Public Alert: Unregistered Soliciting Entities (PAUSE)

List of Unregistered Soliciting Entities Impersonating Genuine and Former US Registered Securities Firms

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities using a name that is the same as, or similar to, the name of a US registered securities firm, investment advisor, transfer agent, issuer, hedge fund, institutional investor, and other filers.

In many cases, SEC investigation reveals that these entities have wrongfully appropriated the registration numbers and address information of the legitimate firms from publicly available databases such as EDGAR and FINRA’s BrokerCheck, and set up phony websites in order to confuse and deceive investors. In other cases, these “spoofer” entities have appropriated the registration information of legitimate firms that recently terminated their registration with the SEC and FINRA or did so years ago.  Similarly, representatives of the impersonating entities who cold call investors often claim to be licensed employees of the legitimate firms being impersonated or of other legitimate firms.

The SEC has determined that the impersonators on the list below have no connection with, and are not to be confused with, the genuine firms, whether active or defunct.

The SEC will regularly update this list.

You should also check with the Financial Industry Regulatory Authority (FINRA [formerly, the National Association of Securities Dealers (NASD)]), which maintains BrokerCheck, a public registry of its broker-dealer members and their sales personnel. You can use BrokerCheck to verify both the registration and address of any FINRA-registered US broker-dealer and any individual US securities broker. Distinguishing the genuine firm from the impersonator entity may be difficult at times, but you should always use the phone number listed on BrokerCheck to call back a financial services firm that contacts you. Checking the PAUSE list below is not a substitute for checking BrokerCheck.

Additional PAUSE Lists

In addition to the entities impersonating genuine US registered securities firms listed below, the SEC also receives complaints about unregistered soliciting entities and 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 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

A

Advisors Group, Inc.
51 Louisiana Avenue NW
Washington, DC 20001
Phone: 202-386-6758
Fax: 202-330-5873
Website: http://www.advgrpinc.com
(The website is no longer accessible.)
  1. Advisors Group, Inc. is impersonating a formerly state-registered investment adviser firm with the same name - Advisors Group, Inc. (CRD Number: 119619), which had the following mailing address:  3145 Wellner Drive NE, Suite 300, Rochester, MN 55906. The impersonator has NO connection with, and is not to be confused with, the former genuine Advisors Group, Inc.  WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Advisors Group, Inc. withdrew its registration with the Minnesota State securities regulator effective November 2, 2011 and is defunct.
American Financial Group, Inc.
1211 N. Brand Blvd., Suite 220
Glendale, CA 91202
Phone: 818-301-4918
Fax: 818-484-2163
Website: http://www.amfgroupinc.com/
  1. American Financial Group, Inc. is impersonating a formerly registered broker-dealer with the same name - American Financial Group, Inc. (CRD Number: 10496; SEC Number: 8-26536). The genuine American Financial Group, Inc. had its registration with the Financial Industry Regulatory Authority (FINRA) cancelled, effective October 21, 1987, and is defunct.
Atlas Stock Transfer
5899 S. State Street
Salt Lake City, UT 84107
Phone: 801-503-9224
Fax: 801-503-9223
Website: http://atlasstocktransfer.com/
  1. Atlas Stock Transfer is impersonating a former genuine entity having a similar name, Atlas Stock Transfer Corporation (CIK Number: 0000008345; SEC Number: 084-00369). The legitimate Atlas Stock Transfer Corporation filed a Form TA-W to have its registration with the SEC withdrawn, effective February 16, 2008, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

B

Barton Advisors, LLC
4555 Lake Forest Drive
Suite 100
Blue Ash, OH 45242 U.S.A.
Website: http://www.bartonadvisors.us
  1. The above listed entity is impersonating a genuine entity having the same name: Barton Advisors, LLC (CRD #135596). The genuine entity's registration was terminated effective December 31, 2008.
  2. The genuine entity had the following mailing address -1001 S. Oregon Ave., Tampa, FL 33606 – it does not appear to maintain a website.
  3. The impersonator has no connection with, and is not to be confused with, the genuine entity.
Beacon Capital Management Inc.
38 Kings Highway
Hauppauge, NY 11788
Fax: 631-204-6822
Website: http://beaconcapmaninc.com/
  1. Beacon Capital Management Inc. is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Beacon Capital Management, Inc. (CRD Number: 125884), which has the following mailing address: 38 Kings Highway, Hauppauge, NY 11788. The impersonator has NO connection with, and is not to be confused with, the genuine Beacon Capital Management, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

