Maine AG: Professional Financial Regulation Division Services Defined

• The Maine Attorney General's Professional and Financial Regulation Division provides legal services to over 60 state agencies.
• Its client roster includes the Maine Department of Professional and Financial Regulation, the Bureau of Insurance, and the Office of Securities.
• The division also represents 38 professional licensing boards under the Office of Professional and Occupational Regulation, overseeing more than 100,000 licensees.
• Assistant Attorneys General within the division offer legal advice, conduct investigations, prosecute disciplinary actions, and litigate in state and federal courts.
• The division's work encompasses a broad spectrum of state entities, from the Gambling Control Board to the Public Employees Retirement System.

The division's extensive legal services are critical for maintaining the integrity and compliance of Maine's professional and financial sectors, impacting over 100,000 active licensees.

The Professional and Financial Regulation (PFR) Division within the Maine Attorney General's Office delivers comprehensive legal services to a diverse array of state government entities. This specialized division acts as legal counsel and representative for more than 60 agency clients, playing a pivotal role in upholding regulatory standards across Maine's professional and financial landscapes. The scope of these Maine AG Professional Financial Regulation Division services extends from providing crucial legal advice to assisting in complex investigations and representing clients in various legal forums.

Assistant Attorneys General (AAGs) within the PFR Division are tasked with a broad range of responsibilities. These include offering expert legal guidance, actively supporting investigations conducted by client agencies, and prosecuting disciplinary actions before relevant regulatory boards. Furthermore, the AAGs are responsible for defending administrative actions brought against their clients on appeal and representing these state entities in both state and federal court proceedings.

This extensive legal support is fundamental to the operational integrity and enforcement capabilities of numerous state bodies. For legal and compliance professionals, understanding the breadth of these services is essential for navigating regulatory frameworks and advising clients who interact with or are regulated by these governmental agencies.

A significant portion of the PFR Division's mandate involves providing legal counsel and representation to the Maine Department of Professional and Financial Regulation (DPFR) and its constituent boards and regulatory agencies. This includes critical entities such as the Maine Bureau of Insurance legal services and the Maine Office of Securities legal representation, which are vital for overseeing financial markets and consumer protection within the state.

Beyond the DPFR, the division also extends its Maine professional licensing boards representation to the Office of Professional and Occupational Regulation (OPOR). This encompasses 38 professional licensing boards, commissions, and regulatory programs. These bodies are instrumental in protecting the public by managing licensure, conducting inspections, and enforcing regulations for over 100,000 active licensees across various professions.

The PFR Division's client roster further expands to a wide range of other state and quasi-independent agencies. These diverse clients include the Board of Property Tax Review, the Bureau of Alcoholic Beverages and Lottery Operation, the Criminal Justice Academy, the Gambling Control Board, the Harness Racing Commission, the Port Authority, and the Public Employees Retirement System, among others. This broad representation underscores the division's central role in the legal operations of many key state functions.

The caliber of legal professionals within the PFR Division exemplifies the depth of expertise available to its client agencies. For instance, one Assistant Attorney General, who joined the division in 2020, brings a wealth of experience to his role. His past agency clients have included the Maine Port Authority, the National Guard, the Emergency Management Agency, and the Dental, Electrician, and Fuel boards, demonstrating a wide-ranging engagement with diverse state entities.

This AAG has actively litigated cases in the Maine Superior Court on behalf of the Dental Board, the Fuel Board, and the Port Authority. His responsibilities also extend to prosecuting administrative actions before various tribunals, including the Board of Licensure in Medicine and the Board of Real Estate Appraisers. Prior to his tenure with the Office of the Attorney General, he practiced at two Portland law firms, where his private practice encompassed admiralty litigation and transactions, bankruptcy, commercial and construction litigation, and municipal law.

His distinguished legal career includes successful arguments before the Maine Supreme Judicial Court in *Albert v. Town of Pownal, Mem. 19-117* and before the First Circuit Court of Appeals in *Zurich American Ins. Co. v. Electricity Maine, LLC, 927 F.3d 33*. Recognized as a Proctor in Admiralty by the Maritime Law Association of the United States, his scholarly contributions have been published in prestigious journals such as the American Bankruptcy Institute Journal (as coauthor), the Interagency Journal, the Journal of Maritime Law and Commerce, and the University of Hawai'i Law Review. His academic background includes graduating with distinction from the U.S. Naval Academy, holding a master's degree from the University of Maryland, and earning a law degree *summa cum laude* from the University of Maine School of Law.

This article provides lawyers and compliance officers with a detailed overview of the Maine Attorney General's Professional and Financial Regulation Division's extensive legal services, outlining the specific state agencies and regulatory boards it represents. This information is crucial for understanding the scope of legal oversight and enforcement capabilities within Maine's professional and financial sectors, aiding in client advisory and strategic planning related to regulatory compliance or disputes with these state entities.

Source: Original reporting via Maine Attorney General's Office