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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 Fake Regulators

You can view the active list of fictitious governmental agencies and international organizations associated with soliciting entities.

Name Comment

Center for Securities Investigation Department
324 W. Main St.
Brighton, MI 48116
Phone: 810-852-1701
Fax: 810-852-1702

 

Central Equities Administrators
1201 Main Street, Suite 180
Columbia, SC 29201
Phone: 803-227-0805
Fax: 803-753-9559
Website: http://www.cea-sc.org/

 

Global Securities Crime Investigators
7700 Queens Ferry Lane
Dallas, TX 75248

 

International Commission of Securities
600 Superior Avenue East
Fifth Third Building Suite 1300
Cleveland, OH 44114
Phone: 440-869-9952
Fax: 440-848-2305

  1. Onsite inspections conducted over the past year by the Ohio Division of Securities found that no regulatory agency was located at the address given for this entity.

International Compliance Assistance Center
41 S. High St.
Columbus, OH 43215
Phone: 614-947 0105
Fax: 614-947 0106

 

International Fraud Assessment Agency
1001 Fourth Ave. Plaza
Seattle, WA 98154
Phone: 206-274-0077
Fax: 206-260-3086

 

International Organization of Transfer and Registrar Agents
501 N. Brookhurst Street, Suite 310
Anaheim, CA 92801
Phone: 714-844-4831
Fax: 714-844-9083
Website: http://www.iotra.org/

 

International Securities Regulators
101 Federal Street
Boston, MA 02110
Phone: 617-861-9038
Fax: 617-507-1076

 

International Securities Commission
1250 E. Apache Blvd.
Tempe, AZ 85281
Phone: 480-240-5726
Fax: 480-240-7129
Website: http://iscomm.us/

 

International Securities Validation Division
251 W. Washington St,
Phoenix, AZ 85003
Phone: 602-926-1312
Fax: 602-926-1313
Website: http://isvd.us/

 

International Share Verification Department
1 W Pack Square
Asheville, NC 28801
Phone: 828-420-0484
Fax: 828-420-0485
Website: http://isvdepartment.us/

 

International Stock Regulators
2415 East Camelback Road
Phoenix, AZ 85016
Phone: 602-357-1678
Fax: 602-391-2036

  1. Onsite inspections conducted April 30, 2007 by the State of Arizona Corporation Commission found that the purported regulatory agency was not located at the address given for this entity.

Regulatory Advisory Commission
350 S Main St
Ann Arbor, MI 48104
Phone: 734-619-0501
Fax: 734-619-0502

 

Securities Compliance Agency
212 S. Tryon Street
Charlotte, NC 28281
Phone: 704-817-0609
Fax: 704-817-0610

 

Securities Regulatory Agency
801 W. Main St.
Boise, ID 83702
Phone: 208-906-2310
Fax: 208-906-2311
Website: http://securitiesra.us/

 

Securities Regulatory Authority
203 Carondelet Street
New Orleans, Louisiana 70130
Phone: 504-210-1576
Fax: 504-210-1577
Website: http://srauthority.us/

 

Securities Validation Department
600 South Lincoln Avenue
Steamboat Springs, CO 80487
Phone: 970-367-1704
Fax: 970-367-1705
Website: http://www.securitiesvd.us/

 

To view the SEC's Data Quality Guidelines, click [http://www.sec.gov/about/dataqualityguide.htm].

 

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


Modified: 03/20/2013