 793-3384(312) 793-1202(Fax)

Indiana

Office of the Secretary of StateSecurities Division302 West WashingtonRoom E-111Indianapolis, IN 46204

Carol MihalikSecurities Commissioner

(317) 232-6681 (317) 232-6681(317) 233-3675 (Fax)

Iowa

Insurance DivisionSecurities Bureau601 Locust – 4th floorDes Moines, IA 50309

Rosanne MeadSecurities Administrator

(515) 281-5705 (515) 281-5705(515) 281-3059 (Fax)

(717) 787-2665 (717) 787-2665(717) 783-5125 (Fax)

Puerto Rico

Commissioner of Financial InstitutionsPO Box 11855San Juan, PR 00910-3855

Damaris Mendoza-RomanSecurities Administrator

(787) 723-3131(787) 723-4225 (Fax)

Rhode Island

Department of Business Regulation1511 Pontiac AvenueJohn O. Pastore Complex Bldg. 69-1Cranston, RI 02920-4407

Maria D’AlessandroAssociate Director& Superintendent of Securities

(401) 462-9527 (401) 462-9527(401) 462-9645 (Fax)

South Carolina

Office of the Attorney GeneralSecurities DivisionRembert C. Dennis Office Building, Suite 5011000 Assembly Street

PO Box 11549Columbia, SC 29211-1549

T. Stephen LynchDeputy Securities Commissioner

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Kansas

Office of the Securities Commissioner109 SW 9th StreetSuite 600Topeka, KS 66612

Joshua NeySecurities Commissioner

(785) 296-3307 (785) 296-3307(785) 296-6872 (Fax)

Kentucky

Department of Financial Institutions1025 Capital Center DriveSuite 200Frankfort, KY 40601

Shonita BossierDirector, Div. of Securities

(502) 573-3390 (502) 573-3390

(800) 223-2579 (800) 223-2579 FREE(502) 573-2182 (Fax)

Louisiana

Securities CommissionOffice of Financial Institutions8660 United Plaza Blvd.Second FloorBaton Rouge, LA 70809-7024

Rhonda ReevesDeputy Securities Commissioner

(225) 925-4512 (225) 925-4512

(803) 734-9916 (803) 734-9916(803) 734-3677 (Fax)

South Dakota

Division of Securities445 E Capitol AvenuePierre, SD 57501-3185

Michael YoungbergDirector

(605) 773-4823 (605) 773-4823(605) 773-5953 (Fax)

Tennessee

Department of Commerce & InsuranceSecurities DivisionDavy Crockett Tower, Suite 680500 James Robertson ParkwayNashville, TN 37243-0575

Daphne D. SmithAssistant Commissioner for Securities

(615) 741-2947 (615) 741-2947(615) 532-8375 (Fax)

Texas

State Securities Board208 East 10th Street5th Floor, PO Box 13167Austin, TX 78701

John MorganSecurities Commissioner

(512) 305-8300 (512) 305-8300(512) 305-8310 (Fax)

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Maine

Dept. of Professional & Financial RegulationOffice of Securities121 State House StationAugusta, ME 04333-0121

Judith M. ShawSecurities Administrator

(207) 624-8551 (207) 624-8551(207) 624-8590 (Fax)

Maryland

Office of the Attorney GeneralDivision of Securities200 Saint Paul PlaceBaltimore, MD 21202-2020

Melanie Senter LubinSecurities Commissioner

(410) 576-6360 (410) 576-6360(410) 576-6532 (Fax)

Massachusetts

Securities DivisionOne Ashburton PlaceRoom 1701Boston, MA 02108

Bryan LantagneDirector

(617) 727-3548 (617) 727-3548(617) 248-0177(Fax)

Michigan

Department of Licensing and Regulatory AffairsCorporation, Securities and Commercial Licensing

U.S. Virgin Islands

Division of Banking and Insurance18 Kongens GadeSaint Thomas, VI 00802

Deverita SturdivantChief of Securities Regulation

(340) 774-7166

Utah

Department of CommerceDivision of Securities160 East 300 South2nd Floor

PO Box 146760Salt Lake City, UT 84114-6760

Keith WoodwellDirector

(801) 530-6600 (801) 530-6600(801) 530-6980 (Fax)

Vermont

Department of Financial Regulation89 Main Street, 3rd FloorMontpelier, VT 05620-3101

Michael PieciakDeputy Commissioner of Securities

(802) 828-3420 (802) 828-3420(802) 828-2896 (Fax)

Virginia

State Corporation Commission

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Bureau2501 Woodlake Circle, Okemos, MI 48864PO Box 30018Lansing, MI 48909

Alan J. SchefkeBureau Director

(517)241-9202 (517)241-9202

Minnesota

Department of Commerce85 East 7th PlaceSuite 500Saint Paul, MN 55101

Mike RothmanCommissioner

(651)539-1500 (651)539-1500(651) 296-4328 (Fax)

Mississippi

Office of the Secretary of StateSecurities Division700 North Street, PO Box 136Jackson, MS 39202

Cheryn NetzAsst. Secretary of State

(601) 359-1334 (601) 359-1334(601) 359-9070 (Fax)

Missouri

Office of the Secretary of StateSecurities Division600 West Main StreetJefferson City, MO 65101

