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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)

List of Fictitious Governmental Agencies and International Organizations Associated with Soliciting Entities

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities claiming to offer investments endorsed, approved, or otherwise supported by governmental agencies, including the SEC, or international organizations. The SEC does not "approve" or "endorse" any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal. The SEC's Office of Investor Education and Advocacy has issued a number of Investor Alerts, available here, on the topic of bogus regulators and SEC impersonators.

In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. In an effort to warn the public about these entities, the SEC is posting the list below.

The SEC will regularly update this list.

Additional PAUSE Lists

In addition to the fictitious regulators listed below, the SEC also receives complaints about unregistered soliciting entities and entities impersonating genuine US registered securities firms. You can view a list of these entities by following the separate links listed below.

You should be aware that these lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities.

You can view the official SEC release describing and providing more details about this list. If you have information, questions or comments about the entities on this list, please contact oiea@sec.gov or call 202-551-6551.

Alphabetical Index
#
B
G
H
J
K
L
M
Q
R
T
V
W
X
Y
Z
Name Comment

A

American Financial Group
Ten G Street NE, 6th Floor
Washington, DC 20002
Website: http://amfigroup.com/

 

C

Chicago Trading Regulatory Board
901-905 North Michigan, Suite 565
Chicago, IL 60611
Website: http://ctrb.us/

 

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

 

Central Stock Regulators
3200 West End Avenue
Nashville, TN 37203
Phone: 615-349-9977
Fax: 615-250-4897

 

Commission on International Trade and Economics (COITE)
Phone: 205-258-3060
Fax: 888-846-8271
E-mail: coite@revenue.com

 

D

Department of Law and Public Safety
Office of the Public Defenders
Hughes Justice Complex, 1st Floor, N-Wing
25 Market Street, P.O. Box 850
Trenton, NJ 08625
Phone: 609–284–9603
Fax: 609–228–5356

 

Department of Securities Trading
745 19th Street Northwest
Washington, DC 20431
Website: http://gov.depst.org/, http://depst.us

 

Division of Securities for the District of Columbia (DOSDC)
Phone: 202-596-3591
Fax: 202-330-5156
E-mail: hotline@dosdc.org
No website or address provided in documents.

  1. The Division of Securities for the District of Columbia (DOSDC) is impersonating the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) located at 810 First Street, N.E., Suite 622, Washington, DC 20002. The impersonator has NO connection with, and is not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia.

E

Equities Trading Commission
1800 K Street Northwest, #530
Washington, DC 20006
Phone: 202-249-7490
Fax: 202-318-8716
Website: http://gov.eqtc.us/

and

842 Vermont Avenue
Northwest, Washington, DC
Phone: 202-688-5985
Fax: 202-403-3289

 

F

Federal Division Of Securities, NY
176 Pearl Street
New York, NY 10005
Phone: 212-542-8755
Fax: 212-409-8391
Website: http://fdsus.org/

 

Federal Recapitalization Fund
77 Water Street
New York, NY 10005
Phone: 212-381-1810
Website: http://www.fedrecap-gov.us/

 

Federal Securities and Investments Regulatory Commission (FSIRC)
915 Second Avenue, Suite 2110
Seattle, WA
Website: http://www.fsirc.org/ (The website is no longer accessible.)

 

Federal Securities Commission
78 State Street
Albany, NY 12207-2002
Phone: 518-618-1020
Fax: 518-677-1836
Website: http://us-fsc.org/

 

Federal Securities Regulatory Agency
Henry M. Jackson Federal Building, 27th Floor
915 2nd Avenue
Seattle, WA 98104
Phone: 202-747-7823
Fax: 202-478-1738
Website: http://fsraonline.org/ and http://fsra-protect.org/
(The websites are no longer accessible.)

 

Financial Securities and Equities Bureau (FSEB)
2nd Street, SW and D Street, SW
Washington, DC 20024
Phone: 202-461-3251
Website: http://www.fsaeb.us/

 

G

Global Compliance Agency
201 S. College St.
Charlotte, NC 28244
Phone: 704-817-0614
Fax: 704-817-0615

 

Global Investments Compliance Center
5005 Rockside Road
Independence, OH 44131
Phone: 216-220-1600
Fax: 216-220-1601

 

Global Securities Protection Agency
41 Marietta Street
Atlanta, GA 30303
Phone: 678-954-0522
Fax: 678-954-0523

 

I

International Association of Transfer Agents
30 Wall Street
New York, NY 10005

 

International Board of Mergers & Acquisitions
433 North 6th Street
Philadelphia, PA 19123
Phone: 215-475-5894
Fax: 215-701-2491
Website: http://gov.ibma.us/

 

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 Equities Administrators
5865 Ridgeway Center Parkway, Suite 350
Memphis, TN 38120
Phone: 901-896-0327
Fax: 901-339-0522

 

International Exchange Commission
190 High Street
Boston, MA 02110
Phone: 617-861-4470
Fax: 617-861-4458
Website: http://iecnet.org/

 

International Exchange Commission
545 8th Avenue, Suite 501
New York, NY 10018
Phone: 212-330-0995
Fax: 212-465-3392
Website: http://www.iecommission.org/

 

International Financial Trading Commission
1091 Vermont Avenue, NW
Washington, DC 20005
Phone: 202-595-2867, 202-534-3926
Fax: 202-403-3289
Website: http://gov.intftc.org/

 

International Fraud Alert
Phone: 202-455-0973
Washington D.C.
Website: http://www.internationalfraudalert.org

 

International Information Exchange
775 15th St. NW, Suite 500
Washington, DC 20005
Phone: 202-263-1950
Fax: 202-263-1951
Website: http://theiie.net/

