Public Alert: Unregistered Soliciting Entities (PAUSE)

List of Fictitious Governmental Agencies and International Organizations Associated with Soliciting Entities

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities claiming to offer investments endorsed, approved, or otherwise supported by governmental agencies, including the SEC, or international organizations. The SEC does not "approve" or "endorse" any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal. The SEC's Office of Investor Education and Advocacy has issued several Investor Alerts warning investors of bogus regulators and SEC impersonators.

In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. In an effort to warn the public about these entities, the SEC is posting the list below.

The SEC will regularly update this list.

Additional PAUSE Lists

In addition to the fictitious regulators listed below, the SEC also receives complaints about unregistered soliciting entities and entities impersonating genuine US registered securities firms. You can view a list of these entities by following the separate links listed below.

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 this list. 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


American Financial Group
Ten G Street NE, 6th Floor
Washington, DC 20002


Board of International Equities
453 11th Street, NW
Washington, DC  20004
Board of Securities Trading Commission
1 Post Office Square, Suite 3608
Boston, MA 02109
Phone: (857) 220-8295
Fax: (857) 453-4580
Bureau of Compliance and Regulatory Board
699 Walnut Street, Suite 505, 5th Floor
Des Moines, Iowa 50309
Phone: 515-218-7863 Ext: 168
Fax: 515-608-4701
Bureau of Financial Trading
1775 K Street, NW
Washington, DC (No zip)
Phone: (202) 4590965
Bureau of International Securities Trading
912 H Street, NW
Washington, DC 20223
Phone: (202) 552-1563
Website: and


Center for Securities Investigation Department
324 W. Main St.
Brighton, MI 48116
Phone: 810-852-1701
Fax: 810-852-1702
Center Point Financial Regulatory Board
Esquire Plaza
1215 K Street, 17th Floor
Sacramento, CA 95814
Phone: 916-588-3374
Fax: 916-720-0199
Central Finance Regulatory Commission
1001 Hingham Street, 2nd Floor
Rockland, MA  02370-3318
Phone: 781-836-4646
Central Stock Regulators
3200 West End Avenue
Nashville, TN 37203
Phone: 615-349-9977
Fax: 615-250-4897
Chicago Division of Securities
33 West Jackson Boulevard, Chicago,
IL, 60604
Chicago Trading Regulatory Board
901-905 North Michigan, Suite 565
Chicago, IL 60611
Commission on Financial & Securities Compliance
911 Lee Avenue
Lafayette, LA 70501
Phone: 337-210-8168
Fax: 337-205-8679
Commission on International Trade and Economics (COITE)
Phone: 205-258-3060
Fax: 888-846-8271


Department of Financial Compensation
1721 F Street Northwest
Washington, DC 20431
Phone: 202-552-1522
Fax: 202-204-5669
Department of Financial Trading
1204 18th Street Northwest, Washington, DC
Phone: +1 202 552 1539
Fax: +1 202 315 3213
Department of International Financial Trading
1204 18th Street, NW
Washington, DC 20036
Phone: (202) 552-1540
Department of Law and Public Safety
Office of the Public Defenders
Hughes Justice Complex, 1st Floor, N-Wing
25 Market Street, P.O. Box 850
Trenton, NJ 08625
Phone: 609-284-9603
Fax: 609-228-5356
Department of Orderly Liquidation
731 19th Street Northwest
Washington, DC  
Department of Securities Liquidations
624 Pennsylvania Avenue Northwest
Washington, DC 
Phone:  (202) 595-7031
Department of Securities Trading
745 19th Street Northwest
Washington, DC 20431
Department of Securities Trading
745 19th St, NW
Washington, DC 20431
Phone: (206) 801-0002
Division of Securities
Chicago Illinois
230 South Dearborn Street
Chicago, IL
Division of Securities for the District of Columbia (DOSDC)
Phone: 202-596-3591
Fax: 202-330-5156
No website or address provided in documents.
  1. The Division of Securities for the District of Columbia (DOSDC) is impersonating the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) located at 810 First Street, N.E., Suite 622, Washington, DC 20002. The impersonator has NO connection with, and is not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia.


