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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 Unregistered Soliciting Entities Impersonating Genuine and Former US Registered Securities Firms

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities using a name that is the same as, or similar to, the name of a US registered securities firm, investment advisor, transfer agent, issuer, hedge fund, institutional investor, and other filers.

In many cases, SEC investigation reveals that these entities have wrongfully appropriated the registration numbers and address information of the legitimate firms from publicly available databases such as EDGAR and FINRA’s BrokerCheck, and set up phony websites in order to confuse and deceive investors. In other cases, these “spoofer” entities have appropriated the registration information of legitimate firms that recently terminated their registration with the SEC and FINRA or did so years ago.  Similarly, representatives of the impersonating entities who cold call investors often claim to be licensed employees of the legitimate firms being impersonated or of other legitimate firms.

The SEC has determined that the impersonators on the list below have no connection with, and are not to be confused with, the genuine firms, whether active or defunct.

The SEC will regularly update this list.

You should also check with the Financial Industry Regulatory Authority (FINRA [formerly, the National Association of Securities Dealers (NASD)]), which maintains BrokerCheck, a public registry of its broker-dealer members and their sales personnel. You can use BrokerCheck to verify both the registration and address of any FINRA-registered US broker-dealer and any individual US securities broker. Distinguishing the genuine firm from the impersonator entity may be difficult at times, but you should always use the phone number listed on BrokerCheck to call back a financial services firm that contacts you. Checking the PAUSE list below is not a substitute for checking BrokerCheck.

Additional PAUSE Lists

In addition to the entities impersonating genuine US registered securities firms listed below, the SEC also receives complaints about unregistered soliciting entities and entities falsely claiming affiliation with government agencies or international organizations, including the SEC.

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 the SEC's Office of Investor Education at help@sec.gov or call 202-551-6551.

Alphabetical Index
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Name Comment

A

Access Broker.com Inc.
1024 Rockwell Avenue
Cleveland, Ohio 44103
Phone: 216-920-4383
Fax: 216-274-6369
Website: http://www.abrokercorp.com/

  1. Access Broker.com Inc. is impersonating a formerly registered broker-dealer firm with the same name but different address - Access Broker.com, Inc. (CRD Number: 44420; SEC Number: 8-50691). The impersonator has NO connection with, and is not to be confused with, the genuine Access Broker.com, Inc., which had the following mailing address: 3400 Waterview Parkway, Suite 101, Richardson, TX 75080. The genuine entity had its registration with the SEC terminated on January 26, 2002 and is defunct.

Accrescent Holdings Inc.
4350 La Jolla Village Drive, 7th Floor
San Diego, CA 92122
Phone: 213-402-0477
Website: None found.

  1. Accrescent Holdings Inc. is an impersonator of a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Accrescent Holdings Inc., a Regulation D exempt filer (SEC file no. 021-56258, received 06-18-03). The SEC's EDGAR database contains registration information for the genuine entity.

Advance Partners LLC
1122 E Pike Street
Seattle, WA 98122
Fax: 206-299-3392
Website: http://advancepartners.us/

  1. Advance Partners LLC is impersonating a genuine entity with the same name at the same address - Advance Partners LLC, a Regulation D exempt filer (SEC file no. 021-67062, received 07-01-04). The impersonator has NO connection with, and is not to be confused with, the genuine Advance Partners LLC. The SEC's EDGAR database contains registration information for the genuine entity

Advisors Group, Inc.
51 Louisiana Avenue NW
Washington, DC 20001
Phone: 202-386-6758
Fax: 202-330-5873
Website: http://www.advgrpinc.com
(The website is no longer accessible.)

  1. Advisors Group, Inc. is impersonating a formerly state-registered investment adviser firm with the same name - Advisors Group, Inc. (CRD Number: 119619), which had the following mailing address:  3145 Wellner Drive NE, Suite 300, Rochester, MN 55906. The impersonator has NO connection with, and is not to be confused with, the former genuine Advisors Group, Inc.  WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Advisors Group, Inc. withdrew its registration with the Minnesota State securities regulator effective November 2, 2011 and is defunct.

AIA Capital Markets, LLC
509 Madison Avenue, Suite 2206
New York, NY 10022
Phone: 315-276-3468
Website: http://www.aiacapitalmarketsllc.com

  1. AIA Capital Markets, LLC is impersonating a formerly registered broker-dealer firm with the same name and address - AIA Capital Markets LLC (CRD Number: 44156; SEC Number: 8-50558). The impersonator has NO connection with, and is not to be confused with, the genuine AIA Capital Markets LLC, which had the following mailing address: 509 Madison Avenue, Suite 2206, New York, NY 10022. The genuine AIA Capital Markets LLC had its registration with the SEC terminated on September 28, 2009 and is defunct.

Alliant Holdings I Inc.
630 5th Avenue, 30th Floor
New York, NY 10111
Phone: 646-652-0720
Fax: 646-417-5423
Website: http://www.alliantholdingsiinc.com

  1. Alliant Holdings I Inc. is impersonating a genuine Regulation D exempt filer (SEC file no. 021-84296, received 060806) with the same name at the same address - Alliant Holdings I Inc. The impersonator has NO connection with, and is not to be confused with, the genuine Alliant Holdings I Inc. The SEC's EDGAR database contains filing information for the genuine entity.

American Financial Group, Inc.
1211 N. Brand Blvd., Suite 220
Glendale, CA 91202
Phone: 818-301-4918
Fax: 818-484-2163
Website: http://www.amfgroupinc.com/

  1. American Financial Group, Inc. is impersonating a formerly registered broker-dealer with the same name - American Financial Group, Inc. (CRD Number: 10496; SEC Number: 8-26536). The genuine American Financial Group, Inc. had its registration with the Financial Industry Regulatory Authority (FINRA) cancelled, effective October 21, 1987, and is defunct.

Apex Stock Transfer Inc.  
6147 S. Everett Street
Littleton, CO 80123
Phone: 720-763-9199
Fax: 720-763-9210
Website: http://www.apexstinc.com/

  1. Apex Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number: 0001398353; SEC Number: 084-06250). The legitimate Apex Stock Transfer Inc. filed a Form TA-W to have its registration with the SEC withdrawn, effective November 5, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.
  2. Claims to work with, or makes other reference in its solicitations to, Robbins, McCaully, Appleby LLC, a purported financial advisory services firm.

Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc.
45 Rockefeller Plaza, Suite 2012
New York, NY 10111
Phone: 212-359-1650
Fax: 212-954-5088
Website: http://asiapacificgroup.com/

  1. Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc., is impersonating a genuine broker-dealer and investment adviser firm with a similar name - Asia Pacific Financial Management Group, Inc. (CRD Number: 32338; SEC Numbers: 8-46412 [for the broker-dealer]; 801-70540 [for the investment advisor]), which has the following mailing address: 145 Aspinall Avenue, Hagatna, GU 96910. The impersonator has NO connection with, and is not to be confused with, the genuine Asia Pacific Financial Management Group, Inc. The SEC's EDGAR database contains registration information for the genuine broker-dealer entity. WEBCRD (Central Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA)]) and WebIARD (Investment Adviser Registration Depository [operated by FINRA on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) also contain registration information for the genuine Asia Pacific Financial Management Group Inc.

Atlas Stock Transfer
5899 S. State Street
Salt Lake City, UT 84107
Phone: 801-503-9224
Fax: 801-503-9223
Website: http://atlasstocktransfer.com/

  1. Atlas Stock Transfer is impersonating a former genuine entity having a similar name, Atlas Stock Transfer Corporation (CIK Number: 0000008345; SEC Number: 084-00369). The legitimate Atlas Stock Transfer Corporation filed a Form TA-W to have its registration with the SEC withdrawn, effective February 16, 2008, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

B

Beacon Capital Management Inc.
38 Kings Highway
Hauppauge, NY 11788
Fax: 631-204-6822
Website: http://beaconcapmaninc.com/

  1. Beacon Capital Management Inc. is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Beacon Capital Management, Inc. (CRD Number: 125884), which has the following mailing address: 38 Kings Highway, Hauppauge, NY 11788. The impersonator has NO connection with, and is not to be confused with, the genuine Beacon Capital Management, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Best Investors Group, Inc.
77 Arkay Drive
Hauppauge, NY 11788-3700
Phone: 646-360-1714
Fax: 646-390-2829
Website: http://bestinvestorsgrp.com/

  1. Best Investors Group, Inc. is impersonating a formerly registered broker-dealer with the same name and address - Best Investors Group, Inc. (CRD Number: 19883; SEC Number: 8-37891). The genuine Best Investors Group, Inc. filed a Form BDW to have its registration with the SEC withdrawn, effective May 28, 1998, and is defunct.
  2. The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

Bingham Consulting Group
67-68 8th Avenue, 26th Floor
New York, NY 10018
Phone: 646-502-8313
Fax: 646-786-4623
Website: http://www.binghamconsultinggroup.com/

  1. Bingham Consulting Group may be impersonating a genuine affiliate and wholly owned subsidiary of the law firm Bingham McCutchen LLP with a similar name but different address - Bingham Consulting. The impersonator has NO connection with, and is not to be confused with, the genuine Bingham Consulting, which has the following principal mailing address: One Federal Street, Boston, MA 02110-1726.