Division of Securities & Retail Franchising1300 East Main Street9th Floor

PO Box 1197Richmond, VA 23218

Ronald W. ThomasDirector

(804) 371-9051 (804) 371-9051(804) 371-9911 (Fax)

Washington

Department of Financial InstitutionsSecurities Division150 Israel Rd, SW

PO Box 9033Tumwater, WA 98507-9033

William BeattyDirector of Securities

(360) 902-8760 (360) 902-8760(360) 902-0524 (Fax)

West Virginia

Office of the State AuditorSecurities DivisionBuilding 1Room W-100Charleston, WV 25305-0230

Lisa HopkinsSenior Deputy Commissioner of Securities

(304) 558-2257 (304) 558-2257(304) 558-4211 (Fax)

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Andrew HartnettSecurities Commissioner

(573) 751-4136 (573) 751-4136(573) 526-3124 (Fax)

Wisconsin

Department of Financial InstitutionsDivision of Securities201 W. Washington AvenueSuite 300

PO Box 1768Madison, WI 53701-1768

Patricia D. StruckAdministrator

(608) 266-1064 (608) 266-1064(608) 264-7979 (Fax)

Wyoming

Secretary of StateCompliance DivisionState Capitol Building200 W. 24th StreetCheyenne, WY 82002-0020

Karen WheelerDivision Director

(307) 777-7370 (307) 777-7370(307) 777-7640 (Fax)

CANADA

Alberta

Securities CommissionSuite 600, 250 – 5th Street S.W.Calgary, AB T2P 0R4Canada

Glenda CampbellVice-Chair

Nunavut

Department of JusticeLegal Registries DivisionP.O. Box 1000 – Station 5701st Floor, Brown BuildingIqaluit, NU X0A 0H0Canada

Louis ArkiSuperintendent of Securities

(867) 975-6590 (867) 975-6590

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(403) 297-6454 (403) 297-6454(403) 297-6156 (Fax)

British Columbia

Securities CommissionP.O. Box 10142, Pacific Centre701 West Georgia StreetVancouver, BC V7Y 1L2Canada

Brenda LeongChair

(604) 899-6500 (604) 899-6500(604) 899-6506 (Fax)

Manitoba

Securities Commission500-400 St. Mary AvenueWinnipeg, MB R3C 4K5Canada

Douglas R. BrownDirector, Legal, Enforcement & Registrations

(204) 945-2548 (204) 945-2548(204) 945-0330 (Fax)

New Brunswick

Financial and Consumer Services Commission85 Charlotte Street, Suite 300Saint John, NB E2L 2J2Canada

Rick HancoxExecutive Director

(506) 658-3060 (506) 658-3060

(867) 975-6594 (Fax)

Ontario

Securities Commission20 Queen Street West, Suite 1900Box 55Toronto, ON M5H 3S8Canada

Kathryn DanielsDeputy Director of Enforcement

(416) 593-8314 (416) 593-8314(416) 593-8122 (Fax)

Prince Edward Island

Department of Environment, Labour and Justice95 Rochford Street4th Floor, Shaw BuildingCharlottetown, PE C1A 7N8Canada

Katharine TummonSuperintendent of Securities

(902) 368-4550 (902) 368-4550(902) 368-5283 (Fax)

Québec

Autorité des Marchés Financiers800 Square Victoria, 22nd FloorC.P. 246, tour de la BourseMontreal, PQ H4Z 1G3Canada

Jean LorrainDirector, International AffairsRegulation Directorate

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(506) 658-3059 (Fax)

Newfoundland & Labrador

Financial Services Regulation DivisionPO Box 8700St. John’s, NL A1B 4J6Canada

Douglas Connolly, CGASuperintendent of Securities

(709)-729-4189 (709)-729-4189(709)-729-6187 (Fax)

Northwest Territories

Office of Superintendent of SecuritiesDepartment of Justice1st Floor Stuart M. Hodgson Building5009 – 49th Street

PO Box 1320Yellowknife, NT X1A 2L9Canada

Gary MacDougall,Superintendent of Securities

(867) 873-7490 (867) 873-7490(867) 873-0243 (Fax)

Nova Scotia

Securities Commission5251 Duke StreetSuite 400, Duke Tower

PO Box 458Halifax, NS B3J 2P8Canada

Sarah P. Bradley

(514) 395-0337 (514) 395-0337(514) 873-3090 (Fax)

Saskatchewan

Financial and Consumer Affairs Authority601 – 1919 Saskatchewan DriveRegina, SK S4P 4H2Canada

Dean MurrisonDirector

(306) 787-5879 (306) 787-5879(306) 787-5899 (Fax)

Yukon

Department of Community ServicesCorporate Affairs C-6P.O. Box 2703Whitehorse, YT Y1A 2C6Canada

Frederik PretoriusSuperintendent of Securities

(867) 667-5314 (867) 667-5314(867) 393-6251 (Fax)

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Chair

(902) 424-7768 (902) 424-7768(902) 424-4625 (Fax)

MEXICO

Comisión Nacional Bancaria y de ValoresAv. Insurgentes Sur 1971, Torre SurPiso 11Plaza Inn, Col. Guadalupe Inn, C.P. 01020Mexico

Jose LoyolaDirector General of International Affairs011 52 55 1454-6020