Changeflow GovPing Securities & Markets Maine Securities Enforcement Actions

Routine Enforcement Added Final

Maine Securities Enforcement Actions

enforcement.shtml

Detected March 17th, 2026

Summary

The State of Maine's Office of Securities & Investment Regulation has updated its list of civil and criminal enforcement actions. The page provides a chronological listing of past enforcement cases initiated by the state, including actions against individuals and entities for alleged securities violations.

View original document View source feed page

What changed

This document is a webpage listing civil and criminal enforcement actions taken by the State of Maine's Office of Securities & Investment Regulation. It provides a chronological index of cases, including party names and dates, dating back to February 2011. The listed actions represent the state's enforcement activities within its jurisdiction.

While this page serves as a historical record and does not introduce new regulations or deadlines, compliance officers should be aware that these actions reflect potential areas of regulatory scrutiny. Reviewing past enforcement actions can provide insight into the types of conduct the Maine Securities Administrator investigates and prosecutes, which may inform internal compliance programs and risk assessments for entities operating in or targeting Maine investors.

Source document (simplified)

State Search: Agencies | Online Services | Help Page Tools Page Tools Map addresses En español En français English Skip First Level Navigation | Skip All Navigation

| |

| Home | Contact Us | Careers | Calendar | Site Map | Search SEC: |

|

Securities & Investment Regulation

OTHER PFR AGENCIES

Professional Licensing
Bureau of Consumer Credit Protection
Insurance Regulation
Financial Institutions | Maine.gov > PFR Home > Securities Home Page > Civil and Criminal Actions by Date # Civil and Criminal Actions in Date Order

| April 7, 2022 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | |
| October 29, 2021 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | |
| June 8, 2021 | State of Maine v. Joel F. Brownstein | |
| September 22, 2020 | Commodity Futures Trading Commission, et. al v. TMTE, INC. a/k/a METALS.COM, et. al. (This case was filed under seal, but has now been unsealed by the court) | |
| April 16, 2020 | State of Maine v. Robert Kenneth Lindell, Jr. | |
| October 18, 2019 | State of Maine v. John E. Simpson | |
| June 6, 2019 | State of Maine v. Sean C. Grady | |
| May 21, 2019 | State of Maine and Judith Shaw, Securities Administrator v. Sean C. Grady, Abraham H. Kauffman, and Monument Square Capital LLC | |
| May 10, 2019 | State of Maine v. Jody Flynn | |
| April 23, 2019 | State of Maine v. Robert Kenneth Lindell, Jr. | |
| February 26, 2018 | State of Maine v. Robert J. Howarth - York County | |
| February 26, 2018 | State of Maine v. Robert J. Howarth - Waldo County | |
| August 9, 2017 | State of Maine v. Robert H. Edmunds, III | |
| July 20, 2017 | James A. Philbrook v. State of Maine | |
| April 12, 2016 | State of Maine v. Thomas Skypeck | |
| June 26, 2015 | State of Maine v. Darren F. McDunnah | |
| June 8, 2015 | James A. Philbrook v. State of Maine | |
| January 28, 2015 | State of Maine v. Paul C. Hollis | |
| May 5, 2014 | State Of Maine vs. Donna S. Leith | |
| October 24, 2013 | State of Maine v. James A. Philbrook Law Court Opinion | |
| November 2, 2012 | State of Maine v. James Philbrook | |
| March 23, 2012 | State of Maine v. Guy A. Griscom | |
| October 11, 2011 | State of Maine v. Donald R. Shields, Jr. | |
| February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | |
| February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | |
| July 28, 2010 | State of Maine v. Eric S. Murphy, Jr. | |
| May 3, 2010 | State of Maine v. Daniel J. Coyne | |
| February 11, 2010 | State of Maine v. Donna S. Leith | |
| November 25, 2008 | State of Maine v. Jonathan C. Rosenbloom | |
| November 7, 2008 | State of Maine v. Richard Sabrowske, III | |
| September 23, 2008 | State of Maine v. Thomas R. Acker - Judgment and Commitment | |
| November 27, 2007 | State of Maine v. Richard Sabrowske, III | |
| October 12, 2007 | State of Maine and Securities Administrator v. Thomas R. Watkins, T. Brock Watkins, Matrix Petroleum, Inc., and Basin Oil & Gas Corporation | |
| January 8, 2007 | State of Maine v. Richard Sabrowske, III | |
| January 8, 2007 | State of Maine v. Andrew S. Constantinou | |
| December 19, 2006 | State of Maine v. Andrew S. Constantinou | |
| December 19, 2006 | State of Maine v. Richard Sabrowske, III | |
| August 8, 2006 | State of Maine and Securities Administrator v. William A. Gourley, et al., | |
| August 8, 2006 | State of Maine v. William A. Gourley | |
| December 1, 2005 | State of Maine v. Bobby J. Miller, et al., | |
| August 26, 2005 | State of Maine and Securities Administrator v. James L. Paris | |
| August 9, 2005 | State of Maine v. Bobby J. Miller, Giroux Developing, Inc., and Heather Miller | |
| August 9, 2005 | State of Maine and Securities Administrator v. James L. Paris | |
| April 6, 2005 | State of Maine and Securities Administrator v. William A. Gourley, et al., | |
| March 10, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | |
| March 7, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | |
| August 5, 2004 | State of Maine and Securities Administrator v. Michael A. Doyle, | |
| March 18, 2004 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | |
| February 23, 2004 | State of Maine and Securities Administrator v. William A. Gourley, Barbara R. Gourley, and Bill & Barb Gourley, Inc. | |
| January 20, 2004 | State of Maine and Securities Administrator v. Paul E. Richard | |
| November 24, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | |
| September 25, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | |
| September 8, 2003 | State of Maine and Securities Administrator v. Dee Tech Corporation and Perren S. Watson, | |
| August 7, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | |
| July 14, 2003 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | |
| July 7, 2003 | State of Maine and Securities Administrator v. Charles S. Clark and Clark & Stuart, Inc., | |
| June 19, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | |
| April 18, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | |
| April 17, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | |
| | | |

