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
                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
                            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
                              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

                                            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
                                                      Phone: None
                                                      Website: http://globalassetmanagementinc.net/

                                                        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.)

                                                              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
                                                                          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

                                                                                    Rhine & Associates
                                                                                    800 North King Street
                                                                                    Wilmington, DE 19801
                                                                                    Phone: 302-440-8215
                                                                                    Website: http://www.rhineandassociates.com

                                                                                      S

                                                                                      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
                                                                                                  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
                                                                                                      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

                                                                                                          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