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.

Unregistered Soliciting Entities

These are entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors.

In many cases, SEC investigation reveals that the soliciting entities are not registered in the United States as they claim or imply. In an effort to warn the public about these entities, the SEC is publishing information it has learned in reviewing these complaints.

For each of the entities listed, the SEC has determined that there is no US registered securities firm with this name. Where applicable, the "Note" section for each entity provides additional relevant information we have learned. The SEC will regularly update this list.

Fictitious Regulators

These are entities that falsely claim to be a regulator, governmental agency, or international organization that do not exist.

In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. Where applicable, the "Note" section for each entity provides additional relevant information we have learned. The SEC will regularly update this list.

Impersonators of Genuine Firms

These are legitimate entities/firms whose information were wrongfully appropriated. This information may include legitimate entity’s name, address, registration number, and website likeness.

The information was wrongfully appropriated 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 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.

 
Name
Category
Name: 12 West Capital Management
Category: Impersonators of Genuine Firms
Name: Access Broker.com Inc
Category: Impersonators of Genuine Firms
Name: Accrescent Holdings Inc.
Category: Impersonators of Genuine Firms
Name: Acquisition & Development Consulting, Inc.
Category: Impersonators of Genuine Firms
Name: ADG Capital LLC
Category: Impersonators of Genuine Firms
Name: Advance Partners LLC
Category: Impersonators of Genuine Firms
Name: Advanced Global Securities Corporation
Category: Impersonators of Genuine Firms
Name: Advisors Group, Inc.
Category: Impersonators of Genuine Firms
Name: AIA Capital Markets, LLC
Category: Impersonators of Genuine Firms
Name: Alliant Holdings I Inc.
Category: Impersonators of Genuine Firms
Name: Alpha Investment Management LLC
Category: Impersonators of Genuine Firms
Name: American Financial Group, Inc.
Category: Impersonators of Genuine Firms
Name: Apex Stock Transfer Inc.
Category: Impersonators of Genuine Firms
Name: Ardent Asset Advisors LP
Category: Impersonators of Genuine Firms
Name: Arlington Securities Group
Category: Impersonators of Genuine Firms
Name: Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc.
Category: Impersonators of Genuine Firms
Name: Atlas Stock Transfer
Category: Impersonators of Genuine Firms
Name: Barton Advisors, LLC
Category: Impersonators of Genuine Firms
Name: Beacon Capital Management Inc.
Category: Impersonators of Genuine Firms
Name: Belmont Capital Holdings
Category: Impersonators of Genuine Firms
Name: Best Investors Group, Inc.
Category: Impersonators of Genuine Firms
Name: Bingham Consulting Group
Category: Impersonators of Genuine Firms
Name: BlackBox Traders
Category: Impersonators of Genuine Firms
Name: BNY Trading Services
Category: Impersonators of Genuine Firms
Name: Boston Management & Research
Category: Impersonators of Genuine Firms
Name: Bradford Securities LLC
Category: Impersonators of Genuine Firms
Name: C&O Fund Distributor, Inc.
Category: Impersonators of Genuine Firms
Name: Cain Capital LLC
Category: Impersonators of Genuine Firms
Name: CAIS Capital LLC
Category: Impersonators of Genuine Firms
Name: Cambridge Equity Corporation
Category: Impersonators of Genuine Firms
Name: Cambridge Financial Partners LLC
Category: Impersonators of Genuine Firms
Name: Capital Advisory Partners New York
Category: Impersonators of Genuine Firms
Name: Capital One Management Inc.
Category: Impersonators of Genuine Firms
Name: Chopper Securities
Category: Impersonators of Genuine Firms
Name: Clydesdale Securities, LLC
Category: Impersonators of Genuine Firms
Name: Colonial Square Acquisition LLC
Category: Impersonators of Genuine Firms
Name: Coltin Securities LLC
Category: Impersonators of Genuine Firms
Name: Condor Securities
Category: Impersonators of Genuine Firms
Name: Corestone Distributors
Category: Impersonators of Genuine Firms
Name: Cornerstone Financial Services
Category: Impersonators of Genuine Firms
Name: Cotton Wood Stock Transfer
Category: Impersonators of Genuine Firms
Name: Crest Equity Partners, LP
Category: Impersonators of Genuine Firms
Name: Dailey Securities, Inc.
Category: Impersonators of Genuine Firms
Name: David W. Jones, Attorney at Law
Category: Impersonators of Genuine Firms
Name: Dean Witter Consultancy
