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

Bureau of Financial & Protection Services
1201 Peachtree Street
400 Colony Square
Suite 400
Atlanta, GA 30361
Phone: 1-404-445-1536
Fax: 1-404-891-8897



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 Global Pacific Mergers & Acquisitions
3030 N Rocky Point Dr W, #150
Tampa, FL 33607
Phone: 1-813-210-8119
Fax: 1-813-315-6647
Department of Interagency Protection Bureau
225 Cadman Plaza
East Brooklyn, NY 11201
Phone: 1-646-781-7711
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 Regulation in Washington
One Franklin Square
1301 K Street
Washington, DC
Department of Securities and Exchange Regulation
1710 N. 5th Street
Philadelphia, PA 19122
Phone: 215-278-8709
Fax: 215-754-4282


East West Financial & Securities Compliance
11815 Fountain Way
Suite 300
Newport News, VA 23606
Phone: 757-320-5173
Fax: 757-216-9552


Federal Financial Services Commission
6975 Union Park Avenue
Suite 400
Cottonwood Heights, UT 84047
Phone: 801-998-8764
Fax: 801-772-2983
Financial Compensation Authority
1015 G Street Northwest
Washington, DC  20004

Financial Securities and Investments Commission
33 West Jackson Boulevard
Chicago, IL 60604
Phone: None
Fax: None



Global Securities Regulatory Commission
3 Hudson Boulevard
New York, NY 1001
Phone: 646-569-9011


International Board of Trade Commission
6600 14th Street, NW
Washington, DC 20005
Phone: 1-202-754-8204
International Financial Securities Regulatory Commission
60 State Street, 38th Floor
Boston, MA 02109
Phone: 617-517-3039
International Investments and Securities Commission
Kluczynski Federal Building
230 Dearborn Street
Chicago, IL 60604
International Securities Authority
622 Pennsylvania Avenue Northwest
Washington, DC
Phone: 202-360-4613
Fax: 202-403-3289
International Securities Regulatory Agency
801 Pennsylvania Avenue NW
Washington, DC 20004
Phone: 202-455-0975
Fax: 202-558-4409
International Securities Regulatory Division
The Chrysler Building
405 Lexington Avenue, 42nd Street
New York, NY 10174
Phone: 1-646-569-9011
International Trading Commission
1300 Street NW, Suite 400E
Washington, DC 20005
Phone: 202-618-3801
Fax: 202-618-1954


National Financial Supervision Authority
1997 Annapolis Exchange Parkway
Suite 400
Annapolis, MD 21401
Phone: 410-202-0706
Fax: 410-510-1085
National Securities Authority
812 First Street, NE, Suite 503
Washington, DC 20002
Phone: 202- 499-1499


Office of Financial Affairs
879 13th St. Northwest
Washington, DC 20005


Regional Regulatory Board
2101 L Street NW, Suite 800
Washington, DC 20037
Phone:  (202) 552-1536
Fax:  (202) 379-3532
The Regulating Body of Securities and Investments
One State Street
New York, NY 10004-1511
Phone: 646-569-9011
Fax: None


Securities Board of Regulators
575 Madison Avenue,
New York, NY 10022
Phone: 1-347-688-3932
Fax: None



Union Financial Protection Commission
321 S. Boston, Suite 305
Tulsa, OK 74103
Phone: 918-236-9074
Fax: 918-515-4760
U.S. Board of Merger & Acquisitions
101 W Big Beaver Rd
Troy, MI 48084
Phone: 1-248-242-7054
US Federal Oversight Investment Bureau
1101 Pennsylvania Avenue
Washington, DC 20004
Phone: 202-370-7660
US International Investment Trade Authority
122 S Main St.
Ann Arbor, MI 48104
Phone: 1-734-447-5999
Fax: 1-734-447-5999
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 Trade & Commission
255 S. Orange Ave #1800
Florida, 32801
Phone: 321-233-4007
United States of America Takeovers & Acquisitions Regulatory Board
Independence Ave, SW
Washington, DC 20560
Phone: 202-795-7257
United States Federal System
1090 Vermont Avenue, NW
Washington, DC
Phone: 1-202-391-0991
Fax: None
United States Trading Committee
622 W. Johnson St.
Raleigh, NC 27603
Phone: 1-910-830-3145
Fax: None

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