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U.S. Securities and Exchange Commission


The SEC has issued investor alerts designed to educate investors and assist them in avoiding scams offered to them through, among other things, phone solicitations by brokers who claim to be licensed in the United States. Alerts related to these topics include the following:

Protect Your Money: Check Out Brokers and Investment Advisors

Cold Calling - Know Your Rights

The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" US Stocks

Worthless Stock: How to Avoid Doubling Your Losses

"Advance Fee Fraud" Schemes


Public Alert: Unregistered Soliciting Entities (PAUSE)

Archive of Unregistered Soliciting Entities That Have Been the Subject of Investor Complaints

You can view the main list of unregistered soliciting entities.

Alphabetical Index
E
H
O
P
Q
T
V
X
Y
Name Comment

A

Allen Brothers M&A
2733 Vine St.
Cincinnati, OH 45219
Phone: 513-488-0508
Fax: 513-488-0509

Anoli Capital International, Inc.
5499 North Federal Hwy.
Suite 201/202
Boca Raton, Miami, FL 33431
Phone: 561-249-4447
Fax : 561-526-1447
Website: http://www.anolicap.com/

  1. Investor solicitations employ memoranda falsely indicating they were prepared by the US Dept. of Commerce. The U.S. Dept. of Commerce has not endorsed these solicitations.

Ashley Partners M&A
100 Pearl Street 11th Floor
Hartford, CT 06103
Phone: 860-760-1720
Fax: 860-760-6834
Website: http://www.ashleypartners.com/

  1. Investor solicitations employ "International Shareholders Compliance Department," an entity which is believed to be fictitious.

Asprey Associates
646 W. 131st Street
New York, NY
Phone: 646-810-8627
Fax: 646 810-8692
Website: http://www.asprey-associates.com/

B

Bainbridge Management
999 3rd Avenue
Suite 3800
Seattle, Washington 98101/98104
Phone: 206-774-1943
Fax: 206-374-3024

Beacon Global Management, Inc.
Tower Executive Suites
10940 Wilshire Blvd., Suite 1500
Los Angeles, CA 90024
Phone: 866-365-0738
Fax: 213-947-4787

Belmont Shaw and Associates Mergers and Acquisitions
80 N. 3rd Avenue
Phoenix, AZ 85003
Phone: 623-707-8676
Fax: 623-707-8677

  1. An onsite inspection conducted on May 1, 2007 by the State of Arizona Corporation Commission found that the address given for this entity does not exist.
  2. Claims to be endorsed by, or makes other reference in its solicitations to, the International Compliance Assistance Center, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

Berger Aron Macey
1240 Peachtree Street NE, Suite 2700
Atlanta, GA 30309
Phone: 404-592-5106
Fax: 404-795-0613

Berkley Liquidation & Administration
1503 Manhattan Ave.
New York, NY 10034
Phone: 212-461-3623
Fax: 212-884-0619
Website: http://www.berkleyliquidation.com/

Breakthrough Incorporated
2625 Townsgate Road, Suite 330
Westlake Village, CA 91361
Phone: 805-267-1107
Fax: 805-830-0455
Website: http://www.breakthroughincorp.com/

Bremer Financial Ltd.
Howard Hughes Center
6601 Center Drive, Suite 500
Los Angeles, CA 90045
Phone: 213-403-0107
Fax: 213-403-0109

C

Cameron McDonald & Co.
625 4th Ave. S.
Minneapolis, MN 55415
Phone: 612-234-4048
Fax: 612-234-4049

Chadwick & Co.
111 W Monroe Street
Phoenix, AZ 85003
Phone: 602-427-5953
Fax: 602-427-5954
Website: http://chadwick-co.com/

CitiWealth Asset Management
345 Hudson Street
New York, NY 10014
Phone: 641-715-3900, x 23342
Fax: 810-974-1482
Website: http://www.cspplc.net/

Colby Mergers
61 Forsyth St. SW
Atlanta, GA 30303
Phone: 404-478-6381
Fax: 404-478-6382
Website: http://colbymergers.com/

Coleman Brothers
1800 Grant Street
Denver, CO 80203
Phone: 303-952-5896
Fax: 303-952-5801, 303-952-5901

  1. Claims to be endorsed by, or makes other reference in its solicitations to, the Securities Compliance Agency, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

Crawford Clarke M&A
305 W. Washington St.
Phoenix, AZ 85003
Phone: 480-588-0844
Fax: 480-588-0854
Website: http://www.crawfordcma.com/

  1. Investor solicitations employ "Securities Validation Authority," an entity which is believed to be fictitious.

D

Danford Capital Group
Suite 2403
Wall Street Center
15 Wall St.
New York, NY
Phone: 347-515-2046
Fax: 347-438-3157
Website: http://www.danfordcapitalgrp.com/

Davis & Rudell LLC
Liberty Street, Financial District
New York, NY 10006
Fax: 646-346-7472
Website: http://www.davis-rudell.com/

F

Fairchild Holdings & Advisory Firm Corporation
245 Park Avenue , 24th Floor
New York, NY 10167
Phone: 800-781-5490
Fax: 212-214-0566
Website: http://fairchildholdings.net/

Frazer White Group
1600 Broadway
Denver, CO 80202
Phone: 303-353-0764
Fax: 303-353-0765
Website: http://www.fwgma.com/

  1. Investor solicitations employ "Securities Regulatory Agency," an entity which is believed to be fictitious.

G

Gemini M&A
999 Peachtree St., NE
Atlanta, GA 30309
Phone: 678-791-4032
Fax: 678-954-0595
Website: http://www.geminima.com/

Global Direct Financial Inc.
Aura Executive Center
695 Central Avenue, Suite 110
St. Petersburg, FL 33701
Phone: 786-228-4959

