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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 Impersonators of Genuine Firms

You can view the main list of impersonators of genuine firms.

Name Comment

Capital One Management Inc.
Maine Business Center
415 Congress Street, Suite 102
Portland, ME 04101
Phone: 212-330-9008
Fax: 212-330-9009
Website: http://www.caponemgt.com/

  1. There is a U.S.-registered company named Capital One Financial Corporation ("Capital One") with U.S.-registered broker-dealer affiliates named Capital One Securities, LLC ("COSL") d/b/a Capital One Investment, LLC, Capital One Southcoast, Inc. ("COSCI"), and Capital One Investment Services LLC, f/k/a NFB Investment Services Corporation (collectively, the "Capital One Brokers"). The staff's review of complaints indicates that persons not affiliated with Capital One or the Capital One Brokers have been using the name Capital One Management, Inc. ("COMI") in solicitations of investors. In particular, complaints to us have stated that persons using the phone number (1-212-330-9008) and/or the website address (www.caponemgt.com) and/or the business address 415 Congress Street, Suite 102, Portland, ME 04101 have either claimed to be affiliated with Capital One or the Capital One Brokers, or implied such affiliation by the use of the COMI name in investor solicitations; however, neither this phone number, website nor address are used by Capital One or the Capital One Brokers. To verify the registration and address of a U.S. securities broker, see http://www.finra.org/
    InvestorInformation/
    InvestorProtection/
    ChecktheBackgroundof
    YourInvestmentProfessional/
    index.htm
  2. As part of its solicitations, COMI makes claims that a third party is entitled to FDIC payments for "non profitable securities." The Federal Deposit Insurance Corporation has confirmed to us that no such program exists and that these purported obligations are fictitious.

 

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


Modified: 03/04/2013