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
            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/
                  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
                                  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

                                                    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 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.)

                                                                        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
                                                                                                            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

                                                                                                                          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