BNY Trading Services
1668 Broadway
New York, NY 10019
Phone: 917-210-0611
Website: http://www.bnytradingservices.com

  1. BNY Trading Services may be impersonating a formerly registered broker-dealer and wholly-owned subsidiary of the Bank of New York with a similar name but different address - BNY Trading LLC (CRD Number: 41410; SEC Number: 8-49418). The impersonator has NO connection with, and is not to be confused with, the genuine BNY Trading LLC, which had its broker-dealer registration with the SEC terminated on December 11, 2007 and is defunct. The genuine BNY Trading LLC had the following mailing address: 32 Old Slip, 15th Floor, New York, NY 10286. The SEC's EDGAR database contains registration information for the genuine entity.

Boston Management & Research
211 Congress Street
Boston, MA
Website: http://www.bostonmgt.com

  1. Boston Management & Research is impersonating a genuine investment adviser firm with a similar name - Boston Management and Research (CRD Number: 104853; SEC Number: 801-43127), which has the following mailing address: Two International Place, Boston, MA 02110. The impersonator has NO connection with, and is not to be confused with, the genuine Boston Management and Research. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Bradford Securities LLC
Smith St
Farmingdale, NY 11735-1023
Phone: 914-517-2747
Fax: 914-560-2286
Website: http://www.bradfordsecuritiesllc.com/

  1. Bradford Securities LLC is impersonating a formerly registered broker-dealer firm with a similar name but different address - Bradford Securities, Ltd. (CRD Number: 13537; SEC Number: 8-29750). The impersonator has NO connection with, and is not to be confused with, the genuine Bradford Securities, Ltd., which had its broker-dealer registration with the SEC terminated on August 29, 2003 and is defunct. The genuine Bradford Securities, Ltd. had the following mailing address: 410 Jericho Turnpike, Jericho, NY 11753-1384. The SEC's EDGAR database contains registration information for the genuine entity.

C

C&O Fund Distributor, Inc.
Commerce Bank Building, 2nd Floor
276 5th Avenue
New York, NY
Phone: 646-360-1722
Fax: 646-861-4864
Website: http://cofunddistributor.com/

  1. C&O Fund Distributor, Inc. is impersonating a formerly registered broker-dealer firm named C&O Funds Distributor, Inc. (CRD Number: 13238; SEC Number: 8-28882). The genuine C&O Funds Distributor, Inc. filed a Form BDW to have its registration with the SEC withdrawn, effective March 7, 1999, and is defunct.

CAIS Capital LLC
590 Madison Avenue, 27th Floor
New York, NY 10022
Phone: 212-461-1776
Fax: 866-590-3034
Website: http://www.caiscllc.com/

  1. CAIS Capital LLC is impersonating a genuine broker-dealer firm with the same name but different address - CAIS Capital LLC (CRD Number: 154512; SEC Number: 8-68646). The impersonator has NO connection with, and is not to be confused with, the genuine CAIS Capital LLC, which has the following mailing address: 598 Madison Avenue, 11th Floor, New York, NY 10022. The SEC's EDGAR database contains registration information for the genuine entity.

Cambridge Equity Corporation
1330 Avenue of the Americas
New York, NY 10019
Phone: 914-214-5310
Fax: 914-462-3734
Website: http://www.cambridgeequitycorp.com/

  1. Cambridge Equity Corporation is impersonating a formerly registered broker-dealer with the same name but a different address - Cambridge Equity Corporation (CRD Number: 15801; SEC Number: 8-32766). The genuine Cambridge Equity Corporation, which was located at 750 Main Street, Hartford, CT 06103, filed a Form BDW with FINRA to have its registration terminated, effective December 31, 1990, and is defunct.

Cambridge Financial Partners LLC
81 Madison Avenue, 18th Floor
New York, NY 10010
Phone: 646-328-4508
Fax: 646-607-5433
Website: http://www.cfinpartners.com/

  1. Cambridge Financial Partners LLC is impersonating a formerly registered broker-dealer firm named Cambridge Partners (CRD Number: 8006; SEC Number: 8-23903). The genuine Cambridge Partners had its registration with FINRA terminated on March 28, 1989 and is defunct.

Capital Advisory Partners New York
50 Broadway, Suite 2300
New York, NY 10004
Phone: 347-694-7981
E-mail: admin@capnyc.net
Website: http://www.capnyc.net/

  1. Capital Advisory Partners New York is impersonating an entity named Capital Advisory Partners LLC (CIK Number: 0001120430) which is defunct.

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/
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    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.

Colonial Square Acquisition LLC
4000 Jordan Road
Troy, NY 12180
Phone: 646-328-5071
Fax: 646-224-6182
Website: http://csacquisition.com/

  1. Colonial Square Acquisition LLC is an impersonator of a genuine entity with the same name. The genuine Colonial Square Acquisition LLC has an actual street address of 300 Jordan Road, Troy, NY 12180.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine Colonial Square Acquisition, LLC, a Regulation D exempt filer (SEC file no. 021-110944, received 11-05-07). The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

Coltin Securities LLC
415 Madison Avenue
New York, NY 10017
Website: http://coltinsecurities.com/

  1. Coltin Securities LLC is impersonating a genuine broker-dealer firm with the same name - Coltin Securities, LLC (CRD Number: 149674; SEC Number: 8-68180). The impersonator has NO connection with, and is not to be confused with, the genuine Coltin Securities, LLC, which has the following mailing address: 415 Madison Avenue, 14th Floor, Suite 1413, New York, NY 10017. The SEC's EDGAR database contains registration information for the genuine entity.

Corestone Distributors
East Lancaster Avenue Suites 110
Radnor, Pennsylvania (PA) 19087
Website: http://corestonedistributorsglobal.com/

  1. Corestone Distributors is impersonating a genuine broker-dealer firm with the same name - Corestone Distributors, LLC (CRD Number: 155941; SEC Number: 8-68753). The impersonator has NO connection with, and is not to be confused with, the genuine Corestone Distributors, LLC, which has the following mailing address: 555 Lancaster Avenue Suite 110, Radnor, PA 19087. The SEC's EDGAR database contains registration information for the genuine entity.

Cotton Wood Stock Transfer
5899 South State Street
Salt Lake City, UT 84107
Phone: 801-679-4414
Fax: 801-679-4417
Website: http://cottonwoodst.com (The website is not accessible.)

  1. Cotton Wood Stock Transfer is impersonating a former genuine entity having a similar name, Cottonwood Stock Transfer (CIK Number: 0000837456; SEC Number: 084-01679). The legitimate Cottonwood Stock Transfer filed a Form TA-W to have its registration with the SEC withdrawn, effective February 17, 2008, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

D

Dailey Securities, Inc.
1143 Lexington Avenue
New York, NY 10021
Phone: 646-291-8984
Fax: 646-417-6052
Website: http://www.daileysecurities.us/

  1. Dailey Securities, Inc. is impersonating a formerly registered broker-dealer firm with the same name - Dailey Securities, Inc. (CRD Number: 15504; SEC Number: 8-32205), which had the following mailing address:  518 W. Palmetto Street, Florence SC 29501. The genuine Dailey Securities, Inc. withdrew its registration with the SEC effective November 25, 1992, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity. 

David W. Jones, Attorney at Law
Three Allen Center, Suite 1406
333 Clay Street
Houston, TX 77002
Phone: 713-513-5175
Fax: 713-583-8764
Website: http://davidwjoneslaw.com/

  1. David W. Jones, Attorney at Law is impersonating a genuine attorney and senior counsel with the same name at Thompson & Knight LLP located at 333 Clay Street, Suite 3300, Houston, TX 77002. The impersonator has NO connection with, and is not to be confused with, the genuine David W. Jones.

Dean Witter Consultancy
East 375 Street, 25th Floor
Lexington avenue
New York, NY 10168
Phone: 646-248-7919
http://deanwitterconsultancy.com/

  1. There is no US registered securities firm with this name. Dean Witter Consultancy is impersonating a former constituent part of the genuine broker-dealer firm Morgan Stanley Dean Witter, which dropped the name Dean Witter and became Morgan Stanley & Co., Incorporated on November 5, 1999, according to an amended filing in WebCRD (Central Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA)]) LLC. The impersonator has NO connection with, and is not to be confused with, the former genuine entity or with Morgan Stanley & Co. LLC, the present name of the genuine broker-dealer firm and a wholly owned subsidiary of Morgan Stanley.

E

Europa Commodities, a.k.a. Europa Capital LLC
Three Embarcadero Center
155 Clay Street, Suite 2216
San Francisco CA, 94111
Phone: 415-800-4282, +81 3-4496-5010, +852-3010-1215
Fax: 415-520-1927, +81 3-4496 5011, +852-3010-1219
Website: http://europa-capital.com/

  1. Europa Commodities, a.k.a. Europa Capital LLC, may be impersonating a formerly registered National Futures Association (NFA) member firm with a similar name but different address - Europa Capital Associates LLC (NFA Number: 0347859), which has the following mailing address: 419 Lafayette Street, 4th Floor, New York, NY 10003-7033. The genuine Europa Capital Associates LLC withdrew its registration with the NFA on September 16, 2009 and no longer deals in commodities.