C

Clydesdale Securities, LLC
39 Broadway, Suite 3300
Room 11
New York, NY 10006
Phone: 646-583-3122
Website: http://www.clydesdalesecuritiesllc.com
  1. The above listed entity is impersonating a genuine entity having the same name: Clydesdale Securities, LLC (CRD #174167 / SEC# 8-69567).
  2. Although the genuine firm has the same mailing address – 39 Broadway, Suite 3300, Room 11, New York, NY 10006 – it does not appear to maintain a website.
  3. The impersonator has no connection with, and is not to be confused with, the genuine entity.
Condor Securities
590 Madison Ave
New York, NY 10022
Phone: 212-372-7765
Website: http://www.condorsecuritiesinc.com
  1. The above listed entity is impersonating a genuine entity having a similar name: Condor Securities, Inc. (CRD #30406 / SEC#8-44916).
  2. Although the genuine firm has the same mailing address – 590 Madison Ave., 18th Floor, New York, NY 10022 – it does not appear to maintain a website. The SEC's EDGAR database contains registration information for the genuine entity.
  3. The impersonator has no connection with, and is not to be confused with, the genuine entity.
Crest Equity Partners, LP
320 Park Avenue, 17th Floor
New York, NY 10022
Phone: 646-586-9220
Fax: 646-219-8498
Website: http://www.crestequitypartners.us
  1. The above listed entity is impersonating a genuine entity having the same name: Crest Equity Partners, LP (CIK: 0001115181).
  2. Although the genuine firm has the same mailing address – 320 Park Avenue, 17th Floor, New York, NY 10022 – it does not appear to maintain a website. The SEC's EDGAR database contains registration information for the genuine entity.
  3. The impersonator has no connection with, and is not to be confused with, the genuine entity.

F

Financial Asset Management, Inc.
1269 Avenue of the Americas
New York, NY 10019
Phone: 646-328-5070
Website: http://www.finamgtinc.com (The website is no longer accessible.)
  1. There existed a formerly registered broker-dealer with the same name - Financial Asset Management, Inc. (CRD Number: 18514; SEC Number: 8-36802). The genuine Financial Asset Management, Inc. had its registration with the SEC terminated, effective February 4, 2003, and is defunct.
  2. There exists a genuine SEC-registered investment adviser with a similar name but different address in New York City - Financial Asset Management Corp. (CRD Number: 106643; SEC Number: 801-27858). The former but defunct broker-dealer firm and the genuine investment adviser firm have NO connection with, and are not to be confused with, the soliciting entity Financial Asset Management, Inc.
First Investment Securities
1980 Washington Valley Road
Martinsville, NJ 08836
Phone: 609-631-5499
Website: http://www.firstinvestmentsecurities.com
  1. The above listed entity is impersonating a genuine entity having a similarname: First Investment Securities, Inc. (CRD #13459 / SEC# 8-29231).
  2. Although the genuine firm has the same name, please note that the genuinefirm is no longer in operation.
  3. The impersonator has no connection with, and is not to be confused with,the genuine entity.
FORTRESS Investment Group
75 E 55th Street, 12th Floor
New York, NY
Phone: 646-346-2169
Fax: 646-390-0327
Website: http://fortressig.com/
  1. FORTRESS Investment Group is impersonating a genuine investment adviser firm with a similar name but different address - Fortress Investment Group (CRD Number: 129612; SEC Number: 801-62982), which has the following mailing address: 1345 Avenue of the Americas, 46th Floor, New York, NY 10105. The impersonator has NO connection with, and is not to be confused with, the genuine Fortress Investment Group. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

G

Global Equities, Inc.
405 Lexington Avenue
Chrysler Building, 25th Floor
New York, NY 10174
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://gblequities.com/
  1. Global Equities, Inc. may be impersonating a formerly registered broker-dealer firm with a similar name but different address - Global Equities Group, Inc. (CRD Number: 34039; SEC Number: 8-46197), which had the following mailing address: 5 Hanover Square, 22nd Floor, New York, NY 10004. The genuine Global Equities Group, Inc. had its registration with the SEC terminated on March 13, 1998 and is defunct.
Goldman Capital Management
28th Floor, AIG Tower
Third Avenue
New York, NY 10017
Phone: 347-321-4188
Fax: 347-594-5235
Website: http://goldmancapitalmanagement.com/
  1. Goldman Capital Management is impersonating a genuine broker-dealer and investment adviser firm with a similar name but different address - Goldman Capital Management, Inc. (CRD Number: 16736; SEC Numbers: 8-34476 [for the broker-dealer]; 801-25646 [for the investment advisor]), which has the following mailing address: 767 Third Avenue, 25th Floor, New York, NY 10017. The impersonator has NO connection with, and is not to be confused with, the genuine Goldman Capital Management, Inc. The SEC's EDGAR database and WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contain registration information for the genuine entity.
Greentree Financial Advisors
2408 Richmond Road
Staten Island, NY 10306
Fax: 718-732-2047
Website: http://www.greentree-financial-advisors.us/
  1. Greentree Financial Advisors is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Greentree Financial Advisors, Inc. (CRD Number: 127088). The impersonator has NO connection with, and is not to be confused with, the genuine Greentree Financial Advisors, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