Category: Impersonators of Genuine Firms
Name: Ebond Securities L.L.C.
Category: Impersonators of Genuine Firms
Name: Emerald Point Capital
Category: Impersonators of Genuine Firms
Name: Empire Capital Partners
Category: Impersonators of Genuine Firms
Name: Endeavor Capital Partners
Category: Impersonators of Genuine Firms
Name: Europa Commodities, a.k.a. Europa Capital LLC
Category: Impersonators of Genuine Firms
Name: FAP USA, L.P.
Category: Impersonators of Genuine Firms
Name: Financial Asset Management, Inc.
Category: Impersonators of Genuine Firms
Name: First Investment Securities
Category: Impersonators of Genuine Firms
Name: First National Stock Transfer Inc.
Category: Impersonators of Genuine Firms
Name: FORTRESS Investment Group
Category: Impersonators of Genuine Firms
Name: Fund Investors, Inc.
Category: Impersonators of Genuine Firms
Name: G&L Partners, Inc.
Category: Impersonators of Genuine Firms
Name: Gardner Financial Trading
Category: Impersonators of Genuine Firms
Name: Global Capital Management, Inc.
Category: Impersonators of Genuine Firms
Name: Global Capital Markets Worldwide
Category: Impersonators of Genuine Firms
Name: Global Direct Equities LLC
Category: Impersonators of Genuine Firms
Name: Global Equities, Inc.
Category: Impersonators of Genuine Firms
Name: Global Financial Group Advisors
Category: Impersonators of Genuine Firms
Name: Global Growth Acquisition Corporation
Category: Impersonators of Genuine Firms
Name: Global Partners Securities
Category: Impersonators of Genuine Firms
Name: Global Quest Emerging Fund LP
Category: Impersonators of Genuine Firms
Name: Global Trading Group
Category: Impersonators of Genuine Firms
Name: Goldman Capital Management
Category: Impersonators of Genuine Firms
Name: Goldsmith & Harris
Category: Impersonators of Genuine Firms
Name: Great Southern Investment
Category: Impersonators of Genuine Firms
Name: Green Wave Corporation
Category: Impersonators of Genuine Firms
Name: Greentree Financial Advisors
Category: Impersonators of Genuine Firms
Name: Greystone Asset Management
Category: Impersonators of Genuine Firms
Name: Griffin Advisors Limited
Category: Impersonators of Genuine Firms
Name: GS Global Asset Management LLC
Category: Impersonators of Genuine Firms
Name: Hales Securities
Category: Impersonators of Genuine Firms
Name: Harbor Light Securities Inc.
Category: Impersonators of Genuine Firms
Name: HCC Global Financial Group
Category: Impersonators of Genuine Firms
Name: Holland Capital Management
Category: Impersonators of Genuine Firms
Name: Howard Gary & Company, Inc.
Category: Impersonators of Genuine Firms
Name: Illuminate Ventures Advisor Inc.
Category: Impersonators of Genuine Firms
Name: Investors Advisory Services, LLC
Category: Impersonators of Genuine Firms
Name: J. Streicher & Co LLC
Category: Impersonators of Genuine Firms
Name: JPR Capital Corp.
Category: Impersonators of Genuine Firms
Name: Kensington Advisory & Investment Group
Category: Impersonators of Genuine Firms
Name: Legacy Capital Management, LLC
Category: Impersonators of Genuine Firms
Name: Liberty Transfer Co.
Category: Impersonators of Genuine Firms
Name: Lincoln International Fund LP
Category: Impersonators of Genuine Firms
Name: Litmus Capital Management Group LLC
Category: Impersonators of Genuine Firms
Name: M&A Securities Group
Category: Impersonators of Genuine Firms
Name: Macallaster Pitfield Mackay Inc.
Category: Impersonators of Genuine Firms
Name: Macellum Capital Management, LLC
Category: Impersonators of Genuine Firms
Name: Macros Investment, Inc.
Category: Impersonators of Genuine Firms
Name: MAGV Securities
Category: Impersonators of Genuine Firms
Name: Manhasset Capital Management Group
Category: Impersonators of Genuine Firms
Name: Manhattan Acquisition Corp.
Category: Impersonators of Genuine Firms
Name: Manor Private Capital, LLC
Category: Impersonators of Genuine Firms
Name: Mason Securities LLC
Category: Impersonators of Genuine Firms
Name: Maxwell Financial Services
Category: Impersonators of Genuine Firms
Name: MC Capital Markets LLC
Category: Impersonators of Genuine Firms
Name: Metcap Securities
Category: Impersonators of Genuine Firms
Name: MIT Associates Incorporated
Category: Impersonators of Genuine Firms
Name: Morgan Investment Management
Category: Impersonators of Genuine Firms
Name: NBI Energy
Category: Impersonators of Genuine Firms
Name: New Alliance Securities, Inc.
Category: Impersonators of Genuine Firms
Name: New York City Investment Fund Inc.
Category: Impersonators of Genuine Firms
Name: New York Global Group, Inc.
Category: Impersonators of Genuine Firms
Name: Newcastle Distributors
Category: Impersonators of Genuine Firms