F

Financial Asset Management, Inc.
1269 Avenue of the Americas
New York, NY 10019
Phone: 646-328-5070
Website: http://www.finamgtinc.com (The website is no longer accessible.)

  1. There existed a formerly registered broker-dealer with the same name - Financial Asset Management, Inc. (CRD Number: 18514; SEC Number: 8-36802). The genuine Financial Asset Management, Inc. had its registration with the SEC terminated, effective February 4, 2003, and is defunct.
  2. There exists a genuine SEC-registered investment adviser with a similar name but different address in New York City - Financial Asset Management Corp. (CRD Number: 106643; SEC Number: 801-27858). The former but defunct broker-dealer firm and the genuine investment adviser firm have NO connection with, and are not to be confused with, the soliciting entity Financial Asset Management, Inc.

First National Stock Transfer Inc. 
77 E. Missouri Avenue, Suite 71
Phoenix, AZ 85012
Mailing Address:
5555 N. 7th Street, Suite 134-238
Phoenix, AZ 85014
Phone: 602-559-1857
Fax: 602-297-6517
Website: http://www.fnsti.com/

  1. First National Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number: 0001375291; SEC Number: 084-06191). The legitimate First National Stock Transfer Inc. initially and last filed with the SEC on September 7, 2006 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.
  2. Claims to work with, or makes other reference in its solicitations to, Cameron Poe & Associates Inc., a purported financial advisory services firm.

FORTRESS Investment Group
75 E 55th Street, 12th Floor
New York, NY
Phone: 646-346-2169
Fax: 646-390-0327
Website: http://fortressig.com/

  1. FORTRESS Investment Group is impersonating a genuine investment adviser firm with a similar name but different address - Fortress Investment Group (CRD Number: 129612; SEC Number: 801-62982), which has the following mailing address: 1345 Avenue of the Americas, 46th Floor, New York, NY 10105. The impersonator has NO connection with, and is not to be confused with, the genuine Fortress Investment Group. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Fund Investors, Inc.
10 New King Street
White Plains, NY 10604
Phone: 914-214-5303
Fax: 914-462-3783
Website: http://www.fundinvestorsincllc.com (The website is no longer accessible.)

  1. Fund Investors, Inc., White Plains, NY is impersonating a genuine entity with the same name located in Johnstown, PA.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity Fund Investors, Inc. (CRD Number: 20374; SEC Number: 8-38186), which has the following mailing address: 636 Scalp Avenue, Johnstown, PA 15904. The SEC's EDGAR database contains registration information for the genuine entity.

G

G&L Partners, Inc.
40 Wall Street, Suite 1704
New York, NY 10005
Fax: 718-362-1821
Website: None
E-mail: gandlpartners@usa.com

  1. G&L Partners, Inc. is impersonating a genuine broker-dealer firm with the same name and address - G&L Partners, Inc. (CRD Number: 129605; SEC Number: 8-66236). The impersonator has NO connection with, and is not to be confused with, the genuine G&L Partners, Inc., which has the following contact and Website addresses: 40 Wall Street, Suite 1704, New York, NY 10005, http://www.gandlpartners.com/. The genuine G&L Partners, Inc. does not have a fax number. The SEC's EDGAR database contains registration information for the genuine entity.
  2. In documents sent to non-U.S. investors, the impersonator has included a link to the Website of the genuine G&L Partners (http://www.gandlpartners.com/), Inc. as part of its contact information but prefaced this true detail with its own fax number and e-mail address

Gardner Financial Trading
White Plains Plaza
445 Hamilton Avenue, Suite 1107
White Plains, NY 10601
Phone: 917-546-7315
Fax: 212-631-1008
Website: http://gfinancetrading.com/

  1. Garner Financial Trading is impersonating a genuine broker-dealer firm with a similar name - Gardner Financial Services, Inc. (CRD Number: 21000; SEC Number: 8-38631). The impersonator has NO connection with, and is not to be confused with, the genuine Gardner Financial Services, Inc., which has the following mailing and internet addresses: 8421 Wayzata Boulevard, Suite 350, Minneapolis, MN 55426, www.gardnerfinancialmn.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

Global Capital Management, Inc.
1681 Pines Street, Corner South 17th Street
Philadelphia, PA
Phone: 646-652-0760
Fax: 646-924-3712
Website: http://globalcapmgt.com/

  1. Global Capital Management, Inc. may be impersonating a registered investment adviser firm with a similar name - Global Capital Management, Inc. (CRD Number: 120557; SEC Number: 801-61143), which has the following mailing address: 500 North Gulph Road, Suite 101, King of Prussia, PA 19406. The impersonator has NO connection with, and is not to be confused with, the genuine Global Capital Management, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Global Capital Markets Worldwide
538 Broadhollow Road, #315 E
Melville, NY 11747
Website: http://www.gcmworldwide.com

  1. Global Capital Markets Worldwide is impersonating a formerly registered broker-dealer firm with a similar name and the same address - Global Capital Markets, LLC (CRD Number: 16191; SEC Number: 8-33457). The impersonator has NO connection with, and is not to be confused with, the genuine Global Capital Markets, LLC, which had the following mailing address: 538 Broadhollow Road, #315 E, Melville, NY 11747. The genuine entity had its registration with the SEC terminated on March 25, 2001 and is defunct.

Global Direct Equities LLC
61 Broadway, Suite 1915
New York, NY 10006
Website: http://globaldirectequities.com/

  1. Global Direct Equities LLC may be impersonating a genuine registered broker-dealer firm with the same name but different address - Global Direct Equities, LLC (CRD Number: 124514; SEC Number: 8-65689). The impersonator has NO connection with, and is not to be confused with, the genuine Global Direct Equities, LLC, which has the following mailing address: c/o Buttonwood Business Solutions LLC, 30 Broad Street, Suite 1441, New York, NY 10005. The SEC's EDGAR database contains filing information for the genuine entity.

Global Equities, Inc.
405 Lexington Avenue
Chrysler Building, 25th Floor
New York, NY 10174
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://gblequities.com/

  1. Global Equities, Inc. may be impersonating a formerly registered broker-dealer firm with a similar name but different address - Global Equities Group, Inc. (CRD Number: 34039; SEC Number: 8-46197), which had the following mailing address: 5 Hanover Square, 22nd Floor, New York, NY 10004. The genuine Global Equities Group, Inc. had its registration with the SEC terminated on March 13, 1998 and is defunct.

Global Partners Securities
1123 Broadway, Suite 3002
New York, NY 10010
Phone: 646-213-2846
Fax: 646-607-9244

and

2101 W. Commercial Blvd., Suite 3500
Fort Lauderdale, FL 33309
Phone: 954-320-4159
Website: http://globalpartnerssecurities.com

  1. Global Partners Securities is impersonating a formerly registered broker-dealer firm with a similar name and address - Global Partners Securities Inc. (CRD Number: 19606; SEC Number: 8-37679). The impersonator has NO connection with, and is not to be confused with, the genuine Global Partners Securities Inc., which had the following sole mailing address: 2101 W. Commercial Blvd., Suite 3500, Fort Lauderdale, FL 33309. The genuine Global Partners Securities Inc. had its registration with the SEC terminated on January 18, 2005 and is defunct.

Global Quest Emerging Fund LP
One Whitehall Street, 15th Floor
New York, NY 10004
Phone: 646-652-0720
Fax: 646-786-4707
Website: http://www.gqemerging.com/

  1. Global Quest Emerging Fund LP is impersonating a genuine entity with a similar name at the same address - Global Quest Emerging Fund II LP, a Regulation D exempt filer (SEC file no. 021-104914, received 06-18-07). The impersonator has NO connection with, and is not to be confused with, the genuine Global Quest Emerging Fund II LP, which has the following internet address www.globalquestinvestments.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.
  2. The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

Goldman Capital Management
28th Floor, AIG Tower
Third Avenue
New York, NY 10017
Phone: 347-321-4188
Fax: 347-594-5235
Website: http://goldmancapitalmanagement.com/

  1. Goldman Capital Management is impersonating a genuine broker-dealer and investment adviser firm with a similar name but different address - Goldman Capital Management, Inc. (CRD Number: 16736; SEC Numbers: 8-34476 [for the broker-dealer]; 801-25646 [for the investment advisor]), which has the following mailing address: 767 Third Avenue, 25th Floor, New York, NY 10017. The impersonator has NO connection with, and is not to be confused with, the genuine Goldman Capital Management, Inc. The SEC's EDGAR database and WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contain registration information for the genuine entity.

Goldsmith & Harris
80 Pine Street
New York, NY 10005
Website: http://www.ghasset.com/

  1. Goldsmith & Harris is impersonating a formerly registered broker-dealer firm with the same name and address - Goldsmith & Harris Incorporated (CRD Number: 13997; SEC Number: 8-30122). The impersonator has NO connection with, and is not to be confused with, the genuine Goldsmith & Harris Incorporated, which had the following mailing address: 80 Pine Street, New York, NY 10005. The genuine entity had its registration with the SEC terminated on December 28, 2008 and is defunct.

