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.

Smith and Lockhart Associates

[ Unregistered Soliciting Entities ]

47-C Broad Street
New York, NY 10004
Phone: 914-517-2749
Fax: 914-560-2286

July 30, 2019