Eastern Security Trading Commission
2121 K Street NW
Washington, DC 20006
Phone: (202) 644-9034
Economic and Financial Services Commission
1401 Constitution Ave, N.W.
Washington, DC 20230
Phone: 1-202-864-1860
Fax: 1-347-236-3074
Equities Trading Commission
1800 K Street Northwest, #530
Washington, DC 20006
Phone: 202-249-7490
Fax: 202-318-8716


842 Vermont Avenue
Northwest, Washington, DC
Phone: 202-688-5985
Fax: 202-403-3289


Federal Division Of Securities, NY
176 Pearl Street
New York, NY 10005
Phone: 212-542-8755
Fax: 212-409-8391
Federal Recapitalization Fund
77 Water Street
New York, NY 10005
Phone: 212-381-1810
Federal Financial Regulatory Board
4th Floor, 100 State Street
Boston, MA 02109
Phone: 1-617-861-6585
Financial & Regulatory Oversight Board
60 State Street, Suite 700
Boston, Massachusetts, 02109
Phone: 1-857-239-5387
Fax: 1-857-241-3081
Federal Securities and Investments Regulatory Commission (FSIRC)
915 Second Avenue, Suite 2110
Seattle, WA
Website: (The website is no longer accessible.)
Federal Securities Commission
78 State Street
Albany, NY 12207-2002
Phone: 518-618-1020
Fax: 518-677-1836
Federal Securities Regulatory Agency
Henry M. Jackson Federal Building, 27th Floor
915 2nd Avenue
Seattle, WA 98104
Phone: 202-747-7823
Fax: 202-478-1738
Website: and
(The websites are no longer accessible.)
Financial Action Task Force
10th Street & Pennsylvania Avenue, NW
Washington, DC 20004
Phone: 646-652-0451
Fax: 646-417-6721
Financial Compensation Authority
1015 G Street Northwest
Washington, DC  20004
Financial Fraud Enforcement Task Force
Phone: 206-456-1138
Financial Protection Commission
101 Federal Street, Suite 1900
Boston, MA 02110
Phone: 1-857-239-5387
Fax: 1-857-241-3081
The Financial & Regulatory Oversight Board
60 State Street, Suite 700
Boston, Massachusetts 02109
Phone:  (617) 209-7593
Fax:  (617) 892-4245
Financial Securities and Equities Bureau (FSEB)
2nd Street, SW and D Street, SW
Washington, DC 20024
Phone: 202-461-3251
Financial Trading Board
1091 Vermont Avenue NW
Washington D.C., 20005
Phone: 202-534-3927
Fax: 202-379-9751
Forensic Accounting and Financial Fraud Investigator
1800 8th Avenue
Seattle, WA 98122


Global Compliance Agency
201 S. College St.
Charlotte, NC 28244
Phone: 704-817-0614
Fax: 704-817-0615
Global Financial Protection Commission
225 Franklin Street, 26th Floor
Boston, MA 02110
Phone: 1-617-963-7290
Global Investments Compliance Center
5005 Rockside Road
Independence, OH 44131
Phone: 216-220-1600
Fax: 216-220-1601
Global Securities Protection Agency
41 Marietta Street
Atlanta, GA 30303
Phone: 678-954-0522
Fax: 678-954-0523
Great Harbor Compliance Regulatory Board
11150 W. Olympic Blvd
Los Angeles, CA 90064
Phone: 1-323-209-5810
Fax: 1-323-978-5440