Great Southern Investment
12th Flr. 900 7th St. North
West Washington, DC 20001
Phone: 202-821-4249
Fax: 202-403-3455
Website: http://greatsoutherninvestment.com/

  1. Great Southern Investment may be impersonating a formerly registered broker-dealer and investment adviser firm with a similar name but different address - Great Southern Investments (CRD Number: 19591; SEC Numbers: 8-37657 [for the broker-dealer]; none [for the investment advisor]), which had the following mailing address: P.O. Box 228, Springfield, MO 65804-3701. The impersonator has NO connection with, and is not to be confused with, the genuine Great Southern Investments, which had its broker-dealer and investment adviser registrations with the SEC terminated, respectively, on January 7, 2003 and January 28, 2005, and is defunct.

Green Wave Corporation
20 Exchange Place
New York, New York 10005
Phone: 212-504-0847
Fax: 212-504-0846
Website: http://www.gwavecorp.com/

  1. Green Wave Corporation may be impersonating either or both of two formerly registered broker-dealer firms with similar names but different addresses - Green Wave, Inc. (CRD Number: 33398; SEC Number: 8-44847) and Green Wave L.L.C. (CRD Number: 39359; SEC Number: 8-48658), which had the following mailing addresses, respectively: 749 West End Avenue, Apt. 12E, New York, NY 10025 and 771 West End Avenue, Apt. 7E, New York, NY 10025. The impersonator has NO connection with, and is not to be confused with, the genuine Green Wave, Inc. or Green Wave L.L.C., which had their registrations with the SEC terminated, respectively, December 17, 1995 and November 26, 2000, and are defunct.

Greentree Financial Advisors
2408 Richmond Road
Staten Island, NY 10306
Fax: 718-732-2047
Website: http://www.greentree-financial-advisors.us/

  1. Greentree Financial Advisors is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Greentree Financial Advisors, Inc. (CRD Number: 127088). The impersonator has NO connection with, and is not to be confused with, the genuine Greentree Financial Advisors, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Greystone Asset Management
780 Third Ave, 43rd Floor
New York, NY 10017
Fax: 212-208-2496
Website: http://www.greystoneassetmanagement.com/

  1. Greystone Asset Management is impersonating a genuine state-registered investment adviser firm with a similar name registered in New York State - Greystone Asset Management, LLC (CRD Number: 139802), which has the following mailing address: 780 Third Avenue, 43RD Floor, New York, NY 10017-2024. The impersonator has NO connection with, and is not to be confused with, the genuine Greystone Asset Management, LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

GS Global Asset Management LLC
488 Madison Avenue, 8th Floor
New York, NY 10022
Phone: 646-843-6976
Fax: 646-219-3077
Website: http://www.gsgamgt.com/

  1. GS Global Asset Management LLC is impersonating a formerly registered broker-dealer with a similar name but different address - GS Global Asset Management, L.L.C. (CRD Number: 44243; SEC Number: 8-50587). The genuine GS Global Asset Management L.L.C., which was located at 212 West 22nd Street, Suite 4F, New York, NY 10011, had its registration with the SEC cancelled on December 15, 1999 and is defunct.

H

Harbor Light Securities Inc.
1093 Deep Woods Drive
Marion, NC 28752
Phone: 828-527-0244
Fax: 877-426-8220
Website: http://harborlightsecinc.com/

  1. Harbor Light Securities Inc. is impersonating a genuine broker-dealer firm with a similar name and different street address - Harbor Light Securities, LLC (CRD Number: 130227; SEC Number: 8-66315). The genuine Harbor Light Securities, LLC is located at 1039 Deep Woods Drive. The impersonator has NO connection with, and is not to be confused with, the genuine Harbor Light Securities, LLC. The SEC's EDGAR database contains registration information for the genuine entity.

HCC Global Financial Group
1818 E. College Parkway
Las Vegas, NV 89706
Phone: 800-308-6583, 702-357-4902
Website: http://www.hccfinancial.totalh.com/

  1. HCC Global Financial Group may be impersonating a subsidiary of the registered company HCC Insurance Holdings, Inc. with a similar name but different address - HCC Global Financial Products. The impersonator has NO connection with, and is not to be confused with, the genuine HCC Global Financial Products, which is headquartered in Barcelona, Spain.

Howard Gary & Company, Inc.
4141 North Miami Avenue, Suite 307
Miami, FL 33127
Phone: 305-722-3311
Fax: 305-675-8273
Website: http://howardgaryandco.com/
(Purported offices and addresses in Boston, New York and San Diego.)

  1. Howard Gary & Company, Inc. is impersonating a formerly registered broker-dealer firm with a similar name - Howard Gary & Company, A Municipal Securities Investment Firm (CRD Number: 10189; SEC Number: 8-25819). The genuine Howard Gary & Company had its registration with the SEC terminated on October 30, 2009 and is defunct.

I

Investors Advisory Services, LLC
857 3rd Avenue, 18th Floor
New York, NY 10022
Phone: 646-360-1719
Fax: 646-786-4693
Website: http://investorsadvisorysvcsllc.com/

  1. Investor Advisory Services, LLC, New York, NY is impersonating a genuine entity with the same name located in Brentwood, Tennessee.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity Investors Advisory Services, LLC (CRD Number: 47083; SEC Number: 8-51662), which has the following mailing address: 100 Winners Circle, Suite 400, Brentwood, TN 37027. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

J

JPR Capital Corp.
125 Michael Drive, Suite 104
Syosset, NY 11791
Phone: 212-784-6758
Fax: 212-658-9197
Website: http://www.jpr-capital.com/

  1. JPR Capital Corp. is impersonating a former genuine state-registered investment adviser firm with the same name and address – J.P.R. Capital Corp. (CRD Number: 38056). The impersonator has NO connection with, and is not to be confused with, the genuine J.P.R. Capital Corp., which had the following mailing address: 125 Michael Drive, Suite 104, Syosset, NY 11791. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine J.P.R. Capital Corp. had its registration with the New York State securities regulator terminated effective December 19, 2007 and is defunct.

J. Streicher & Co LLC
2 Rector Street, 21st Floor
New York, NY 10006
Phone: 212-796-0950
Fax: 877-350-2236
Website: http://www.jstreichercllc.com/

  1. J. Streicher & Co LLC is impersonating a genuine broker-dealer firm with the same name but a different address - J. Streicher & Co. L.L.C. (CRD Number: 3526; SEC Number: 8-4342). The impersonator has NO connection with, and is not to be confused with, the genuine J. Streicher & Co. L.L.C., which has the following mailing address: One Exchange Plaza, 55 Broadway, Suite 311, New York, NY 10006. The SEC's EDGAR database contains registration information for the genuine entity.

K

Kensington Advisory & Investment Group
350 Fifth Avenue, Suite 5620
New York, NY 10118
Phone: 646-328-5070
Fax: 646-224-8433
Website: http://kensingtonaig.com/

  1. Kensington Advisory & Investment Group is impersonating a formerly registered broker-dealer firm named Kensington Advisory and Investment Group LLC (CRD Number: 47739; SEC Number: 8-51888). The genuine Kensington Advisory and Investment Group LLC had its registration with the SEC terminated on February 18, 2003 and is defunct.

L

Legacy Capital Management, LLC
841 3rd Avenue
New York, NY 10022
Phone: 212-924-4089
Fax: 212-202-6411
Website: http://legacycapitalmgmt.com/

  1. Legacy Capital Management, LLC may be impersonating any of multiple financial services entities with the same or similar name but with different addresses. There is only one firm currently registered named Legacy Capital Management, LLC (CRD Number 162171; SEC Number 802-74551). The impersonator has NO connection with, and is not to be confused with, the genuine Legacy Capital Management, LLC, which has the following mailing address: 25333 Cedar Road, Suite 300, Lyndhurst, OH 44124. The SEC's Investment Adviser Public Disclosure (IAPD) database contains registration information for the genuine entities.

Liberty Transfer Co.
191 New York Avenue
Huntington, NY 11743
Phone: 631-944-8499
Fax: 631-824-9399
Website: http://www.libertytransferco.com/

  1. Liberty Transfer Co. is impersonating a former genuine entity having the same name (CIK Number: 0000912887; SEC Number: 084-05474). The legitimate Liberty Transfer Co. had its registration cancelled by the SEC, effective March 21, 2011, and is defunct (see SEC Release No. 34-64102). The impersonator has NO connection with, and is not to be confused with, the former genuine entity.
  2. Claims to work with, or makes other reference in its solicitations to, among various soliciting entity names, McPherson Gordon Ltd., a purported financial advisory services firm.
  3. The pseudo-Liberty Transfer Co. previously purported to be located in Washington, DC 20004 with the phone number 202-459-0977 and website address http://www.liberty-transfer.net/.