Head Office
93 Pearl Street
New York, NY 10004
Phone: 212-465-3259

GMA Advisory Services, Inc.
1501 South Clinton Street, Suite 506
Baltimore, MD 21244
Tel: 443-220-0140
Fax: 443-581-0057
Website: http://www.gmaadvisory.com/ (domain expired 4/2/08)

Griffin Mergers and Acquisitions
8th Street and Nicollet Mall, Downtown
Minneapolis, MN 55402-8773
Phone: 612-284-2417
Fax: 612-677-3711

I

Imperial Quest Ventures, Ltd.
The Hancock Center
875 N Michigan Avenue, Suite 2600
Chicago, IL 60611
Phone: 866-365-3685
Fax: 312-205-6421, 312-277-3321

  1. Claims to be recognized by the SEC and the U.S. Federal Trade Commission. Neither the SEC nor the Federal Trade Commission has endorsed this entity.

J

J. Rowan Associates
230 Peachtree St.
NW Atlanta, GA 30303
Phone: 678-954-0520
Fax: 678 954 0521

Jefferson Clark Associates
PO Box 58389
Seattle, WA 98138-1386
Phone: 206-973-7179
Fax: 206-984-4342
Website: http://www.jeffersonclark.com/

K

Kravitz Roth, Ltd.
347 N. Rodeo Drive
Beverly Hills, CA 90210
Phone: 366-317-6621
Fax: 267-851-5959
Website: http://www.kravitzroth.com/ (domain expired 4/16/08)

L

Livingston Mergers & Acquisitions
110 West C Street, Suite 1150
San Diego, CA 92101
Phone: 619-819-0721
Fax: 619-923-3342
Website: http://www.livingstonma.com/

  1. Investor solicitations employ "Central Equities Administrators," an entity which is believed to be fictitious.

Lloyd Brown Investments, Inc.
Hancock Center
875 N. Michigan Ave., Suite 3100
Chicago, IL 60611
Phone: 312-416-0876
Fax: 312-416-0877

M

Manning Capital Inc.
384-386 Greenwich St.
New York, NY 10013
Phone: 866-221-4081
Fax: 914-462-3529
Website: http://www.manningcap.us/

Mannix M&A
402 W Broadway
San Diego, CA 92101
Phone: 619-331-9554
Fax: 619-331-9555
Website: http://www.mannixma.com/

  1. Investor solicitations employ "Securities Litigation Committee," an entity which is believed to be fictitious.

McCarthy & Bennett M&A
1645 Court Place
Denver, CO 80202
Phone: 303-353-0762
Fax: 303-353-0763
Website: http://www.mccarthyma.com/

McMillan Consulting
575 Lexington Avenue
New York, NY 10022
Phone: 212-461-7128
Fax: 212-504-0870
Website: http://www.mcmillanconsult.com/

Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513

N

Norsk Financial
402 W. Broadway, Suite 300
San Diego, CA 92101
Phone: 619-342-0176
Fax: 619-923-2975
Website: http://www.norskfinancial.com/

Northern Alliance Group
56 6th St E
Saint Paul, MN 55101
Phone: 651-212-7093
Fax: 651-212-7094
Website: http://www.nalliance-group.com/

  1. Investor solicitations employ "International Securities Validation Division," an entity which is believed to be fictitious.

Nortia Account Management
Suite 610, One Park Plaza
Irvine, CA 92614
Phone: 949-666-5396
Fax: 949-666-5426
Website: http://www.nortiaam.com/

R

Robinson Hurst M&A
185 Park Ave,
San Jose, CA 95113
Phone: 408-889-4373
Fax: 408-889-4374
Website: http://www.robinsonhurst.com/

S

Seago South Mergers & Acquisitions, LLP
One Harbour Place
1901 S Harbor City Blvd.
Melbourne, FL 32901
Phone: 321-473-6953
Fax: 321-238-2700
Website: http://www.seagosouth.com/

Smith Kearney M&A
1780 Kettner Boulevard
San Diego, CA 92101
Phone: 619-331-9556
Fax: 619-331-9557
Website: http://www.smithma.com/

U

Universal Partners Mergers & Acquisitions
300 Main Street
Lafayette, IN 47901
Phone: 765-637-0102
Fax: 765-637-0103

  1. Claims to be endorsed by, or makes other reference in its solicitations to, the Regulatory Advisory Commission, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

W

Walton Mergers & Acquisitions
1025 Arch Street, Suite 481
Phildelphia, PA 19107
Phone: 215-825-8523
Fax: 215-754-4218
Website: http://www.walton-ma.com/

  1. Investor solicitations refer to "U.S. Registry Office," and "U.S. Securities Exchange," entities which are believed to be fictitious.
  2. Investor solicitations employ materials falsely referencing the "Internal Revenue Service." The Internal Revenue Service has not endorsed these solicitations.

Warren Sitco & Company
919 North Market Street
Wilmington, DE 19801
Phone: 302-391-0803
Fax: 302-391-0804

  1. Claims to be endorsed by, or makes other reference in its solicitations to, the Securities Compliance Agency, an alleged claim-filing and fund recovery service for commercial and securities class-action settlements. This entity is believed to be fictitious.

Western Capital, Inc.
Empire State Building
350 5th Avenue, Suite 2108
New York, NY 10118
Phone: 866-365-0736
Fax: 646-224-8765

Wiess & Associates Ltd.
203 North LaSalle Center
Suite 1800
Chicago, IL 60601
Phone: 800-578-8365
Fax: 312-277-7553

 

http://www.sec.gov/investor/oiepauselist-archive.htm


Modified: 03/04/2013