ICSID Lawyers
International Centre for Settlement of Investment Disputes
700 Connecticut Ave NW
Washington, DC 20006
Phone: 1-202-618-4554
Fax: 1-202-618-4553
Integrated Financial Regulatory Board
1633 Q Street, NW
Washington, DC  20006
Phone:  (202) 545-6275
InterContinental Financial Regulatory Board
7400 Beaufont Springs Drive
Suite 210-212
Richmond, VA 23225
Phone: 804-340-7714
Fax: 804-482-2776
InterGlobal Financial Registrar
60 State Street, Suite 700
Boston, MA 02109
Phone: (617) 307-9138
Fax:  (617) 250-7597
International Association of Transfer Agents
30 Wall Street
New York, NY 10005
International Board of Mergers & Acquisitions
433 North 6th Street
Philadelphia, PA 19123
Phone: 215-475-5894
Fax: 215-701-2491
International Claims Commission
US Federal Building
New York, NY 10003
International Commission of Securities
600 Superior Avenue East
Fifth Third Building Suite 1300
Cleveland, OH 44114
Phone: 440-869-9952
Fax: 440-848-2305
  1. Onsite inspections conducted over the past year by the Ohio Division of Securities found that no regulatory agency was located at the address given for this entity.
International Equities Administrators
5865 Ridgeway Center Parkway, Suite 350
Memphis, TN 38120
Phone: 901-896-0327
Fax: 901-339-0522
International Exchange Commission
190 High Street
Boston, MA 02110
Phone: 617-861-4470
Fax: 617-861-4458
International Exchange Commission
545 8th Avenue, Suite 501
New York, NY 10018
Phone: 212-330-0995
Fax: 212-465-3392
International Financial Forensics Organization
International Financial Oversight Commission
22 Causeway Street, #199
Boston, MA 02222
Phone: 1-857-403-1455
Fax: 1-857-445-0197
International Financial Trading Commission
1091 Vermont Avenue, NW
Washington, DC 20005
Phone: 202-595-2867, 202-534-3926
Fax: 202-403-3289
International Fraud Alert
Phone: 202-455-0973
Washington D.C.
International Information Exchange
775 15th St. NW, Suite 500
Washington, DC 20005
Phone: 202-263-1950
Fax: 202-263-1951
International Investor Protection Coalition, a.k.a. IIP Coalition
Lexington Avenue and E. 54th Street
New York, NY 10010
Phone: 212-542-9171
International Organization of Registrar and Clearing Agents (IORACA)
One Post Street, Suite 1830
San Francisco, CA 94104
International Securities Accreditation Authority
30 E. Broadway
Salt Lake City, UT 84111
Phone: 801-618-2100
Fax: 801-618-2119
International Securities Administrators
312 Walnut Street, Suite 1500
Cincinnati, OH 45202
Phone: 513-297-1593
Fax: 513-672-2308
International Securities Authority
622 Pennsylvania Avenue Northwest
Washington, DC
Phone: 202-360-4613
Fax: 202-403-3289
International Securities and Equities Board
1441 L Street N.W
Washington, D.C. 20005
Phone: 202-552-1506
Fax: 202-315-3628
International Securities Regulatory Agency
801 Pennsylvania Avenue NW
Washington, DC 20004
Phone: 202-455-0975
Fax: 202-558-4409
International Trading Board
609 13th Street Northwest
Phone: 202-595-9363
Fax: 202-379-9859
Intertrade Compliance Board
821 2nd Avenue, Suite 1200
Seattle, WA 98104
Phone: 1-206-900-8776
Fax: 1-206-299-4076
Investment and Security Fraud Protection Agency Two Prudential Plaza
180 Stetson Ave.
Chicago, IL
Phone: 312-465-1131
International Shareholders Compliance Department
500 N. Michigan Ave., Suite 320
Chicago, Il 60611
Phone: 312-281-0329
Fax: 312-276-4752
International Stock Transfer Administration (ISTA)
8025 Corporate Drive
Nottingham, MD 21236
Phone: 443-320-1009
Fax: 410-630-3545
Investor Protect Bureau
Phone:  (516) 340-3114
Fax: (516) 908-3587


National Compliance Regulatory Board
445 S. Figueroa Street, Suites 3100-3500
Los Angeles, California, 90071
Phone: 1-323-546-4409 Ext: 130
Fax: 1-323-978-5123
National Financial Commission
75 Federal Street
Boston, MA 02110
Phone:  (617) 209-7603
Fax:  (617) 892-4289
New York Securities Division
Federal Office Building
205 Varick Street
New York, NY 10014


Office of Financial Affairs
879 13th St. Northwest
Washington, DC 20005
Offshore Securities Commission
295 Greenwich Street (Wall Street)
New York, NY 10007
Phone: 212-918-8572
Overseas Investors Information Network


Pennsylvania Division of Securities
1 South Broad Street, #552-A
Philadelphia, PA 19107
Phone: 484-748-0028
Fax: 484-223-3044


Regional Regulatory Board
2101 L Street NW, Suite 800
Washington, DC 20037
Phone:  (202) 552-1536
Fax:  (202) 379-3532
Regulatory Compliance Board
515 S. Flower Street, Suite 3604-3606, 36th Floor
Los Angeles, CA 90071
Phone: 1-213-335-7626
Fax: 1-213-417-4601