Litmus Capital Management Group LLC
1325 Avenue of the Americas
New York, NY 10019-6026
Phone: 646-351-8638
Fax: 646-403-4600
Website: http://litmuscmg.com/

  1. Litmus Capital Management Group LLC is impersonating a formerly registered investment adviser firm with a similar name - Litmus Capital Management LLC (CRD Number: 138130; SEC Number: 801-65501), which had the following mailing address: 1325 Avenue of the Americas, 28th Floor, New York, NY 10019. The impersonator has NO connection with, and is not to be confused with, the former genuine Litmus Capital Management LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Litmus Capital Management LLC, which had its registration with the SEC terminated on December 11, 2008 and is defunct as an investment adviser firm, now operates as a hedge fund. The SEC's EDGAR database contains filing information for offerings made in connection with this entity.

M

Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)

  1. Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name - Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number: 8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Macellum Capital Management, LLC
1270 Avenue of the Americas
New York, NY 10020-170 (sic)
Phone: 646-500-8691
Fax: 646-304-2831
Website: http://macmanagementllc.com/, http://www.mcmgroup.us/

  1. Macellum Capital Management, LLC is impersonating a genuine Regulation D exempt filer (SEC file no. 021-132743, received 071509 and amended 071210) and hedge fund with the same name - Macellum Capital Management, LLC. The impersonator has NO connection with, and is not to be confused with, either the genuine Macellum Capital Management, LLC or its management company and genuine investment advisor firm with a similar name, Macellum Advisors, LP (CRD Number: 161023; SEC Number: 801-73522).  The SEC's EDGAR database contains filing information for offerings made in connection with the genuine hedge fund and WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine investment advisor firm.

Macros Investment, Inc.
#32 Old Slip St.
New York, NY 10005
Phone: 646-652-0451
Fax: 646-417-6721
Website: http://www.macrosinvestment.com/

  1. Macros Investment, Inc. is impersonating a formerly registered broker-dealer firm with a similar name - Macros Investments, Inc. (CRD Number: 23778; SEC Number: 8-40858). The impersonator has NO connection with, and is not to be confused with, the genuine Macros Investments, Inc., which had its registration with the Financial Industry Regulatory Authority (FINRA) terminated on November 3, 1992 and is defunct.

Manhasset Capital Management Group
150 East 58th Street, Floor 20
New York, NY 10022
Phone: 646-500-8691
Fax: 646-304-2831
Website: http://manhassetcmg.com

  1. Manhasset Capital Management Group is impersonating a formerly registered investment adviser firm with a similar name - Manhasset Capital Management, LLC (CRD Number: 138739; SEC Number: 801-65748), which had the following mailing address: 6 Pheasant Way, 20th Floor, Manalapan, NJ 07726. The impersonator has NO connection with, and is not to be confused with, the former genuine Manhasset Capital Management, LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Manhasset Capital Management, LLC had its registration with the SEC terminated on December 10, 2008 and is defunct.

Manhattan Acquisition Corp.
126 East 56th Street, 29th Floor
New York, NY 10022
Phone: 212-461-4892
Website: http://manhattanacquisitioncorp.com/

  1. Manhattan Acquisition Corp. is impersonating a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Manhattan Acquisition Corp., a Schedule 13D ("beneficial ownership report") filer (CIK Number: 0001128718) and Delaware corporation formed by BRS L.P. for the sole purpose of effecting the proposed transactions of merging with and into a single other company, as described in its filing of November 27, 2000 and amended filing of January 18, 2001. The SEC's EDGAR database contains information for the genuine entity.

Manor Private Capital, LLC
10 Larchmont Avenue
Larchmont, NY 10538-4235
Phone: 914-218-6012
Fax: 914-274-9029
Websites: http://manorpcmanda.com/ (This domain was suspended.), http://manorpcl.com/

  1. Manor Private Capital, LLC is impersonating a genuine broker-dealer firm with the same name and address - Manor Private Capital, LLC (CRD Number: 149192; SEC Number: 8-68117). The impersonator has NO connection with, and is not to be confused with, the genuine Manor Private Capital, LLC, which has the following mailing address: 10 Larchmont Avenue, Larchmont, NY 10538. The SEC's EDGAR database contains registration information for the genuine entity.

Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com

  1. Metcap Securities is impersonating a genuine broker-dealer firm with a similar name - Metcap Securities, LLC (CRD Number: 30418; SEC Number: 8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC's EDGAR database contains registration information for the genuine entity.

MIT Associates Incorporated 
One Liberty Plaza
Columbia Center
701 Fifth Avenue
Seattle, WA 98104
Phone: 206-337-4561
Fax: 206-424-4720
Website: http://mitassociates.org/

  1. MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity MIT Associates, LLC d/b/a Liability Solutions (CRD Number: 121171; SEC Number: 8-65386), which has the following mailing address: One Landmark Square, Suite 620, Stamford, CT 06901. The SEC's EDGAR database contains registration information for the genuine entity.

Morgan Investment Management
12520 High Bluff Drive
San Diego, CA 92130
Phone: 858-408-3203
Fax: 858-430-3823
Website: http://morganim.com/

  1. Morgan Investment Management is impersonating a genuine broker-dealer firm with a similar name - Morgan Investment Management, Inc. (CRD Number: 45487; SEC Number: 8-51049), which has the following mailing address: 12520 High Bluff Drive, Suite 360, San Diego, CA 92130-2041. The impersonator has NO connection with, and is not to be confused with, the genuine Morgan Investment Management, Inc. The SEC's EDGAR database contains registration information for the genuine entity.

N

NBI Energy
1370 Avenue of Americas, 24th Floor
New York, NY 10019
Phone: 646-652-6222
Fax: 646-861-4617
Website: http://www.nbienergy.com/ (The website is no longer accessible.)

  1. NBI Energy is impersonating a genuine entity with a similar name at the same address - NBI Energy Fund LP, a Regulation D exempt filer (SEC file no. 021-89655, received 05-04-06). The impersonator has NO connection with, and is not to be confused with, the genuine NBI Energy Fund LP. The SEC's EDGAR database contains registration information for the genuine entity.

New Alliance Securities, Inc.
(No address provided.)
Phone: 646-360-1715
Fax: 646-224-9826
Website: http://www.newalliancesecurities.com/

  1. New Alliance Securities, Inc. may be impersonating a formerly registered broker-dealer firm named New Alliance Securities, Inc. (CRD Number: 10212; SEC Number: 8-26767), which had the following mailing address: 3030 Bridgeway, Suite 330, Sausalito, CA 94965. The genuine New Alliance Securities, Inc. was expelled from FINRA on May 2, 1986 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Newcastle Distributors
127 Unit-18 Woodhaven Drive
Avon, CT 06001-2432
Website: http://newcastledistributors.com/

  1. Newcastle Distributors is impersonating a genuine broker-dealer firm with the same name - Newcastle Distributors LLC (CRD Number: 140096; SEC Number: 8-67277). The impersonator has NO connection with, and is not to be confused with, the genuine Newcastle Distributors LLC, which has the following mailing address: 127 Woodhaven Drive, Avon, CT 06001-2432. The SEC's EDGAR database contains registration information for the genuine entity.

New York Global Group, Inc.
14 Wall Street, Suite 1225
New York, NY 10005
Phone: 646-381-1596
Fax: 646-390-8637
Website: http://newyorkggi.com/

  1. New York Global Group, Inc. is impersonating a genuine entity with the same name but different address - New York Global Group, Inc., a Regulation D exempt filer (SEC file no. 021-79407, received 07-20-07), which has the following mailing address: 40 Wall Street, 38th Floor, New York, NY 10005. The impersonator has NO connection with, and is not to be confused with, the genuine New York Global Group, Inc. The SEC's EDGAR database contains registration information for an offering made by the genuine entity that was not completed.

NW Advisors LLC
31 Piping Rock Road
Locust Valley, NY 11560
Phone: 214-615-8599
Website: http://www.nwadvisorsllc.com

  1. NW Advisors LLC is impersonating a formerly registered broker-dealer firm with the same name and address - NW Advisors LLC (CRD Number: 136740; SEC Number: 8-67041). The impersonator has NO connection with, and is not to be confused with, the genuine NW Advisors LLC, which had its registration with the SEC terminated on March 9, 2013 and is defunct.

O

O'Coone, McCormack & Button Ltd.
138 Lexington Avenue
New York, NY 10016
Phone: 646-360-1721
Fax: 646-861-4609
Website: http://www.ocmbuttonltd.com/

  1. O'Coone, McCormack & Button Ltd. is impersonating a formerly registered broker-dealer firm named OCM Distributors, Inc. (CRD Number: 23204; SEC Number: 8-40276). The genuine OCM Distributors, Inc. had its registration with FINRA terminated on December 9, 1992 and is defunct.

Obrien & Shepard Inc.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)

  1. Obrien & Shepard Inc. is impersonating a genuine broker-dealer firm with a similar name - O'Brien & Shepard, Inc. (CRD Number: 7152; SEC Number: 8-19348), which has the following mailing address: 75 Montgomery Street, Suite 602, Jersey City, NJ 07302. The impersonator has NO connection with, and is not to be confused with, the genuine O'Brien & Shepard, Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Offutt Securities Inc.
2525 Butler Road
Glydon, MD 21071
Telefax: 443-478-3912
Website: http://offincsec.com/

  1. Offutt Securities Inc. is impersonating a genuine broker-dealer firm with the same name but a different address - Offutt Securities, Inc. (CRD Number: 19782; SEC Number: 8-37799. The impersonator has NO connection with, and is not to be confused with, the genuine Offutt Securities, Inc., which has the following business address: P. O. Box 559, Cockeysville, MD 21030. The SEC's EDGAR database contains registration information for the genuine entity.

