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
          Apex Capital Acquisition Group
          601 W Main Ave #822
          Spokane, WA 99201
          Phone: 1-509-651-5471 Ext. 164
          Website: http://apexcapitalag.com
            Ares Acquisitions
            620 Lexington Avenue
            New York, NY 10022
            Phone: 1-646-362-6462
            Fax: None
            Email: info@aresacquisitions.com
            Website: www.aresacquisitions.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
                Aton Capital Invest
                151 N State St
                Chicago, IL 60601
                Phone: 1-312-488-4690
                Fax: 1-312-628-2023
                Website: www.atoncapitalinvest.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/
                    Baker Hamlin
                    211 West Adams Street
                    Suite 302
                    Chicago, IL 60606
                    Phone: 1-844-208-5616
                    Fax: None
                    Email: info@bakerhamlin.com
                    Website: www.bakerhamlin.com
                      Bank Guarantee Funding
                      40 Wall Street, Trump Building
                      New York, NY 10005
                      Phone: 646-580-5543
                      Website: http://www.bankguaranteefunding.com
                        Bradley & Nowell
                        262 Chapman Road #105d
                        Newark, DE 19702
                        Phone: 302-396-6421
                        Fax: None
                        Website: http://www.bradleynowell.com

                          Brentcliffe Limited
                          175 South Main
                          Salt Lake City, UT 84111
                          Phone: None
                          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
                                    Cartwright Law Specialist Boston
                                    200 Clarendon Street
                                    Boston, MA 02116-5009
                                    Phone: 1-857-302-3796
                                    Fax: None
                                    Email: administration@carrwrightlawspecialists.com
                                    Website: www.cartwrightlawspecialist.com
                                      Casey McCormick Private Equity
                                      260 Peachtree Street, NW
                                      Suite 1200
                                      Atlanta, GA 30303
                                      Phone: 404-445-1538
                                      Fax: 404-445-1538
                                      Website: http://www.caseymccomickpe.com
                                        CDN Law
                                        Seaport West
                                        155 Seaport Boulevard
                                        Boston, MA 02210
                                        Phone: 1-617-372-9680
                                        Fax: None
                                        Email: info@cdnlawfirm.com
                                        Website: www.cdnlawfirm.com
                                          Century Holdings Ltd
                                          Suite 7002
                                          1350 Avenue of Americas
                                          New York, NY 10019
                                          Phone: 1-646-926-1984
                                          Website: http://www.centuryholdingsltd.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
                                                Colbert & Welling LLP
                                                State House, Room 373
                                                Boston, MA 02133
                                                Phone: 857-302-4191 Website: http://www.colbert-welling.org
                                                  Coreen Bradford Insurance
                                                  153 E. Wacker Drive
                                                  Chicago, IL 60601
                                                  Phone: 312-628-1287, 815-280-0375
                                                  Website: http://coreenbradfordinsurance.com/
                                                    Costello & Rubin
                                                    Attorneys at Law

                                                    Exchange Place
                                                    53 State Street
                                                    Boston, MA 02109
                                                    Phone: 857-362-1605
                                                    Fax: None
                                                    Website: http://www.candr-lawyers.net
                                                      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
                                                          Dixon Associates
                                                          551 W 59th Street
                                                          New York, NY 10019
                                                          Phone: 1-646-757-1236
                                                          Website: http://dixonassociatesltd.com
                                                            Dukes Merger & Acquisitions, Inc.
                                                            134 S. 13th Street
                                                            Unit 505
                                                            Lincoln, NE 68508
                                                            Phone: 1-402-817-7287 and 1-402-923-6044
                                                            Fax: None
                                                            Email: support@dukesma.com
                                                            Website: www.dukesma.com

