Statewide “Financial Wellness” Conference Planned for October 15th in Bangor

Federal, State and Local Officials to Provide Resources to Seniors and Others On Protecting Assets and Guarding Against Financial Exploitation

AUGUSTA, MAINE  –  The Maine Office of Securities announced today that it is partnering with the Financial Industry Regulatory Authority (FINRA), AARP/Maine, the U.S. Securities and Exchange Commission (SEC) and other consumer protection and law enforcement agencies to present a free half-day program aimed at providing advice and materials to help attendees protect their resources and guard against becoming the victim of financial exploitation.

 The event, called “Consumer University: Exercising Financial Wellness,” will be held October 15th from 9:00 a.m. to 1:00 p.m. at the Spectacular Event Center in Bangor.  The conference, which is open to any member of the public, will address a variety of topics of particular interest to older investors and consumers—including common/emerging investment scams and identify theft, as well as mail and telemarketing scams.  The conference will also offer an overview of common and newer types of investment products, and the pros and cons of reverse mortgages.  Lunch will be provided.

 Expert speakers will represent Maine’s Department of Professional and Financial Regulation/Office of Securities, AARP/Maine, the FINRA Investor Education Foundation, the US Securities and Exchange Commission, Money Management International, and the Penobscot County Sheriff’s Office.  There will be a question and answer period and an opportunity to meet informally with representatives of all of the participating organizations.

The conference will feature a keynote by Commissioner Elisse Walter of the US Securities and Exchange Commission.  Maine Securities Administrator Judy Shaw will moderate the program.

 Those interested in attending are urged to register early by calling FINRA’s registration line at 1-866-862-0110.  Information and a detailed conference agenda are available by contacting the Office of Securities at 1-877-624-8551 or by visiting 

The Office of Securities oversees the securities industry in Maine.  It is part of the Department of Professional and Financial Regulation, which encourages sound ethical business practices through the regulation of insurers, financial institutions, creditors, investment providers, and numerous professions for the purpose of protecting the citizens of Maine.  More information about the Office and its resources is available at



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