J

J. Streicher & Co LLC
2 Rector Street, 21st Floor
New York, NY 10006
Phone: 212-796-0950
Fax: 877-350-2236
Website: http://www.jstreichercllc.com/
  1. J. Streicher & Co LLC is impersonating a genuine broker-dealer firm with the same name but a different address - J. Streicher & Co. L.L.C. (CRD Number: 3526; SEC Number: 8-4342). The impersonator has NO connection with, and is not to be confused with, the genuine J. Streicher & Co. L.L.C., which has the following mailing address: One Exchange Plaza, 55 Broadway, Suite 311, New York, NY 10006. The SEC's EDGAR database contains registration information for the genuine entity.

N

New York Global Group, Inc.
14 Wall Street, Suite 1225
New York, NY 10005
Phone: 646-381-1596
Fax: 646-390-8637
Website: http://newyorkggi.com/
  1. New York Global Group, Inc. is impersonating a genuine entity with the same name but different address - New York Global Group, Inc., a Regulation D exempt filer (SEC file no. 021-79407, received 07-20-07), which has the following mailing address: 40 Wall Street, 38th Floor, New York, NY 10005. The impersonator has NO connection with, and is not to be confused with, the genuine New York Global Group, Inc. The SEC's EDGAR database contains registration information for an offering made by the genuine entity that was not completed.

O

Offutt Securities Inc.
2525 Butler Road
Glydon, MD 21071
Telefax: 443-478-3912
Website: http://offincsec.com/
  1. Offutt Securities Inc. is impersonating a genuine broker-dealer firm with the same name but a different address - Offutt Securities, Inc. (CRD Number: 19782; SEC Number: 8-37799. The impersonator has NO connection with, and is not to be confused with, the genuine Offutt Securities, Inc., which has the following business address: P. O. Box 559, Cockeysville, MD 21030. The SEC's EDGAR database contains registration information for the genuine entity.

P

Pacific Capital Management LLC
1000 Wilshire Boulevard, # 850
Los Angeles, CA 90017
Phone: 213-289-3734
Fax: 213-947-1983
Website: http://pacificcm.us/
  1. Pacific Capital Management LLC may be impersonating a genuine Delaware limited liability company with the same name but a different address - Pacific Capital Management, LLC (CIK Number: 0001523309). The impersonator has NO connection with, and is not to be confused with, the genuine Pacific Capital Management, LLC, which has the following business address: 11601 Wilshire Boulevard, Suite 2180, Los Angeles, CA 90017. The SEC's EDGAR database contains registration information for the genuine entity, which filed a Schedule 13G with the SEC disclosing beneficial ownership on June 20, 2011.
Parkbrook Capital Inc. aka Parkbrook Inc.
484 Park Avenue, Suite 350
New York, NY 10022
Phone:  (646) 837-7192
Fax:  (646) 349-3437
www.parkbrook.us
  1. Parkbrook Capital Inc. is impersonating a genuine entity having a similar name – Parkbrook Capital LLC aka Muzinich Capital LLC.  (CRD Number: 146017; SEC Number: 8-67832). The impersonator has no connections with, and is not to be confused with, the genuine Parkbrook Capital LLC which has the following mailing address and website: 450 Park Avenue, Suite 1800, New York, NY 10022 and website www.Muzinich.com.
Pex Global Inc.
415 Madison Avenue
New York NY
Phone: 212-461-1776
Fax: 800-542-9152
Website: http://www.pexglobalinc.com/
  1. Pex Global Inc. is impersonating a genuine broker-dealer firm with the same name but different address - Pex Global Inc. (CRD Number: 153131; SEC Number: 8-68505). The impersonator has NO connection with, and is not to be confused with, the genuine Pex Global Inc., which has the following mailing address: 575 Lexington Avenue, 4th Floor, New York, NY 10022. The SEC's EDGAR database contains registration information for the genuine entity.

W

West Coast Stock Transfer Inc.
2010 Hancock Street, Suite A
San Diego, CA 92110
Phone: 619-313-4499
Fax: 619-313-4498
Website: http://www.wcsti.com/
  1. West Coast Stock Transfer Inc. is impersonating a genuine transfer agent firm having the same name (CIK Number: 0001455353; SEC Number: 084-06347). The legitimate West Coast Stock Transfer Inc. has the following mailing address: 2010 Hancock Street, Suite A, San Diego, CA 92110. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.