                                                              E

                                                              East Coast Law Florida
                                                              Panorama Tower
                                                              Miami, FL 33131
                                                              Phone: 1-786-523-0117
                                                              Fax: None
                                                              Email: admin@eclawflorida.com
                                                              Website: http://eclawflorida.com
                                                                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
                                                                          Phone: None
                                                                          Website: http://globalassetmanagementinc.net/
                                                                            Global Financial Tree
                                                                            1024 Iron Point Road
                                                                            Suite #100-1329
                                                                            Folsom, CA 95630
                                                                            Phone: 1-800-316-9075
                                                                            Website: http://globalfinancialtree.com/
                                                                              Global Security Transfer
                                                                              4 Metrotech Center
                                                                              New York, NY
                                                                              Phone: 212-461-3238
                                                                              Website: http://www.global-transfers.com
                                                                                Greenberg International Law & Tax Advisory
                                                                                184 5th Avenue, Flatiron Building
                                                                                New York, NY 10010
                                                                                Phone: None
                                                                                (and)
                                                                                One Constitution Plaza, Kinsley Street
                                                                                Hartford, CT 06103
                                                                                Phone: None
                                                                                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.)

                                                                                    H

                                                                                    Hamza and Associates
                                                                                    1860 Blake Street
                                                                                    Suite 400
                                                                                    Denver, CO 80202
                                                                                    Phone: None
                                                                                    Fax: None
                                                                                    Email: lawyers@hamzaassoc.com
                                                                                    Website: www.hamzaassoc.com

                                                                                      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
                                                                                                Leo Equities
                                                                                                30 Broadway
                                                                                                New York, NY 10004
                                                                                                Phone: 1-646-630-9291
                                                                                                Fax: None
                                                                                                Email: admin@leoquities.com
                                                                                                Website: www.leoquities.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
                                                                                                    MacMillian Escrow Trust
                                                                                                    401 N Michigan Avenue
                                                                                                    Chicago, IL 60611
                                                                                                    Phone: 1-312-340-5456
                                                                                                    Fax: None
                                                                                                    Website: www.macmillianescrowtrust.com
                                                                                                      Maxwell Mergers & Acquisitions Group Inc.
                                                                                                      201 Penn Center Boulevard
                                                                                                      Suite 400
                                                                                                      Pittsburgh, PA 15235
                                                                                                      Phone: 1-412-200-1955
                                                                                                      Fax: 1-412-927-0124
                                                                                                      Email: support@maxwellmag.com
                                                                                                      Website: www.maxwellmag.com
                                                                                                        Mergers & Acquisitions Law Group
                                                                                                        1812 N. Moore Street
                                                                                                        Arlington, VA 22209
                                                                                                        Phone: 1-571-308-2485
                                                                                                        Fax: None
                                                                                                        Email: lawyers@mergersandacquisitionslg.com
                                                                                                        Website: www.mergersandacquisitionslg.com
                                                                                                          Mulvey & Hanson, LLP
                                                                                                          265 Franklin Street, #1702
                                                                                                          Boston, MA 02110
                                                                                                          Phone: 857-302-4191
                                                                                                          Website: http://www.mulveyandhansonlaw.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/

                                                                                                                  Q

                                                                                                                  Quantum Private Equity
                                                                                                                  107 East 46th Street
                                                                                                                  New York, NY 10017
                                                                                                                  Phone: 212-801-2389
                                                                                                                  Fax: 212-884-9588
                                                                                                                  Website: http://www.quatumpe.us/

                                                                                                                    R

                                                                                                                    Revera Associates
                                                                                                                    121 North LaSalle Street
                                                                                                                    Chicago, IL 60602
                                                                                                                    Phone: 1-312-800-8983
                                                                                                                    Fax: None
                                                                                                                    Website: www.reveraassoc.com
                                                                                                                      Rhine & Associates
                                                                                                                      800 North King Street
                                                                                                                      Wilmington, DE 19801
                                                                                                                      Phone: 302-440-8215
                                                                                                                      Website: http://www.rhineandassociates.com

