Public Alert: Unregistered Soliciting Entities (PAUSE)

List of Unregistered Soliciting Entities That Have Been the Subject of Investor Complaints

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities that claim to be registered, licensed and/or located in the United States in their solicitation of non-US investors, and entities not registered in the United States that are soliciting US investors.

In some cases, the complaints are about entities claiming to offer investments endorsed by governmental agencies, including the SEC. These claims are important because when an entity claims to be registered with the SEC, it is in effect claiming that it has made itself available for SEC regulation and oversight. Generally, US entities that solicit you to purchase or sell securities for your own account are required to register with the SEC. For this reason, it is important for you to consider whether the entity that solicits you is, in fact, registered with the SEC.

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 named below, 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.

Additional PAUSE Lists

In addition to the unregistered soliciting entities listed below, the SEC also receives complaints about entities impersonating genuine US registered securities firms as well as entities falsely claiming affiliation with government agencies or international organizations, including the SEC:

You should be aware that these lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities.

You can view the official SEC release describing and providing more details about these lists. If you have information, questions or comments about the entities on this list, submit a question or complaint to the SEC.

Alphabetical Index
# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
Name Comment

A

Alliance Group, Inc.
Alliance Insurance Agency

60 Pine Street
New York, NY 10005
Phone: 646-417-6866
Fax: 646-417-6302
Website: http://www.alliance-insagt.com/
    American First Securities
    2576 Broadway, Suite 5000
    New York, NY 10025
    Phone: (646) 658-3167
    Fax: (646) 619-4357
    Website: http://www.american1stsecurities.com
      Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd.
      405 Lexington Avenue,
      New York, NY
      Phone: 646-502-8763
      Fax: 646-607-3578
      Website: http://afspartners.net/
        Anderson Ford Financial
        11 Wall Street
        New York, NY 10005
        Phone: 718-475-9262
        Website: http://www.andersonfordfinance.com
          Atlantis Capital Partners, Inc.
          2100 Southbridge Parkway, Suite 520
          Birmingham, AL, 35209
          Phone: 205-224-9210
          Fax: 205-413-8892
          Website: http://www.atlantiscp.com

            B

            Banc De Binary
            Trump Tower
            40 Wall Street
            New York, NY 10005
            Phone: 800-656-6163
            Fax: 866-779-4265
            Website: http://www.bbinary.com/
              Bank Guarantee Funding
              40 Wall Street, Trump Building
              New York, NY 10005
              Phone: (646) 580-5543
              Website: http://www.bankguaranteefunding.com
                Brentcliffe Limited
                175 South Main
                Salt Lake City, UT 84111
                Website: http://www.brentcliffeltd.com
                  Brookdale Management Consultancy, Inc.
                  88 Broad Street
                  New York, NY 10004
                  Phone: 646-564-5652
                  Website: http://www.brookdalemci.com

                    C

                    Cannon Corporate Consultants
                    240 W. 35th Street
                    New York, NY 10001
                    Phone: 646-564-5657
                    Website: http://www.cannoncorporateconsultants.com
                      Carlson and Clarke
                      76 S. Broadway
                      White Plains, NY 10601
                      Phone: 914-485-8521
                      Fax: 914-462-3390
                      Website: http://www.carlsonandclarke.com
                        Carlsson and Capehart Group, Ltd.
                        555 West Fulton Street
                        Chicago, IL 60661
                        Phone: 872-302-8093
                        Fax: 872-777-8188
                        Website: http://www.carlssoncapehartltd.com
                          Chartered Capital Management
                          261 Old York Road
                          Jenkintown, PA 19046
                          Phone: 215-302-6029
                          Fax: 215-814-8901
                          Website: http://charteredcm.com/
                            Cohen & Partners
                            71 Harrison Avenue
                            Boston, MA 02111
                            Phone: 617-517-3027
                            Fax: 617-507-4663
                            Website: http://www.cohenandpartners.com
                              Coreen Bradford Insurance
                              153 E. Wacker Drive
                              Chicago, IL 60601
                              Phone: 312-628-1287, 815-280-0375
                              Website: http://coreenbradfordinsurance.com/
                                CPI International
                                Equitable Building
                                Floor 23, Suite 1996
                                120 Broadway
                                New York, NY 10271
                                Phone: 646-389-1920
                                Fax: 646-389-1923
                                Website: http://www.cpiint.com/

                                  D

                                  David, Scott & Allen PLLC
                                  155 E. 55th Street
                                  New York, NY 10022
                                  Phone: (917) 675-4353
                                  Website: http://www.seclawprofessionals.com

                                    E

                                    Ellipse Trading
                                    Liberty Tower, 12th Floor
                                    William Street
                                    New York, NY 10005
                                    Phone: (516) 307-5279
                                    Fax: (516) 706-0792
                                    Website: http://www.ellipsetrading.us

                                      F

                                      Federal Capital, Inc.
                                      459 Columbus Avenue
                                      New York, NY 10024
                                      Phone: 914-293-1451
                                      Fax: 914-462-3763
                                      Website: http://www.federalcap.us
                                        First Escrow Trust
                                        96 Greene Street
                                        Jersey City, NJ 07302
                                        Phone: 201-655-7339
                                        Website: http://www.fetintl.com
                                          First Financial Management
                                          255 W. 36th Street
                                          New York, NY 10018-7798
                                          Phone: 646-351-1282
                                          Fax: 646-961-4811
                                          Website: http://firstfinancialmgmt.com/
                                          First Trade Securities
                                          34485 Winton Place
                                          Rochester, NY
                                          Phone: 646-626-4215
                                          Fax: 646-619-4694
                                          Website: http://www.firsttradesec.com
                                            Fundamental Trading Inc.
                                            296 South County Farm Road
                                            Wheaton, IL 60187-2440
                                            Phone: 630-206-5845
                                            Fax: 630-206-5847
                                            Website: http://fundamentaltradinginc.com/

