Public Alert: Unregistered Soliciting Entities (PAUSE)
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 |
---|---|
12 West Capital Management | Impersonators of Genuine Firms |
Access Broker.com Inc | Impersonators of Genuine Firms |
Access Financial Investment | Impersonators of Genuine Firms |
Accrescent Holdings Inc. | Impersonators of Genuine Firms |
Accrued Equities Inc. | Impersonators of Genuine Firms |
Acquisition & Development Consulting, Inc. | Impersonators of Genuine Firms |
ADG Capital LLC | Impersonators of Genuine Firms |
Advance Partners LLC | Impersonators of Genuine Firms |
Advanced Global Securities Corporation | Impersonators of Genuine Firms |
Advisors Group, Inc. | Impersonators of Genuine Firms |
AIA Capital Markets, LLC | Impersonators of Genuine Firms |
Alliance Global Group | Impersonators of Genuine Firms |
Alliant Holdings I Inc. | Impersonators of Genuine Firms |
Alpha Investment Management LLC | Impersonators of Genuine Firms |
Altaris Capital Securities, LLC | Impersonators of Genuine Firms |
American Financial Group, Inc. | Impersonators of Genuine Firms |
Apex Global Finance | Impersonators of Genuine Firms |
Apex Stock Transfer Inc. | Impersonators of Genuine Firms |
Apexus Capital Investment | Impersonators of Genuine Firms |
Apollo Global Securities LLC | Impersonators of Genuine Firms |
Ardent Asset Advisors LP | Impersonators of Genuine Firms |
Arlington Securities Group | Impersonators of Genuine Firms |
Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc. | Impersonators of Genuine Firms |
Athens Capital Management LLC / Athens Investments | Impersonators of Genuine Firms |
Atlas Stock Transfer | Impersonators of Genuine Firms |
Avery Wealth | Impersonators of Genuine Firms |
Barton Advisors, LLC | Impersonators of Genuine Firms |
Beacon Capital Management Inc. | Impersonators of Genuine Firms |
Belmont Capital Holdings | Impersonators of Genuine Firms |
Best Investors Group, Inc. | Impersonators of Genuine Firms |
Bingham Consulting Group | Impersonators of Genuine Firms |
BlackBox Traders | Impersonators of Genuine Firms |
BNY Trading Services | Impersonators of Genuine Firms |
Boston Management & Research | Impersonators of Genuine Firms |
Bradford Securities LLC | Impersonators of Genuine Firms |
C&O Fund Distributor, Inc. | Impersonators of Genuine Firms |
Cain Capital LLC | Impersonators of Genuine Firms |
CAIS Capital LLC | Impersonators of Genuine Firms |
Cambridge Equity Corporation | Impersonators of Genuine Firms |
Cambridge Financial Partners LLC | Impersonators of Genuine Firms |
Capital Advisory Partners New York | Impersonators of Genuine Firms |
Capital One Management Inc. | Impersonators of Genuine Firms |
Chopper Securities | Impersonators of Genuine Firms |
Clydesdale Securities, LLC | Impersonators of Genuine Firms |
Colonial Square Acquisition LLC | Impersonators of Genuine Firms |
Coltin Securities LLC | Impersonators of Genuine Firms |
Condor Securities | Impersonators of Genuine Firms |
Corestone Distributors | Impersonators of Genuine Firms |
Cornerstone Financial Services | Impersonators of Genuine Firms |
Corporate Consulting Group Inc. | Impersonators of Genuine Firms |
Cotton Wood Stock Transfer | Impersonators of Genuine Firms |
Crest Equity Partners, LP | Impersonators of Genuine Firms |
Current Capital Securities Ltd/CCS Ltd | Impersonators of Genuine Firms |
Dailey Securities, Inc. | Impersonators of Genuine Firms |
David W. Jones, Attorney at Law | Impersonators of Genuine Firms |
DC Markets LLC | Impersonators of Genuine Firms |
Dean Witter Consultancy | Impersonators of Genuine Firms |
Digital Capital Markets LLC | Impersonators of Genuine Firms |
Drala-Capital | Impersonators of Genuine Firms |
Ebond Securities L.L.C. | Impersonators of Genuine Firms |
Echelon Capital | Impersonators of Genuine Firms |
Elite Investment | Impersonators of Genuine Firms |
Elite Investment Company, LLC | Impersonators of Genuine Firms |
Emerald Point Capital | Impersonators of Genuine Firms |
Empire Capital Partners | Impersonators of Genuine Firms |
Endeavor Capital Partners | Impersonators of Genuine Firms |
Europa Commodities, a.k.a. Europa Capital LLC | Impersonators of Genuine Firms |
FAP USA, L.P. | Impersonators of Genuine Firms |
FDX Advisors | Impersonators of Genuine Firms |
Fenix Securities | Impersonators of Genuine Firms |
Financial Asset Management, Inc. | Impersonators of Genuine Firms |
Financial Assets Corporation | Impersonators of Genuine Firms |
First Investment Securities | Impersonators of Genuine Firms |