Osprey Partners LLC
50 Riverside Avenue
Westport, CT 06880
Phone: 203-446-5988
Fax: 800-986-9415
Website: http://ospreypllc.com/

  1. Osprey Partners LLC is impersonating a genuine broker-dealer firm with the same name and address - Osprey Partners LLC (CRD Number: 38122; SEC Number: 8-48109). The impersonator has NO connection with, and is not to be confused with, the genuine Osprey Partners LLC, which has the following mailing address: 50 Riverside Avenue, Westport, CT 06880. The SEC's EDGAR database contains registration information for the genuine entity.

P

P.A.N. Securities LP
233 Broadway
New York, NY 10279
Phone: 1-212-359-1615
Fax: 1-212-658-9297
Website: http://pansecuritieslpmanda.com/

  1. P.A.N. Securities LP is impersonating a genuine broker-dealer firm with the same name and address - P.A.N. Securities, LP (CRD Number: 104823; SEC Number: 8-52964). The impersonator has NO connection with, and is not to be confused with, the genuine P.A.N. Securities, LP, which has the following mailing address: 233 Broadway, 24th Floor, New York, NY 10279. The SEC's EDGAR database contains registration information for the genuine entity.

Pacific American Securities
9191 Town Centre Drive, Suite 406
San Diego, CA 92122
Phone: 213-325-3256
Fax: 213-652-1447
Website: http://www.pacificamericans.net

  1. Pacific American Securities is impersonating a genuine broker-dealer and state-registered investment adviser firm with a similar name - Pacific American Securities, LLC (CRD Number: 42999; SEC Number: 8-50093 [for the broker-dealer]), which has the following mailing address: 9191 Towne Centre Drive, Suite 406, San Diego, CA 92122. The impersonator has NO connection with, and is not to be confused with, the genuine Pacific American Securities, LLC. The SEC's EDGAR database contains registration information for the genuine broker-dealer entity. WEBCRD (Central Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA)]) and WebIARD (Investment Adviser Registration Depository [operated by FINRA on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) also contain registration information for the genuine state-registered investment adviser firm, Pacific American Securities, LLC.

Pacific Capital Management LLC
1000 Wilshire Boulevard, # 850
Los Angeles, CA 90017
Phone: 213-289-3734
Fax: 213-947-1983
Website: http://pacificcm.us/

  1. Pacific Capital Management LLC may be impersonating a genuine Delaware limited liability company with the same name but a different address - Pacific Capital Management, LLC (CIK Number: 0001523309). The impersonator has NO connection with, and is not to be confused with, the genuine Pacific Capital Management, LLC, which has the following business address: 11601 Wilshire Boulevard, Suite 2180, Los Angeles, CA 90017. The SEC's EDGAR database contains registration information for the genuine entity, which filed a Schedule 13G with the SEC disclosing beneficial ownership on June 20, 2011.

Paragon Capital Group, Inc.
450 Park Avenue, Suite 2512
New York, NY 10022
Phone: 347-329-3096
Fax: 347-402-0226
Website: http://www.paragoncapitalgrp.com/

  1. Paragon Capital Group, Inc is impersonating a genuine entity with a similar name - Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number: 8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC's EDGAR database contains registration information for the genuine entity.
  2. The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, www.paragoncapitalonline.com. The SEC's EDGAR database contains registration information for the genuine entity.
  3. The impersonator claims to be commissioned by the "Federal Depository Commission." This is a fictitious entity.

Pex Global Inc.
415 Madison Avenue
New York NY
Phone: 212-461-1776
Fax: 800-542-9152
Website: http://www.pexglobalinc.com/

  1. Pex Global Inc. is impersonating a genuine broker-dealer firm with the same name but different address - Pex Global Inc. (CRD Number: 153131; SEC Number: 8-68505). The impersonator has NO connection with, and is not to be confused with, the genuine Pex Global Inc., which has the following mailing address: 575 Lexington Avenue, 4th Floor, New York, NY 10022. The SEC's EDGAR database contains registration information for the genuine entity.

PFS Investments
2700A North Ocean Drive
Singer Island, FL 33404
Phone: 561-594-4398
Fax: 877-493-2241
Website: http://www.pfsinvestment.com/

  1. PFS Investments may be impersonating a genuine broker-dealer firm with a similar name but different address - PFS Investments Inc. (CRD Number: 10111; SEC Number: 8-26486). The impersonator has NO connection with, and is not to be confused with, the genuine PFS Investments Inc., which has the following mailing address: 3120 Breckinridge Boulevard, Bldg. 700, Duluth, GA 30099-0001. The SEC's EDGAR database contains registration information for the genuine entity.

P.J. Solomon Securities LLC, a.k.a. P.J. Solomon LLC
520 Madison Avenue
New York, NY 10022
Phone: 212-461-4517
Fax: 212-461-4517
Website: None provided

  1. P.J. Solomon Securities LLC is impersonating a genuine broker-dealer firm with a similar name – Peter J. Solomon Securities Company, LLC (CRD Number: 28041; SEC Number: 8-43369), which has the following mailing address: 520 Madison Avenue, New York, NY 10022. The impersonator has NO connection with, and is not to be confused with, the genuine Peter J. Solomon Securities Company, LLC. The SEC's EDGAR database contains registration information for the genuine entity.

Pointe Atlantic
1431 S. Howard Avenue
Tampa, FL
Phone: 813-434-4297 and 813-387-3305
Website: http://www.pointe-atlantic.com

  1. Pointe Atlantic is impersonating a formerly registered broker-dealer firm with the same name – Pointe Atlantic, Inc. (CRD Number: 46599; SEC Number: 8-51486). The genuine Pointe Atlantic, Inc. last filed with FINRA on July 22, 1999 and is defunct.
  2. The impersonator is also soliciting under the name Schnell and Company using the clone website schnellcompany.com.

Portfolio Investment Co. Ltd.
Seafirst Fifth Avenue Plaza
800 Fifth Avenue, Suite 4100
Seattle, WA 98104
Phone: 206-447-1452, 206-447-1452
Fax: 206-470-1150
Website: http://www.portfolioinvestment.com/

  1. Portfolio Investment Co. Ltd. is impersonating a formerly registered broker-dealer firm with a similar name - Portfolio Investments, Inc. (CRD Number: 17670; SEC Number: 8-35589), which had the following mailing address:  1330 South Bascom Avenue, Suite E, San Jose, CA 95128. The genuine Portfolio Investments, Inc. withdrew its registration with the SEC effective February 19, 1994, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Princeton Capital Investments, Inc.
1835 Market Street
Philadelphia, PA 19103
Phone: 215-707-7800
Fax: 215-707-7900
Website: http://www.princetoncapitalinc.com/

  1. Princeton Capital Investments, Inc. is impersonating a formerly registered broker-dealer firm with the same name - Princeton Capital Investments, Inc. (CRD Number: 16262; SEC Number: 8-33731). The impersonator has NO connection with, and is not to be confused with, the genuine Princeton Capital Investments, Inc., which had its registration with the Financial Industry Regulatory Authority (FINRA) terminated on November 15, 1991 and is defunct.

Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com/

  1. 1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name - Progress Investments LLC (CRD Number: 139981; SEC Number: 8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC's EDGAR database contains registration information for the genuine entity.

Q

Qatalyst Partners, L.P.
155 Hamilton Place
New York, NY 10031
Phone: 646-843-6975
Fax: 646-924-3948
Website: http://www.qatalystpartnerslp.com/

  1. The impersonator Qatalyst Partners, L.P. has NO connection with, and is not to be confused with, the genuine broker-dealer firm with the same name - Qatalyst Partners LP (CRD Number: 147251; SEC Number: 8-67887), which has the following mailing address: Three Embarcadero Center, Sixth Floor, San Francisco, CA 94111. The SEC's EDGAR database contains registration information for the genuine entity.

R

Regency Group Inc.
99 Wall Street, 12th Floor
New York, NY 10005
Phone: 646-289-8044
Fax: 212-672-1100
Website: http://www.regency-group.net/

  1. Regency Group Inc. is impersonating a formerly registered broker-dealer firm with the same name and address - The Regency Group, Inc. (CRD Number: 45216; SEC Number: 8-50995). The impersonator has NO connection with, and is not to be confused with, the genuine Regency Group, Inc., which had its registration with the SEC cancelled on October 9, 2003 and is defunct.

Richfield Orion International Group
Paradeplatz 9
Zurich, Switzerland 08001
Phone: 44 207 0001770
Website: No website found

  1. Richfield Orion International Group may be impersonating a genuine broker-dealer firm with a similar name but different address - Richfield Orion International, Inc. (CRD Number: 24433; SEC Number: 8-41166). The impersonator has NO connection with, and is not to be confused with, the genuine Richfield Orion International, Inc., which has the following mailing address: 5353 N. Union Boulevard, G-1, Colorado Springs, CO 80918. The SEC's EDGAR database contains registration information for the genuine entity.

