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Contact information for securities regulators.
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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
(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)
(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)
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)
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
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
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
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
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)
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
(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
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
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
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
(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)
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)
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
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
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
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
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
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
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
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
(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
(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
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)
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
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)
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
(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
(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)
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