Name: NW Advisors LLC
Category: Impersonators of Genuine Firms
Name: O'Coone, McCormack & Button Ltd.
Category: Impersonators of Genuine Firms
Name: Obrien & Shepard Inc.
Category: Impersonators of Genuine Firms
Name: Offutt Securities Inc.
Category: Impersonators of Genuine Firms
Name: Osprey Partners LLC
Category: Impersonators of Genuine Firms
Name: P.A.N. Securities LP
Category: Impersonators of Genuine Firms
Name: P.J. Solomon Securities LLC, a.k.a. P.J. Solomon LLC
Category: Impersonators of Genuine Firms
Name: Pacific American Securities
Category: Impersonators of Genuine Firms
Name: Pacific Capital Management LLC
Category: Impersonators of Genuine Firms
Name: Paragon Capital Group, Inc.
Category: Impersonators of Genuine Firms
Name: Parkbrook Capital Inc. aka Parkbrook Inc.
Category: Impersonators of Genuine Firms
Name: Pex Global Inc.
Category: Impersonators of Genuine Firms
Name: PFS Investments
Category: Impersonators of Genuine Firms
Name: Pointe Atlantic
Category: Impersonators of Genuine Firms
Name: Portfolio Investment Co. Ltd.
Category: Impersonators of Genuine Firms
Name: Princeton Capital Investments, Inc.
Category: Impersonators of Genuine Firms
Name: Progress Investments LLC
Category: Impersonators of Genuine Firms
Name: Provident Capital Management
Category: Impersonators of Genuine Firms
Name: Qatalyst Partners, L.P.
Category: Impersonators of Genuine Firms
Name: Regency Group Inc.
Category: Impersonators of Genuine Firms
Name: Reliance Capital Management Advisors
Category: Impersonators of Genuine Firms
Name: Richfield Orion International Group
Category: Impersonators of Genuine Firms
Name: RidgeWood Securities
Category: Impersonators of Genuine Firms
Name: Rothman Securities
Category: Impersonators of Genuine Firms
Name: Santander Investment Securities Group
Category: Impersonators of Genuine Firms
Name: SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
Category: Impersonators of Genuine Firms
Name: Seale Capital Inc.
Category: Impersonators of Genuine Firms
Name: Select American Transfer Co.
Category: Impersonators of Genuine Firms
Name: Seward, Groves, Richard and Wells
Category: Impersonators of Genuine Firms
Name: Solution Capital Partners LP
Category: Impersonators of Genuine Firms
Name: South Atlantic Securities
Category: Impersonators of Genuine Firms
Name: Southampton Investment Services Inc.
Category: Impersonators of Genuine Firms
Name: Standard New York Securities Corporation
Category: Impersonators of Genuine Firms
Name: Stargate Advisors Limited
Category: Impersonators of Genuine Firms
Name: Stargroove Trade Ltd., a.k.a. Stargroove Corporation
Category: Impersonators of Genuine Firms
Name: Stateside Capital, LLC
Category: Impersonators of Genuine Firms
Name: Stern Fisher Edwards Corp.
Category: Impersonators of Genuine Firms
Name: Steve Pearson Capital Management
Category: Impersonators of Genuine Firms
Name: Stonebridge Securities
Category: Impersonators of Genuine Firms
Name: Stronghold Capital Partners
Category: Impersonators of Genuine Firms
Name: Swiftsure Securities Limited
Category: Impersonators of Genuine Firms
Name: Synergy Capital, LLC
Category: Impersonators of Genuine Firms
Name: Taylor Stuart Financial Inc.
Category: Impersonators of Genuine Firms
Name: Trendline Futures Inc.
Category: Impersonators of Genuine Firms
Name: Trident Capital Management, LLC
Category: Impersonators of Genuine Firms
Name: Truman Stock Transfer LLC
Category: Impersonators of Genuine Firms
Name: Unifund America, Inc.
Category: Impersonators of Genuine Firms
Name: UST Financial Services Corp.
Category: Impersonators of Genuine Firms
Name: Vantage Global Advisors Inc.
Category: Impersonators of Genuine Firms
Name: Wall Street Systems Holdings, Inc.
Category: Impersonators of Genuine Firms
Name: Wampum Group LLC
Category: Impersonators of Genuine Firms
Name: Watson Sandy Holding Co.
Category: Impersonators of Genuine Firms
Name: Welborn Capital & Partners LLC, a.k.a. Welborn Capiltal (sic) LLC, a.k.a. Welborn Capital Partners Inc.
Category: Impersonators of Genuine Firms
Name: Wellington Capital Markets
Category: Impersonators of Genuine Firms
Name: Welsh Securities LLC
Category: Impersonators of Genuine Firms
Name: West Coast Financial LLC, a.k.a. WC Financial Group LLC
Category: Impersonators of Genuine Firms
Name: West Coast Stock Transfer Inc.
Category: Impersonators of Genuine Firms
Name: Western Equities Corporation
Category: Impersonators of Genuine Firms
Name: Woori Investment & Securities America, Inc.
Category: Impersonators of Genuine Firms
Name: Worldwide Transfer and Trust
Category: Impersonators of Genuine Firms
Name: X-Clearing Corporation
Category: Impersonators of Genuine Firms