The vision of the Securities Division is to develop sensible and flexible securities laws and regulations to ensure Vermont investors have complete confidence in the investments available to them, while Vermont businesses can easily access the capital markets. The division also seeks to register high quality professionals to advise Vermonters on their investments and maintain a visible presence in the small business community.
Contact the Securities Division at 802-828-3420 or via email dfr.securitiesinfo@vermont.gov.
Deputy Commissioner
William R. Carrigan was appointed Deputy Commissioner of the Securities Division in July 2016. He has worked at DFR since 2007 serving as Director of Examinations and Enforcement and Investor Education Coordinator. A Certified Fraud Examiner, he worked closely with the FBI and IRS to expose the $28 million Mac Parker Ponzi scheme, which involved hundreds of investors, and he was a member of the team that investigated the recent Jay Peak EB-5 matter that resulted in federal and civil lawsuits. Carrigan also spearheaded the inquiry that led to the recent $5.9 million settlement with Raymond James and Associates.
He has 20 years of experience in the securities industry and held various positions prior to joining the division. He holds a bachelor’s degree in business management from Johnson State College and a master’s degree in forensic studies from Stevenson University in Maryland. He is a member of the Association of Certified Fraud Examiners and the North American Securities Administrators Association.
