To reach the Securities Division of the Indiana Secretary of State's Office, please contact us at:
302 West Washington Street
Indianapolis, IN 46204
Phone: 317.232.6681 OR
1-800-223-8791 to call for information or to report securities fraud
Social Media Disclaimer
Indiana MoneyWise maintains a social media presence and the information it contains as a non-commercial public service, is for information and educational purposes only. This social media presence aims to provide you with information that is up-todate, accurate and reliable. The information on these profiles is believed to be complete and accurate when posted, but Indiana MoneyWise does not guarantee the quality, accuracy, timeliness or completeness of any content at any time. Indiana MoneyWise does not make any warranty or assume any legal liability for the accuracy or completeness of the information, software and graphics on this website. Information provided on this website is for reference purposes only. It is not intended to provide legal opinions or advices. You should not act or rely on any information on this website without consulting a qualified professional financial or legal advisor, as appropriate. Links to other websites are provided as references only and as a convenience. Indiana MoneyWise does not endorse any services or products that may be on those websites and is not responsible for the content of any linked website. As part of our ongoing commitment to making our social media outreach a useful public resource, we encourage you to email us with any comments or suggestions.
Indiana MoneyWise welcomes your comments and questions, but advises that we monitor our social media channels during regular business hours. We post, tweet, and respond during regular business hours. We endeavor to read and respond to comments, messages, etc. within two business days. However, we may not be able to respond to all comments, messages, etc. that are received.
The views of participants commenting on our social media channels do not necessarily represent the views of Indiana MoneyWise, the Indiana Securities Division, or the Office of the Indiana Secretary of State.
Disagreements and constructive arguments are welcome as part of discussions; however, inappropriate, abusive, defamatory, discriminatory, offensive or unlawful comments are prohibited. We expect participants to treat each other and Indiana Secretary of State employees with courtesy and respect. To that end, we will not publish any comment that contains:
- Vulgar, abusive or offensive language
- Personal attacks
- Product promotions, advertising, or spam
- Stock recommendations or promotions
- Unsupported accusations
- Off-topic subject matter
- Confidential information such as ongoing investigations or confidential filings
- Unintelligible or irrelevant information
You should also not provide publicly any personal information, either about yourself or any other person or business, on our social media channels.
Our social media channels focus on investor education/protection and financial literacy. Information posted to these channels should not be considered as the authoritative source of guidance from the Office of the Indiana Secretary of State. Please refer to the Secretary of State's website (http://in.gov/sos) for official updates and legislation.
Following, liking, and linking
We follow, friend, and like stakeholders and partners, members of the media, and individuals. A share, link, follow, like, or other form of engagement from an Indiana MoneyWise account does not imply an endorsement of any kind.
Securities Registration and Franchises
Daniel Spungen, Registrations Attorney
Broker Dealer Registrations
Stephen Nelson, Compliance Officer
Loan Broker Registrations
Nancy Musgrave, Compliance Officer Supervisor
Loan Broker Examination
LaToya Hart, Loan Broker Examiner
Investment Adviser Registration
Doreen Fuery, Senior Accountant
Prosecution Assistance Unit (PAU)
Matthew Kestian, PAU Attorney
Securities Division Proceedings:
Latisha Sims, Enforcement Coordinator
Carol Anderson, Compliance Officer
Investor Education and Indiana MoneyWise
One of the most effective forms of investor protection is investor education. Through the Indiana MoneyWise program, the Indiana Secretary of State's office offers FREE educational workshops and presentations to individuals and groups throughout the state. The program is not funded by taxpayer dollars, but rather by money collected from settlements in securities fraud cases litigated by the Secretary of State's Securities Division. Potential topics include: profile of a fraudster, fraud aimed at seniors, tips to avoid falling victim, and general money management tips (i.e. budgeting, credit card smarts, etc). If you would like to request a presentation or have our office present at an information fair or expo, please contact Kelly Griese at kgriese@sos.IN.gov or 317-233-3985 with the following information:
- Your name, address, phone number and e-mail address
- Date and time of the event
- A brief explanation of the topics you would like covered
- Demographic makeup of the intended audience, including the total number anticipated
- Where the event will be hosted