RidgeWood Securities
825 Third Avenue
29th Floor RidgeWood Tower
New York, NY 10022
Phone: 347-321-4356
Fax: 347-594-4567
Website: http://rwsecurities.com/

and

14-A1 Phillips Parkway
Montvale, NJ 07645-1811
Phone: 800-1458-6105

  1. RidgeWood Securities is impersonating a genuine broker-dealer firm with the same name - Ridgewood Securities Corporation (CRD Number: 15453; SEC Number: 8-34781). The impersonator has NO connection with, and is not to be confused with, the genuine Ridgewood Securities Corporation, which has the following mailing address: 14 Philips Parkway Montvale, NJ 07645. The SEC's EDGAR database contains registration information for the genuine entity.

Rothman Securities
Parkwood Building, Suite 201
Street Road
Southampton, PA
http://rothmanoffshore.com/

  1. Rothman Securities is impersonating a genuine broker-dealer firm with a similar name - Rothman Securities, Inc. (CRD Number: 13907; SEC Number: 8-30469), which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966. The impersonator has NO connection with, and is not to be confused with, the genuine Rothman Securities, Inc. The SEC's EDGAR database contains registration information for the genuine entity

S

Santander Investment Securities Group
Grand Central Tower, 18th Floor
New York, NY 10023
Website: http://sisgmanagement.com/

  1. Santander Investment Securities Group is impersonating a genuine broker-dealer and investment adviser firm with a similar name but different address – Santander Investment Securities Inc. (CRD Number: 37216; SEC Numbers: 8-47649 [for the broker-dealer]; 801-70715 [for the investment advisor]), which has the following mailing address: 45 East 53rd Street, New York, NY 10022-4604. The impersonator has NO connection with, and is not to be confused with, the genuine Santander Investment Securities Inc. The SEC's EDGAR database contains registration information for the genuine entity.

SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
2880 Lakeside Drive
Santa Clara, CA 95054
Phone: 909-634-2116
Website: http://sbvlaw.org/

  1. SBV Venture Partners, a.k.a. SBV Venture Partners Law Services, is impersonating a genuine venture capital firm with a similar name - SBV Venture Partners, which has the following mailing address: 454 Ruthven Avenue, Palo Alto, CA 94301. The impersonator has NO connection with, and is not to be confused with, the genuine SBV Venture Partners.

Seale Capital Inc.
950 N. Glebe Road, Suite 950
Arlington, VA 22203
Website: http://sealecapitalinc.com/

  1. Seale Capital Inc. is impersonating a genuine broker-dealer firm with the same name - Seale Capital, Inc. (CRD Number: 148420; SEC Number: 8-68022), which has the following mailing address: 950 N. Glebe Road, Suite 950, Arlington, VA 22203. The impersonator has NO connection with, and is not to be confused with, the genuine Seale Capital, Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Select American Transfer Co.
118 Finch Avenue West, Suite B11
Toronto, ON M2N 2H7
Phone: 416-907-6545
Fax: 905-963-7879
Website: http://selectatc.com/

  1. Select American Transfer Co. is impersonating a former genuine entity having the same name (CIK Number: 0001324472; SEC Number: 084-06152). The legitimate Select American Transfer Co. last filed with the SEC on September 5, 2006 and is defunct.
  2. Claims to work, or makes other reference in its solicitations to, Madden Group, Inc., a purported financial advisory services firm.

Seward, Groves, Richard and Wells
479 State Highway No.17
Mahwah, NJ 07430
Phone: 646-257-4052
Fax: 646-500-8649
Website: http://www.sgrw-inc.com and http://www.sgrw-llc.com (The websites are no longer accessible.)

  1. Seward, Groves, Richard and Wells is impersonating a formerly registered broker-dealer with the same name - Seward, Groves, Richard & Wells, Inc. (CRD Number: 17963; SEC Number: 8-35871). The genuine Seward, Groves, Richard & Wells, Inc. had its registration with the SEC cancelled, effective August 27, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Solution Capital Partners LP
1180 Avenue of the Americas, 18th Floor
New York, NY 10036
Phone: 646-843-6976
Fax: 646-808-3805
Website: http://www.scpartnerslp.us/

  1. Solution Capital Partners LP is impersonating a genuine Regulation D exempt filer (SEC file no. 021-126799, received 012909) with the same name at the same address - Solution Capital Partners LP. The impersonator has NO connection with, and is not to be confused with, the genuine Solution Capital Partners LP. The SEC's EDGAR database contains filing information for the genuine entity.

South Atlantic Securities
201 West 89th Street
New York, NY 10024
Phone: 646-626-4214
Fax: 646-224-9720
Website: http://www.southatlanticsecurities.com

  1. South Atlantic Securities may be impersonating a formerly registered broker-dealer firm with a similar name but different address - South Atlantic Securities, Inc. (CRD Number: 10201; SEC Number: 8-25602). The impersonator has NO connection with, and is not to be confused with, the genuine South Atlantic Securities, Inc., which had the following mailing address: 1301 Dade Boulevard, Miami Beach, FL 33139. The genuine South Atlantic Securities, Inc. had its registration with the Financial Industry Regulatory Authority (FINRA) cancelled on July 8, 1988 and is defunct.

Southampton Investment Services Inc.
33 Whitehall Street
New York, New York
Website: http://www.southamptoninternational.com/

  1. Southampton Investment Services Inc. is impersonating a genuine broker-dealer firm with a similar name - Southampton Investment Services Inc. (CRD Number: 8246; SEC Number: 8-24841), which has the following mailing address: 33 Whitehall Street, 6th Floor, New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Southampton Investment Services Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Stargate Advisors Limited
11500 Olympic Boulevard, #400
Los Angeles, CA 90064
Phone: 213-455-1929
Fax: 213-947-4680
Website: http://stargateadgrp.com/

  1. Stargate Advisors Limited is impersonating a genuine state-registered investment adviser firm with the same name registered in California State - Stargate Advisors Limited (CRD Number: 134597), which has the following business and mailing addresses: 11500 Olympic Boulevard, #400, Los Angeles, CA 90064, P.O. Box 491447, Los Angeles, CA 90049. The impersonator has NO connection with, and is not to be confused with, the genuine Stargate Advisors Limited. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Stargroove Trade Ltd., a.k.a. Stargroove Corporation
767 5th Avenue
New York, NY 10153
Phone: 866-667-8067
Fax: 347-296-3864
Website: http://www.jumbocdfund.com/

  1. Stargroove Trade Ltd., a.k.a. Stargroove Corporation, is impersonating a genuine broker-dealer firm with a different name and address - Starlight Investments, LLC (CRD Number: 103957; SEC Number: 8-52424). The impersonator has NO connection with, and is not to be confused with, the genuine Starlight Investments, LLC, which has the following mailing address: 510 Bering Drive, Suite 300, Houston, TX 77057. The SEC's EDGAR database contains registration information for the genuine entity.

Stateside Capital, LLC
247 Penn Plaza
New York, NY 10001
Phone: 212-381-2986
Fax: 212-954-5181
Website: http://www.statesidecapital.us/

  1. Stateside Capital, LLC may be impersonating a genuine state-registered investment adviser firm with the same name but different address and registered in the State of Georgia - Stateside Capital, LLC (CRD Number: 153579). The impersonator has NO connection with, and is not to be confused with, the genuine Stateside Capital, LLC which has the following mailing address: 3560 Lenox Road, Suite 2800, Atlanta, GA 30326-4276. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Stern Fisher Edwards Corp.
51 W. 52nd St., 18th Floor
New York, NY 10019
Phone: 646-810-3935
Fax: 646-924-3732
Website: http://sfedwardscorp.com/

  1. Stern Fisher Edwards Corp. is impersonating a genuine broker-dealer firm with a similar name but different address - Stern Fisher Edwards Inc. (CRD Number: 7548; SEC Number: 8-22274), which has the following mailing address: 801 South Figueroa Street, Suite 2100, Los Angeles, CA 90017-2457. The impersonator has NO connection with, and is not to be confused with, the genuine Stern Fisher Edwards Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Swiftsure Securities Limited
Third Avenue, Suite 1601
Seattle, WA
Phone: 206-408-1462
Fax: 206-299-7597
Website: http://swiftsuresecuritiesltd.com/ (The website is no longer accessible.)

  1. Swiftsure Securities Limited is impersonating a genuine broker-dealer firm with a similar name - Swiftsure Securities LLC (CRD Number: 139965; SEC Number: 8-67264), which has the following mailing address: 1201 Third Avenue, Suite 1601, Seattle, WA 98101. The impersonator has NO connection with, and is not to be confused with, the genuine Swiftsure Securities LLC. The SEC's EDGAR database contains registration information for the genuine entity.

Synergy Capital, LLC
62 Broadway, Suite 1110
New York, NY 10006
Phone: 212-784-6708
Fax: 212-208-2480
Website: http://synergycap.net/

  1. Synergy Capital, LLC is impersonating a genuine broker-dealer firm with a similar name - Synergy Capital I, LLC (CRD Number: 47965; SEC Number: 8-51971). The impersonator has NO connection with, and is not to be confused with, the genuine Synergy Capital I, LLC, which has the following, different mailing address: 61 Broadway, Suite 1110, New York, NY 10006. The SEC's EDGAR database contains registration information for the genuine entity.