 

International Investor Protection Coalition, a.k.a. IIP Coalition
Lexington Avenue and E. 54th Street
New York, NY 10010
Phone: 212-542-9171
Website: http://iipcoalition.org

 

International Organization of Registrar and Clearing Agents (IORACA)
One Post Street, Suite 1830
San Francisco, CA 94104
Website: http://www.ioraca-gov.org/

 

International Securities Accreditation Authority
30 E. Broadway
Salt Lake City, UT 84111
Phone: 801-618-2100
Fax: 801-618-2119

 

International Securities Administrators
312 Walnut Street, Suite 1500
Cincinnati, OH 45202
Phone: 513-297-1593
Fax: 513-672-2308

 

International Securities Authority
622 Pennsylvania Avenue Northwest
Washington, DC
Phone: 202-360-4613
Fax: 202-403-3289
Website: http://gov.intseca.org/

 

International Securities and Equities Board
1441 L Street N.W
Washington, D.C. 20005
Phone: 202-552-1506
Fax: 202-315-3628
Website: http://gov.iseb.us/

 

International Shareholders Compliance Department
500 N. Michigan Ave., Suite 320
Chicago, Il 60611
Phone: 312-281-0329
Fax: 312-276-4752

 

International Stock Transfer Administration (ISTA)
8025 Corporate Drive
Nottingham, MD 21236
Phone: 443-320-1009
Fax: 410-630-3545
Website: http://gov.stocktransfer.org/

 

N

New York Securities Division
Federal Office Building
205 Varick Street
New York, NY 10014
Website: http://us-nysd.org/

 

O

Offshore Securities Commission
295 Greenwich Street (Wall Street)
New York, NY 10007
Phone: 212-918-8572
Website: http://www.offshoresecuritiescommission-gov.us

 

P

Pennsylvania Division of Securities
1 South Broad Street, #552-A
Philadelphia, PA 19107
Phone: 484-748-0028
Fax: 484-223-3044
Website: http://dospa.org/

 

S

Securities Administration
605 University Street
Seattle, WA 98101-4112
Phone: 206-395-2023
Fax: 206-299-9916
Website: http://www.stocktransfers.us (The website is no longer accessible.)

 

Securities and Financial Commission (SFC)
735 3rd Avenue
Seattle, WA 98104-1802
Phone: 206-801-3381
Fax: 206-299-9494
Website: http://gov.secfc.com

 

Securities and Investments Disputes Agency
2 Prudential Plaza
180 Stetson Avenue
Chicago, Illinois
Phone: 312-465-1131
Website: http://www.SIDAinternational.org

 

Securities Regulation, Protection and Litigation Agency
101 Madison Avenue
New York, NY 10016
Phone: 646-918-5136
Fax: 206-299-3723
Website: http://srpla.org/

 

Securities Trading Board
842 Vermont Avenue NW
Washington, DC 20005
Phone: 202-688-5985
Fax: 202-403-3289
Website: http://gov.sectb.org/

 

Securities Trading Commission
1110 Connecticut Avenue NW
Washington, DC 20036
Phone: 202-204-2310
Fax: 202-330-5349
Website: http://gov.sectco.us/

 

State Securities Commission
1300 Connecticut Avenue, NW, #520
Washington, DC 20036-1709
Phone: 202-600-2944
Fax: 202-315-3692, 206-238-6266
Website: http://statesec.org/

 

U

U.S. District Court of Arbitration
Federal Office Building
90 Church Street
New York, NY 10007
Phone: 917-546-7307
Fax: 917-591-8309
E-mail: helpdesk@dcoany.us

 

U.S. International Bureau for Trading
1101 30th Street, NW, Suite 500
Washington, DC 20007
Phone: 202-470-4047
Website: http://www.usibtrading.org/

 

U.S. Regulatory Securities Agency
1025 Connecticut Avenue, NW, Suite 1000
Washington, DC 20036
Phone: 202-470-5470
Website: http://www.usregsec.org

 

US Shareholders Registry Department
240 Woodrow Street
Chester, PA 19013
Phone: 484-694-9433
Fax: 484-694-9433
Website: http://www.us-srd.us/

 

United States Federal Court of Arbitration
Federal Office Building
201 Varick Street
New York, NY 10014
Phone: 646-616-7551
Fax: 646-514-0670
Website: http://fcoaus.org/

 

United States Investment Dealers Organization (USIDO)
1644 Murfreesboro
Nashville, TN 37217
Phone/Fax: 615-528-7875
Email: info@usidealers.org

and

United States Investment Dealers
1311 S. Burnside Avenue
Gonzales, LA 70737
Phone/Fax: 225-410-9219
Website: http://usidealers.org/

 

United States Regulators and Administration Commission
72 Mt. Vernon Street
Boston, MA

and

160 Cambridge Street
Boston, MA
Fax: 617-830-8864
Website: http://gov.therac.us/

 

United States Securities and Acquisitions Administration
1120-1152 20th Street, NW, 38B, 3rd Floor
Washington, DC 20036
Phone: 202-618-9054
Fax: 202-318-8613
Website: http://www.gov.ussaa.us

 

United States Securities and Investments Commission
Website: http://www.ussicommission.org

 

United States Securities Regulatory Commision (sic)
2001 L Street NW
Washington, DC 20036
Website: http://gov.ussrc.us/

 

United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC)
125 North Madison Street
Stockton, CA 95201-9005
Phone: 209-751-4458
Fax: 209-751-4501
Website: http://www.scc-us.org/
(The former website http://scc-gov.org/ is no longer accessible. However, the current website is accessible.)

 

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

 

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


Modified: 08/13/2013