First National Stock Transfer Inc. | Impersonators of Genuine Firms |
FORTRESS Investment Group | Impersonators of Genuine Firms |
FTI Brokers | Impersonators of Genuine Firms |
Fund Investors, Inc. | Impersonators of Genuine Firms |
G&L Partners, Inc. | Impersonators of Genuine Firms |
Gardner Financial Trading | Impersonators of Genuine Firms |
Gerard Wealth | Impersonators of Genuine Firms |
Global Buck Invest | Impersonators of Genuine Firms |
Global Capital Management, Inc. | Impersonators of Genuine Firms |
Global Capital Markets Worldwide | Impersonators of Genuine Firms |
Global Direct Equities LLC | Impersonators of Genuine Firms |
Global Equities, Inc. | Impersonators of Genuine Firms |
Global Financial Group Advisors | Impersonators of Genuine Firms |
Global Growth Acquisition Corporation | Impersonators of Genuine Firms |
Global Partners Securities | Impersonators of Genuine Firms |
Global Quest Emerging Fund LP | Impersonators of Genuine Firms |
Global Trading Group | Impersonators of Genuine Firms |
Goldman Capital Management | Impersonators of Genuine Firms |
Goldman-Investment.com | Impersonators of Genuine Firms |
Goldsmith & Harris | Impersonators of Genuine Firms |
Graystream Capital | Impersonators of Genuine Firms |
Great Southern Investment | Impersonators of Genuine Firms |
Green Knight Financial Services | Impersonators of Genuine Firms |
Green Wave Corporation | Impersonators of Genuine Firms |
Greentree Financial Advisors | Impersonators of Genuine Firms |
Greystone Asset Management | Impersonators of Genuine Firms |
Griffin Advisors Limited | Impersonators of Genuine Firms |
GS Global Asset Management LLC | Impersonators of Genuine Firms |
Hales Securities | Impersonators of Genuine Firms |
Harbor Light Securities Inc. | Impersonators of Genuine Firms |
HCC Global Financial Group | Impersonators of Genuine Firms |
Heritage Capital Ltd. | Impersonators of Genuine Firms |
Holland Capital Management | Impersonators of Genuine Firms |
Howard Gary & Company, Inc. | Impersonators of Genuine Firms |
IC Financial Services Inc. (d/b/a Centro Inversion or Investment Center) | Impersonators of Genuine Firms |
Illuminate Ventures Advisor Inc. | Impersonators of Genuine Firms |
Inter Prime Financial | Impersonators of Genuine Firms |
Investors Advisory Services, LLC | Impersonators of Genuine Firms |
J. Streicher & Co LLC | Impersonators of Genuine Firms |
JFA Advisors, LLC | Impersonators of Genuine Firms |
JPR Capital Corp. | Impersonators of Genuine Firms |
Kensington Advisory & Investment Group | Impersonators of Genuine Firms |
Legacy Capital Management, LLC | Impersonators of Genuine Firms |
Liberty Transfer Co. | Impersonators of Genuine Firms |
Lincoln International Fund LP | Impersonators of Genuine Firms |
Litmus Capital Management Group LLC | Impersonators of Genuine Firms |
LM Waterhouse | Impersonators of Genuine Firms |
Loeb King Capital Management | Impersonators of Genuine Firms |
M&A Securities Group | Impersonators of Genuine Firms |
Macallaster Pitfield Mackay Inc. | Impersonators of Genuine Firms |
Macellum Capital Management, LLC | Impersonators of Genuine Firms |
Macros Investment, Inc. | Impersonators of Genuine Firms |
MAGV Securities | Impersonators of Genuine Firms |
Manhasset Capital Management Group | Impersonators of Genuine Firms |
Manhattan Acquisition Corp. | Impersonators of Genuine Firms |
Mason Securities LLC | Impersonators of Genuine Firms |
Maxwell Financial Services | Impersonators of Genuine Firms |
May Capital Group | Impersonators of Genuine Firms |
May Capital Group LLC | Impersonators of Genuine Firms |
MC Capital Markets LLC | Impersonators of Genuine Firms |
Metcap Securities | Impersonators of Genuine Firms |
MIT Associates Incorporated | Impersonators of Genuine Firms |
Moreton Capital | Impersonators of Genuine Firms |
Morgan Investment Management | Impersonators of Genuine Firms |
NBI Energy | Impersonators of Genuine Firms |
New Alliance Securities, Inc. | Impersonators of Genuine Firms |
New York City Investment Fund Inc. | Impersonators of Genuine Firms |
New York Global Group, Inc. | Impersonators of Genuine Firms |
Newcastle Distributors | Impersonators of Genuine Firms |
NW Advisors LLC | Impersonators of Genuine Firms |
O'Coone, McCormack & Button Ltd. | Impersonators of Genuine Firms |
Obrien & Shepard Inc. | Impersonators of Genuine Firms |
Ocminvestments.ltd. | Impersonators of Genuine Firms |
Octacoin Capital | Impersonators of Genuine Firms |
Offutt Securities Inc. | Impersonators of Genuine Firms |