Last Updated: April 27, 2022 6:39 AM | April 7, 2022 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | | October 29, 2021 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | | June 8, 2021 | State of Maine v. Joel F. Brownstein | | September 22, 2020 | Commodity Futures Trading Commission, et. al v. TMTE, INC. a/k/a METALS.COM, et. al. (This case was filed under seal, but has now been unsealed by the court) | | April 16, 2020 | State of Maine v. Robert Kenneth Lindell, Jr. | | October 18, 2019 | State of Maine v. John E. Simpson | | June 6, 2019 | State of Maine v. Sean C. Grady | | May 21, 2019 | State of Maine and Judith Shaw, Securities Administrator v. Sean C. Grady, Abraham H. Kauffman, and Monument Square Capital LLC | | May 10, 2019 | State of Maine v. Jody Flynn | | April 23, 2019 | State of Maine v. Robert Kenneth Lindell, Jr. | | February 26, 2018 | State of Maine v. Robert J. Howarth - York County | | February 26, 2018 | State of Maine v. Robert J. Howarth - Waldo County | | August 9, 2017 | State of Maine v. Robert H. Edmunds, III | | July 20, 2017 | James A. Philbrook v. State of Maine | | April 12, 2016 | State of Maine v. Thomas Skypeck | | June 26, 2015 | State of Maine v. Darren F. McDunnah | | June 8, 2015 | James A. Philbrook v. State of Maine | | January 28, 2015 | State of Maine v. Paul C. Hollis | | May 5, 2014 | State Of Maine vs. Donna S. Leith | | October 24, 2013 | State of Maine v. James A. Philbrook Law Court Opinion | | November 2, 2012 | State of Maine v. James Philbrook | | March 23, 2012 | State of Maine v. Guy A. Griscom | | October 11, 2011 | State of Maine v. Donald R. Shields, Jr. | | February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | | February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | | July 28, 2010 | State of Maine v. Eric S. Murphy, Jr. | | May 3, 2010 | State of Maine v. Daniel J. Coyne | | February 11, 2010 | State of Maine v. Donna S. Leith | | November 25, 2008 | State of Maine v. Jonathan C. Rosenbloom | | November 7, 2008 | State of Maine v. Richard Sabrowske, III | | September 23, 2008 | State of Maine v. Thomas R. Acker - Judgment and Commitment | | November 27, 2007 | State of Maine v. Richard Sabrowske, III | | October 12, 2007 | State of Maine and Securities Administrator v. Thomas R. Watkins, T. Brock Watkins, Matrix Petroleum, Inc., and Basin Oil & Gas Corporation | | January 8, 2007 | State of Maine v. Richard Sabrowske, III | | January 8, 2007 | State of Maine v. Andrew S. Constantinou | | December 19, 2006 | State of Maine v. Andrew S. Constantinou | | December 19, 2006 | State of Maine v. Richard Sabrowske, III | | August 8, 2006 | State of Maine and Securities Administrator v. William A. Gourley, et al., | | August 8, 2006 | State of Maine v. William A. Gourley | | December 1, 2005 | State of Maine v. Bobby J. Miller, et al., | | August 26, 2005 | State of Maine and Securities Administrator v. James L. Paris | | August 9, 2005 | State of Maine v. Bobby J. Miller, Giroux Developing, Inc., and Heather Miller | | August 9, 2005 | State of Maine and Securities Administrator v. James L. Paris | | April 6, 2005 | State of Maine and Securities Administrator v. William A. Gourley, et al., | | March 10, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | | March 7, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | | August 5, 2004 | State of Maine and Securities Administrator v. Michael A. Doyle, | | March 18, 2004 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | | February 23, 2004 | State of Maine and Securities Administrator v. William A. Gourley, Barbara R. Gourley, and Bill & Barb Gourley, Inc. | | January 20, 2004 | State of Maine and Securities Administrator v. Paul E. Richard | | November 24, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | | September 25, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | September 8, 2003 | State of Maine and Securities Administrator v. Dee Tech Corporation and Perren S. Watson, | | August 7, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | July 14, 2003 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | | July 7, 2003 | State of Maine and Securities Administrator v. Charles S. Clark and Clark & Stuart, Inc., | | June 19, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | | April 18, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | April 17, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | | | | #### Consumer Tools