                                                                                                                        S

                                                                                                                        S-Acquisition Corp
                                                                                                                        575 Lexington Avenue
                                                                                                                        Suite 2001
                                                                                                                        New York, NY 10022
                                                                                                                        Phone: 1-888-286-2891
                                                                                                                        Fax: None
                                                                                                                        Email: contactus@s-acquisitioncorp.com
                                                                                                                        Website: http://s-acquisitioncorp.com
                                                                                                                          Secured Trade Investment
                                                                                                                          1270 E. Broadway Road
                                                                                                                          Tempe, AZ 85282
                                                                                                                          Phone: 1-203-517-4739 or 1-480-535-5697
                                                                                                                          Fax: None
                                                                                                                          Website: www.securedtradeinvestment.com
                                                                                                                            Sheppard Capital Partners
                                                                                                                            7 South 16th Street
                                                                                                                            Philadelphia, PA 19103
                                                                                                                            Phone: 267-861-0723
                                                                                                                            Fax: 267-543-5706
                                                                                                                            Website: http://sheppardcp.com
                                                                                                                              Stanford Law Firm
                                                                                                                              501 Silverside Carr
                                                                                                                              Wilmington, DE 19809
                                                                                                                              Phone: 302-684-6165
                                                                                                                              Fax: None
                                                                                                                              Website: http://www.stanfordlawfirm.com
                                                                                                                                Stephen Schmidt Capital Ventures Inc.
                                                                                                                                100 International Drive
                                                                                                                                24th Floor
                                                                                                                                Baltimore, MD 21202
                                                                                                                                Phone: 410-779-3546
                                                                                                                                Fax: 410-510-1405
                                                                                                                                Website: http://www.stephenschmidtcv.com
                                                                                                                                  Strategic Private Equity LLC
                                                                                                                                  103 E 29th street
                                                                                                                                  New York, NY 10016
                                                                                                                                  Phone: 212-808-0486
                                                                                                                                  Website: http://www.strategicpe.com

                                                                                                                                    T

                                                                                                                                    Taber Scott LLC
                                                                                                                                    161 N. Clark Street
                                                                                                                                    Chicago, IL
                                                                                                                                    Phone: 312-796-0314
                                                                                                                                    Website: http://www.taberscottllc.com
                                                                                                                                      Tanner and Kaplan PC
                                                                                                                                      125 S. Clark Street
                                                                                                                                      Chicago, IL 60603
                                                                                                                                      Phone: None
                                                                                                                                      Website: http://www.tklawpc.com
                                                                                                                                        Tax Strategies LLC
                                                                                                                                        415 Madison Ave. 14th floor
                                                                                                                                        Manhattan, New York 10017
                                                                                                                                        Phone: 1-646-760-5666
                                                                                                                                        Website: http://www.taxstrategiesllc.org
                                                                                                                                          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
                                                                                                                                              Transfer Securities Inc.
                                                                                                                                              410 Park Ave
                                                                                                                                              New York, NY 10022
                                                                                                                                              Phone: 1-646-123-1234
                                                                                                                                              Website: http://www.transfersecurities.com
                                                                                                                                                Turner, Silverman and Cohen LLC
                                                                                                                                                3000 Town Center #2500
                                                                                                                                                Southfield, MI 48075
                                                                                                                                                Phone: 1-248-621-2774
                                                                                                                                                Website: http://tsc-law.com
                                                                                                                                                  Turner, Liebermann & Cohen
                                                                                                                                                  1675 Broadway
                                                                                                                                                  New York, NY 10019
                                                                                                                                                  Phone: 646-757-1940
                                                                                                                                                  Website: http://www.tlc-law.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

                                                                                                                                                      V

                                                                                                                                                      Vogel, Maines & Associates
                                                                                                                                                      8500 Burton Way
                                                                                                                                                      Suite 308
                                                                                                                                                      Los Angeles, CA 90010
                                                                                                                                                      Phone: 1-323-800-6586
                                                                                                                                                      Fax: None
                                                                                                                                                      Email: info@vogel-maines.com
                                                                                                                                                      Website: www.vogel-maines.com

                                                                                                                                                        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
                                                                                                                                                          Weinstein & Younge Asset Management Group
                                                                                                                                                          425 Market Street Building
                                                                                                                                                          Suite 7A
                                                                                                                                                          San Francisco, CA 94105
                                                                                                                                                          Phone: 415-528-7045
                                                                                                                                                          Fax: None
                                                                                                                                                          Website: http://www.weinsteinyounge.com
                                                                                                                                                            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
                                                                                                                                                                Worldwide Insurance Network Group
                                                                                                                                                                375 Park Avenue
                                                                                                                                                                New York, NY 10152 & 6235th Avenue 28th Floor
                                                                                                                                                                New York, NY 10022
                                                                                                                                                                Phone: 1-646-499-4593 and 1-646-499-4808
                                                                                                                                                                Fax: None
                                                                                                                                                                Website: www.winginsurance.com