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The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.

Capital One Management Inc.

[ Impersonators of Genuine Firms ]

Maine Business Center
415 Congress Street, Suite 102
Portland, ME 04101
Phone: 212-330-9008
Fax: 212-330-9009

July 19, 2019

  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 ( 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
  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.
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