Industry Tools

Email Updates To sign up for updates from the Office of Securities or to access your subscriber preferences, please enter your email address below.
1.
Email Address |
| April 7, 2022 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October 29, 2021 | State of Maine v. Nelson Parker Cowand (aka Parker Cowand) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| June 8, 2021 | State of Maine v. Joel F. Brownstein | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| September 22, 2020 | Commodity Futures Trading Commission, et. al v. TMTE, INC. a/k/a METALS.COM, et. al. (This case was filed under seal, but has now been unsealed by the court) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 16, 2020 | State of Maine v. Robert Kenneth Lindell, Jr. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October 18, 2019 | State of Maine v. John E. Simpson | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| June 6, 2019 | State of Maine v. Sean C. Grady | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| May 21, 2019 | State of Maine and Judith Shaw, Securities Administrator v. Sean C. Grady, Abraham H. Kauffman, and Monument Square Capital LLC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| May 10, 2019 | State of Maine v. Jody Flynn | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 23, 2019 | State of Maine v. Robert Kenneth Lindell, Jr. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 26, 2018 | State of Maine v. Robert J. Howarth - York County | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 26, 2018 | State of Maine v. Robert J. Howarth - Waldo County | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 9, 2017 | State of Maine v. Robert H. Edmunds, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| July 20, 2017 | James A. Philbrook v. State of Maine | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 12, 2016 | State of Maine v. Thomas Skypeck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| June 26, 2015 | State of Maine v. Darren F. McDunnah | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| June 8, 2015 | James A. Philbrook v. State of Maine | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| January 28, 2015 | State of Maine v. Paul C. Hollis | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| May 5, 2014 | State Of Maine vs. Donna S. Leith | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October 24, 2013 | State of Maine v. James A. Philbrook Law Court Opinion | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| November 2, 2012 | State of Maine v. James Philbrook | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| March 23, 2012 | State of Maine v. Guy A. Griscom | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October 11, 2011 | State of Maine v. Donald R. Shields, Jr. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 23, 2011 | State of Maine v. Rent-A-Husband, LLC, KW Enterprises, Inc., and Kaile R. Warren, Jr., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| July 28, 2010 | State of Maine v. Eric S. Murphy, Jr. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| May 3, 2010 | State of Maine v. Daniel J. Coyne | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 11, 2010 | State of Maine v. Donna S. Leith | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| November 25, 2008 | State of Maine v. Jonathan C. Rosenbloom | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| November 7, 2008 | State of Maine v. Richard Sabrowske, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| September 23, 2008 | State of Maine v. Thomas R. Acker - Judgment and Commitment | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| November 27, 2007 | State of Maine v. Richard Sabrowske, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October 12, 2007 | State of Maine and Securities Administrator v. Thomas R. Watkins, T. Brock Watkins, Matrix Petroleum, Inc., and Basin Oil & Gas Corporation | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| January 8, 2007 | State of Maine v. Richard Sabrowske, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| January 8, 2007 | State of Maine v. Andrew S. Constantinou | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| December 19, 2006 | State of Maine v. Andrew