Omnicap, LLC | Impersonators of Genuine Firms |
Osprey Partners LLC | Impersonators of Genuine Firms |
P.A.N. Securities LP | Impersonators of Genuine Firms |
P.J. Solomon Securities LLC, a.k.a. P.J. Solomon LLC | Impersonators of Genuine Firms |
Pacific American Securities | Impersonators of Genuine Firms |
Pacific Capital Management LLC | Impersonators of Genuine Firms |
Palmieri Angnardo & Co Inc. | Impersonators of Genuine Firms |
Paragon Capital Group, Inc. | Impersonators of Genuine Firms |
Parkbrook Capital Inc. aka Parkbrook Inc. | Impersonators of Genuine Firms |
PCA Capital | Impersonators of Genuine Firms |
Pex Global Inc. | Impersonators of Genuine Firms |
PFS Investments | Impersonators of Genuine Firms |
Pointe Atlantic | Impersonators of Genuine Firms |
Portfolio Investment Co. Ltd. | Impersonators of Genuine Firms |
Princeton Capital Investments, Inc. | Impersonators of Genuine Firms |
Progress Investments LLC | Impersonators of Genuine Firms |
Provident Capital Management | Impersonators of Genuine Firms |
Qatalyst Partners, L.P. | Impersonators of Genuine Firms |
Redmond Asset Management, LLC | Impersonators of Genuine Firms |
Regal Investments d/b/a Regal Holdings USA Inc. | Impersonators of Genuine Firms |
Regency Group Inc. | Impersonators of Genuine Firms |
Reliance Capital Management Advisors | Impersonators of Genuine Firms |
Relion Assets Management | Impersonators of Genuine Firms |
Richfield Orion International Group | Impersonators of Genuine Firms |
RidgeWood Securities | Impersonators of Genuine Firms |
Rothman Securities | Impersonators of Genuine Firms |
Santander Investment Securities Group | Impersonators of Genuine Firms |
SB Capital Management | Impersonators of Genuine Firms |
SBV Venture Partners, a.k.a. SBV Venture Partners Law Services | Impersonators of Genuine Firms |
Seale Capital Inc. | Impersonators of Genuine Firms |
SeedChange Inc./SeedChange Execution Services Inc. | Impersonators of Genuine Firms |
Select American Transfer Co. | Impersonators of Genuine Firms |
Seward, Groves, Richard and Wells | Impersonators of Genuine Firms |
Smart Capital Investment, LP | Impersonators of Genuine Firms |
Solution Capital Partners LP | Impersonators of Genuine Firms |
South Atlantic Securities | Impersonators of Genuine Firms |
Southampton Investment Services Inc. | Impersonators of Genuine Firms |
Standard New York Securities Corporation | Impersonators of Genuine Firms |
Stargate Advisors Limited | Impersonators of Genuine Firms |
Stargroove Trade Ltd., a.k.a. Stargroove Corporation | Impersonators of Genuine Firms |
Stateside Capital, LLC | Impersonators of Genuine Firms |
Stax Capital | Impersonators of Genuine Firms |
Stern Fisher Edwards Corp. | Impersonators of Genuine Firms |
Steve Pearson Capital Management | Impersonators of Genuine Firms |
Stonebridge Securities | Impersonators of Genuine Firms |
Stronghold Capital Partners | Impersonators of Genuine Firms |
Swiftsure Securities Limited | Impersonators of Genuine Firms |
Synergy Capital, LLC | Impersonators of Genuine Firms |
Taylor Stuart Financial Inc. | Impersonators of Genuine Firms |
The Mayhill Agency | Impersonators of Genuine Firms |
Trendline Futures Inc. | Impersonators of Genuine Firms |
Trident Capital Management, LLC | Impersonators of Genuine Firms |
Truman Stock Transfer LLC | Impersonators of Genuine Firms |
TTBD Traders | Impersonators of Genuine Firms |
Unifund America, Inc. | Impersonators of Genuine Firms |
UST Financial Services Corp. | Impersonators of Genuine Firms |
Vantage Global Advisors Inc. | Impersonators of Genuine Firms |
Variant Trading | Impersonators of Genuine Firms |
Wall Street Systems Holdings, Inc. | Impersonators of Genuine Firms |
Wampum Group LLC | Impersonators of Genuine Firms |
Watson Sandy Holding Co. | Impersonators of Genuine Firms |
Welborn Capital & Partners LLC, a.k.a. Welborn Capital (sic) LLC, a.k.a. Welborn Capital Partners Inc. | Impersonators of Genuine Firms |
Wellington Capital Markets | Impersonators of Genuine Firms |
Welsh Securities LLC | Impersonators of Genuine Firms |
West Coast Financial LLC, a.k.a. WC Financial Group LLC | Impersonators of Genuine Firms |
West Coast Stock Transfer Inc. | Impersonators of Genuine Firms |
Western Equities Corporation | Impersonators of Genuine Firms |
Woori Investment & Securities America, Inc. | Impersonators of Genuine Firms |
Worldwide Transfer and Trust | Impersonators of Genuine Firms |
X-Clearing Corporation | Impersonators of Genuine Firms |
Zeus Financial Trades | Impersonators of Genuine Firms |