T

Trendline Futures Inc.
141 West Jackson Boulevard
Chicago, IL 60604
Phone: 312-361-0298
Fax: 312-276-9598
Website: http://trendlinefutures.com/

  1. Trendline Futures Inc. may be impersonating a formerly registered National Futures Association (NFA) d/b/a member firm with a similar name but different address - Trendline Futures (NFA Number: 0291906), which had the following business address: 2435 41st Avenue East #332, Seattle, WA 98112. The genuine d/b/a Trendline Futures withdrew its registration with the NFA on March 3, 2010 and no longer deals in commodities.

Trident Capital Management, LLC
1111 Castalia Street
Bellevue, OH 44811
Phone: 419-701-4591
Fax: 419-715-2592
Website: http://www.tridentcapmgt.com/

  1. Trident Capital Management, LLC is impersonating a genuine state-registered investment adviser firm with the same name registered in Ohio State - Trident Capital Management, LLC (CRD Number: 125483), which has the following mailing address: 1111 Castalia Street Bellevue, OH 44811. The impersonator has NO connection with, and is not to be confused with, the genuine Trident Capital Management, LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Truman Stock Transfer LLC
5726 Belmont Avenue
Dallas, TX 75206
Phone: 888-749-9599
Fax: 888-734-4944, 214-613-5643
Website: http://trumanst.com/

  1. Truman Stock Transfer LLC is impersonating a genuine transfer agent firm having the same name (CIK Number: 0001439450; SEC Number: 084-06320) and address. According to the SEC's EDGAR database, the legitimate Truman Stock Transfer LLC, which has the following mailing address, 5726 Belmont Avenue, Dallas, TX 75206, has not made any filings with the SEC since August 2008. The impersonator has NO connection with, and is not to be confused with, the genuine entity.

U

UST Financial Services Corp.
114 West 47th Street, 14th Floor
New York, NY 10036-1532
Phone: 212-845-9375
Fax: 212-658-9197
Website: http://www.ust-financial.com

  1. UST Financial Services Corp. is impersonating a formerly registered broker-dealer firm with the same name (CRD Number: 36881; SEC Number: 8-47488). The genuine UST Financial Services Corp. had its registration with the SEC terminated on February 18, 2003 and is defunct.

W

Wall Street Systems Holdings, Inc.
30 Broad Street
New York, NY 10004
Phone: 917-484-5005
Fax: 917-677-8192
Website: http://www.wsshi.com
(According to whois, the domain has been suspended.)

  1. Wall Street Systems Holdings, Inc. is impersonating a genuine entity with a similar name at the same address - Wall Street Systems Holdings, Inc., a Regulation D exempt filer (SEC file no. 021-86391, received 02-09-06). The impersonator has NO connection with, and is not to be confused with, the genuine Wall Street Systems Holdings, Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Wampum Group LLC
71 Broadway, Suite 12d
New York, NY 10006
Telefax: 800-542-9152
Website: http://www.wampumgllc.com

  1. Wampum Group LLC is impersonating a genuine broker-dealer firm formerly known as Wampum Group, LLC (CRD Number: 138861; SEC Number: 8-67176) and now known as Remington Group, LLC, which has the following mailing address: 71 Broadway, Suite 12 D, New York, NY 10006. The impersonator has NO connection with, and is not to be confused with, the genuine Remington Group, LLC, f.k.a. Wampum Group, LLC. The SEC's EDGAR database contains registration information for the genuine entity

Watson Sandy Holding Co.
P.O. Box 446
Townsend DE 19734
Phone: 302-261-3578
E-mail: watsonholding@delaware.usa.com
No website provided.

  1. Watson Sandy Holding Co. is an impersonator of a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Watson Sandy Holding Co., a Regulation D exempt filer (SEC file no. 021-62564, received 01-29-04), which has the following mailing address: PO Box 446, Townsend DE 19734. The SEC's EDGAR database contains registration information for the genuine entity.

Welborn Capital & Partners LLC, a.k.a. Welborn Capiltal (sic) LLC, a.k.a. Welborn Capital Partners Inc.
644 3rd Avenue, 14/F
New York, NY 10017
Phone: 212-542-9176
Fax: 212-409-8803
Website: http://welbornllc.com/

  1. Welborn Capital Partners Inc., a.k.a. Welborn Capiltal (sic) LLC, is impersonating a genuine broker-dealer firm with the same name but different address - Welborn Capital LLC (CRD Number: 152234; SEC Number: 8-68436), which has the following mailing address: 230 Middle Road, Hudson, NY 12534. The impersonator has NO connection with, and is not to be confused with, the genuine Welborn Capital LLC. The SEC's EDGAR database contains registration information for the genuine entity.

Wellington Capital Markets
440 S LaSalle, Suite 1711
Chicago, IL 60605
Phone: 618-200-8155
Fax: 567-429-0445
Website: http://www.wellingtoncapitalmarkets.com

  1. Wellington Capital Markets is impersonating a formerly registered broker-dealer firm with the same name and address - Wellington Capital Markets, L.L.C. (CRD Number: 104937; SEC Number: 8-52963). The impersonator has NO connection with, and is not to be confused with, the genuine Wellington Capital Markets, L.L.C., which had its registration with the SEC cancelled on May 1, 2013 and is defunct.

West Coast Financial LLC, a.k.a. WC Financial Group LLC
15222 Ventura Boulevard
Sherman Oaks, CA 91403
Phone: 818-937-0663
Website: http://wcfinancialgroup.com/

  1. West Coast Financial LLC, a.k.a. WC Financial Group LLC, may be impersonating a registered investment adviser firm and institutional investment manager with the same name but a different address - West Coast Financial, LLC (CRD Number: 104677; SEC Numbers: 801-19093 [for the investment advisor], 028-14093 [for the institutional investment manager]). The impersonator has NO connection with, and is not to be confused with, the genuine West Coast Financial, LLC., which has the following business address: 1525 State Street, Suite 104, Santa Barbara, CA 93101. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) and the SEC's EDGAR database contain registration information for the genuine entities.

West Coast Stock Transfer Inc.
2010 Hancock Street, Suite A
San Diego, CA 92110
Phone: 619-313-4499
Fax: 619-313-4498
Website: http://www.wcsti.com/

  1. West Coast Stock Transfer Inc. is impersonating a genuine transfer agent firm having the same name (CIK Number: 0001455353; SEC Number: 084-06347). The legitimate West Coast Stock Transfer Inc. has the following mailing address: 2010 Hancock Street, Suite A, San Diego, CA 92110. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Western Equities Corporation
Manhattan Business Center
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-360-1663
Fax: 914-462-3791
Website: http://westernequitiescorp.com/

  1. Western Equities Corporation may be impersonating a formerly registered broker-dealer firm named Western Equities Corporation (CRD Number: 35416; SEC Number: 8-46791), which had the following mailing address: 5690 DTC Boulevard, #150, Englewood, CO 80111. The genuine Western Equities Corporation had its registration with the SEC terminated on November 19, 1995 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Woori Investment & Securities America, Inc.
120 West 45th Street, Suite 3010
New York, NY 10036
Phone: 800-935-0871
Fax: 877-350-3073
Website: http://woori-isa.com/ (The website is not accessible and may be blocked.)

  1. Woori Investment & Securities America, Inc. is impersonating a genuine broker-dealer firm with the same name - Woori Investment & Securities America, Inc. (CRD Number: 30660; SEC Number: 8-45081). The impersonator has NO connection with, and is not to be confused with, the genuine Woori Investment & Securities America, Inc., which has the following mailing address: 120 West 45th Street, Suite 3010, New York, NY 10036. The SEC's EDGAR database contains registration information for the genuine entity.

Worldwide Transfer and Trust
433 Hackensack Ave. Level L
Hackensack, NJ 07601
Phone: 201-289-5399
Fax: 201-289-5382
Website: http://worldwidetransfertrust.com/

  1. Worldwide Transfer and Trust is impersonating a genuine transfer agent firm with a similar name – Worldwide Stock Transfer LLC (CIK Number: 0001325394; SEC Number: 084-06153) - which has the following mailing address:  885 Queen Anne Road, Teaneck, NJ 07666. The impersonator has NO connection with, and is not to be confused with, the genuine Worldwide Stock Transfer LLC.  The SEC's EDGAR database contains registration information for the genuine entity.

X

X-Clearing Corporation
535 Sixteenth Street Mall, Suite 810
Denver, CO 80202
Phone: 303-573-1000
Fax: 303-573-1088
Website: http://www.xclr.com/

  1. X-Clearing Corporation is impersonating a genuine former transfer agent firm having the same name (CIK Number: 0001139296; SEC Number: 084-05898). The legitimate X-Clearing Corporation, which had the following mailing address, 535 Sixteenth Street Mall, Suite 820, Denver, CO 80202, withdrew its registration with the SEC, effective March 3, 2011, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

 

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


Modified: 09/10/2014