S. Constantinou | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| December 19, 2006 | State of Maine v. Richard Sabrowske, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 8, 2006 | State of Maine and Securities Administrator v. William A. Gourley, et al., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 8, 2006 | State of Maine v. William A. Gourley | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| December 1, 2005 | State of Maine v. Bobby J. Miller, et al., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 26, 2005 | State of Maine and Securities Administrator v. James L. Paris | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 9, 2005 | State of Maine v. Bobby J. Miller, Giroux Developing, Inc., and Heather Miller | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 9, 2005 | State of Maine and Securities Administrator v. James L. Paris | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 6, 2005 | State of Maine and Securities Administrator v. William A. Gourley, et al., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| March 10, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| March 7, 2005 | State of Maine and Securities Administrator v. Lori M. Hemings | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 5, 2004 | State of Maine and Securities Administrator v. Michael A. Doyle, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| March 18, 2004 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| February 23, 2004 | State of Maine and Securities Administrator v. William A. Gourley, Barbara R. Gourley, and Bill & Barb Gourley, Inc. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| January 20, 2004 | State of Maine and Securities Administrator v. Paul E. Richard | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| November 24, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| September 25, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| September 8, 2003 | State of Maine and Securities Administrator v. Dee Tech Corporation and Perren S. Watson, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| August 7, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| July 14, 2003 | State of Maine and Securities Administrator v. Robert H. Edmunds, III | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| July 7, 2003 | State of Maine and Securities Administrator v. Charles S. Clark and Clark & Stuart, Inc., | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| June 19, 2003 | State of Maine and Securities Administrator v. Paul E. Richard | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 18, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| April 17, 2003 | State of Maine and Securities Administrator v. Kristopher T. Saunders, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer |

| | Copyright
©
2006 All rights reserved. | |

Related changes

Maine Securities Enforcement Actions and Administrative Orders

Routine Mar 17, 2026 • enforcement.shtml • Securities & Markets

Maine Securities Consent Agreements and Enforcement Actions

Priority review Mar 17, 2026 • enforcement.shtml • Securities & Markets

Maine Securities Enforcement Administrative Orders

Priority review Mar 17, 2026 • enforcement.shtml • Securities & Markets

SEC No-Action Relief for Multi-Class ETFs on Disclosure Rules

Priority review Mar 17, 2026 • SEC: No-Action Letters - Trading & Markets • Securities & Markets

OSC Investor Warnings: FINAD-AI, Prime Wealth, dexfinexpro

Priority review Mar 17, 2026 • Ontario Securities Commission News • Banking & Finance

SEC Approves NSCC Rule Change for ETF Clearing with Options

Priority review Mar 17, 2026 • Regulations.gov Final Notices • Government & Legislation

Source

enforcement.shtml maine.gov/pfr/securities/enforcement.shtml

Securities & Markets

Analysis generated by AI. Source diff and links are from the original.

Classification

Agency

State Securities

Instrument

Enforcement

Legal weight

Binding

Stage

Final

Change scope

Minor

Who this affects

Applies to

Investors Financial advisers

Geographic scope

State (Maine)

Taxonomy

Primary area

Securities

Operational domain

Legal

Topics

Enforcement Actions State Regulation

Get Securities & Markets alerts

Weekly digest. AI-summarized, no noise.

Free. Unsubscribe anytime.