November 23, 2017
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Maine touts new service on money managers

The Associated Press

GARDINER, Maine — Maine’s Office of Securities is spreading the word about a new online service that aims to inform and protect investors.

Maine Securities Administrator Judith Shaw says the new service can be found on the U.S. Securities and Exchange Commission’s website. It allows investors to electronically access information about people who work for financial planning, money management and other investment advisory companies.

By accessing the site, people can access background information that includes customer complaints, criminal and regulatory disclosures, professional qualifications and employment history.


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