                                              G

                                              Global Asset Management Inc.
                                              New York, NY 10003
                                              Website: http://globalassetmanagementinc.net/
                                                Greenberg International Law & Tax Advisory
                                                184 5th Avenue, Flatiron Building
                                                New York, NY 10010
                                                (and)
                                                One Constitution Plaza, Kinsley Street
                                                Hartford, CT 06103
                                                Website: http://www.greenbergtaxandlaws.com
                                                  Gruber and Green, Inc.
                                                  311 Florence Avenue, 24th Floor, Suite 12
                                                  Evanston, Chicago, IL 60202
                                                  Phone: 224-217-9852
                                                  Fax: 225-282-1010
                                                  Website: http://www.gruberandgreeninc.com/
                                                  (The website is no longer accessible.)

                                                    I

                                                    Impact Finance
                                                    225 Franklin Street, 26th floor
                                                    Boston, MA 02110
                                                    Phone: 857-239-0450
                                                    Fax: 857-220-3000
                                                    Website: http://www.impact-finance.net/
                                                      International Mergers
                                                      City Spire Center, Level 4, 150 & 156
                                                      West 56th Street
                                                      New York, NY
                                                      Phone: 212-401-0689
                                                      Fax: 646-619-4166
                                                      Website: http://mergers-intl.com/
                                                        IPO Securities Litigation
                                                        Website: http://www.iposecuritieslitigation.org

                                                          K

                                                          Keystone Corporate Group
                                                          225-256 Vesey Street
                                                          New York, NY 10282
                                                          Phone: (646) 759-7696
                                                          Website: http://www.keystonecorporategrp.com

                                                            L

                                                            Lead Global Ltd.
                                                            448 142nd Street
                                                            New York, NY
                                                            Phone: (646) 513-4426
                                                            Website: http://www.leadglobalhk.com

                                                              M

                                                              M&A Securities Group
                                                              4151 N. Mulberry Drive, Suite 252
                                                              Kansas City, MO 64116
                                                              Phone: (660) 530-8078
                                                              Fax: (567) 429-0445
                                                              Website: http://www.masecgroup.com

                                                                N

                                                                NT Financial Services
                                                                808 Broadway, #11
                                                                New York, NY 10003
                                                                Phone: 212-247-1708
                                                                Fax: 212-937-3669
                                                                Website: http://www.ntfinancialservices.net/ (The domain is suspended.)

                                                                  O

                                                                  Oasis Mergers & Acquisitions
                                                                  1501 Heritage Ln
                                                                  Florence, SC 29505
                                                                  Phone: 843-432-1352
                                                                  Fax: 843-413-4893
                                                                  Website: http://www.oasisma.us

                                                                    P

                                                                    Plutus Private Equity LLP
                                                                    1 Mystic View Road
                                                                    Boston, MA 02149
                                                                    Website: http://plutuspe.com/

                                                                      S

                                                                      Sheppard Capital Partners
                                                                      7 South 16th Street
                                                                      Philadelphia, PA 19103
                                                                      Phone: 267-861-0723
                                                                      Fax: 267-543-5706
                                                                      Website: http://sheppardcp.com
                                                                        Strategic Private Equity LLC
                                                                        103 E 29th street
                                                                        New York, NY 10016
                                                                        Phone: (212) 808-0486
                                                                        Website: http://www.strategicpe.com

                                                                          T

                                                                          Taxwise Consultants
                                                                          13-15 West 28th Street, Level 4
                                                                          New York, NY 10001
                                                                          Phone: (212) 796-0786
                                                                          Fax: (646) 786-4598
                                                                          Website: http://www.taxwise.org
                                                                            The Firm Inc., a.k.a. The Ottoman Group
                                                                            590 Madison Avenue, 21st Floor
                                                                            New York, NY 10022
                                                                            Phone: 917-521-4137
                                                                            Website: http://thefirmincorp.com/

                                                                              U

                                                                              Uinvest, Inc.
                                                                              9595 Wilshire Blvd, Suite 900
                                                                              Beverly Hills, CA 90212
                                                                              Phone: 800-861-8468, 310-860-6971
                                                                              Website: https://uinvest.com.ua

                                                                                W

                                                                                Walters and Reed
                                                                                100 W. 10th Street
                                                                                Wilmington, DE 19801
                                                                                Phone: 302-966-0161
                                                                                Website: http://www.waltersreed.com

                                                                                &

                                                                                9440 Wilshire Blvd, Floor 14 and 15
                                                                                Beverly Hills, CA 90212
                                                                                Phone: 213-325-5124
                                                                                  Westgate Consulting Group
                                                                                  23 Park Place
                                                                                  New York, NY 10007
                                                                                  Phone: 646-893-0942
                                                                                  Fax: 646-304-1228
                                                                                  Website: http://www.westgateconsultinggrp.com
                                                                                    Westhill Partners, Inc.
                                                                                    271 Madison Avenue
                                                                                    New York, NY 10016
                                                                                    Phone: 212-796-5514
                                                                                    Fax: 212-504-2770
                                                                                    Website: http://westhillpartners.us