Securities Administration
605 University Street
Seattle, WA 98101-4112
Phone: 206-395-2023
Fax: 206-299-9916
Website: (The website is no longer accessible.)
Securities and Financial Commission (SFC)
735 3rd Avenue
Seattle, WA 98104-1802
Phone: 206-801-3381
Fax: 206-299-9494
Securities and Investments Disputes Agency
2 Prudential Plaza
180 Stetson Avenue
Chicago, Illinois
Phone: 312-465-1131
Securities Regulation, Protection and Litigation Agency
101 Madison Avenue
New York, NY 10016
Phone: 646-918-5136
Fax: 206-299-3723
Securities Trading Board
842 Vermont Avenue NW
Washington, DC 20005
Phone: 202-688-5985
Fax: 202-403-3289
Securities Trading Commission
1110 Connecticut Avenue NW
Washington, DC 20036
Phone: 202-204-2310
Fax: 202-330-5349
Securities Transfer & Registration Group
22 King Hwy, SW
Dover, DE 19901
Phone: 1-302-380-3688
Fax: 1-302-380-3709
State Securities Commission
1300 Connecticut Avenue, NW, #520
Washington, DC 20036-1709
Phone: 202-600-2944
Fax: 202-315-3692, 206-238-6266
Stronghold Mergers & Acquisition Regulatory Board
2106-2108 Vermont Avenue NW
Washington, DC 20001
Phone: 1-202-888-3955
Fax: 1-202-380-0265


US Compensation Bureau
Capitol Hill
25 D Street NW
Washington, DC 20005-6800
U.S. Compensation Department
1140B Connecticut Ave, NW
Washington, DC 20036
Phone: (202) 459-0995
U.S. Department of Registrars Bureau
1001 G Street, NW
Washington, DC 02001
Phone: 1-202-793-8694
U.S. District Court of Arbitration
Federal Office Building
90 Church Street
New York, NY 10007
Phone: 917-546-7307
Fax: 917-591-8309
U.S. International Bureau for Trading
1101 30th Street, NW, Suite 500
Washington, DC 20007
Phone: 202-470-4047
U.S. Mergers and Acquisition Regulatory Board
22 Causeway St #199
Boston, MA  02222
Phone:  (781) 623-0526
Fax: (781) 623-0526
U.S. Municipal Securities & Information Board
10 Park Plaza #2210
Boston, MA 02116
U.S. Regulatory Securities Agency
1025 Connecticut Avenue, NW, Suite 1000
Washington, DC 20036
Phone: 202-470-5470
US Shareholders Registry Department
240 Woodrow Street
Chester, PA 19013
Phone: 484-694-9433
Fax: 484-694-9433
United Financial Protection Commission
100 Church Street, 8th Floor
New York, NY 10007
Phone: 1-347-695-3020
Fax: 1-212-898-1143
United States Federal Court of Arbitration
Federal Office Building
201 Varick Street
New York, NY 10014
Phone: 646-616-7551
Fax: 646-514-0670
United States Federal System
1090 Vermont Avenue, NW
Washington D.C. 20005
Phone: 1-202-391-0991
United States Investment Dealers Organization (USIDO)
1644 Murfreesboro
Nashville, TN 37217
Phone/Fax: 615-528-7875
Email: and United States Investment Dealers
1311 S. Burnside Avenue
Gonzales, LA 70737
Phone/Fax: 225-410-9219
United States Mergers and Acquisitions Regulators
United States Registration Commission
Capitol Hill, 25 D Street, NW
Washington, DC 20005-6800
United States Regulators and Administration Commission
72 Mt. Vernon Street
Boston, MA


160 Cambridge Street
Boston, MA
Fax: 617-830-8864
United States Securities and Acquisitions Administration
1120-1152 20th Street, NW, 38B, 3rd Floor
Washington, DC 20036
Phone: 202-618-9054
Fax: 202-318-8613
United States Securities and Investments Commission
United States Securities and Investments Dealers  
United States Securities Regulatory Commision (sic)
2001 L Street NW
Washington, DC 20036
United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC)
125 North Madison Street
Stockton, CA 95201-9005
Phone: 209-751-4458
Fax: 209-751-4501
(The former website is no longer accessible. However, the current website is accessible.)

To view the SEC's Data Quality Guidelines, click [].