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.
New Alliance Securities, Inc.
[ Impersonators of Genuine Firms ]
(No address provided.)
July 25, 2019
- 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.