Public Alert: Unregistered Soliciting Entities (PAUSE)
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Public Alert: Unregistered Soliciting Entities (PAUSE)


The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.


Entity Name Search:

Unregistered
Soliciting Entities
Fictitious
Regulators
Impersonators of
Genuine Firms


Unregistered Soliciting Entities

These are entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors.

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 listed, 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.

-View All-Fictitious RegulatorsImpersonators of Genuine FirmsUnregistered Soliciting Entities


Name       Category


12 West Capital Management         Impersonators of Genuine Firms
1st American Securities                   Unregistered Soliciting Entities
1st New York Financial Corporation      Unregistered Soliciting Entities
247 Options Trade                                 Unregistered Soliciting Entities
365Tradeposition                                   Unregistered Soliciting Entities
426 Investments Incorporated                Unregistered Soliciting Entities
Abacus & Partners                                 Unregistered Soliciting Entities
Accer Mergers and Acquisitions             Unregistered Soliciting Entities
Access Broker.com Inc                          Impersonators of Genuine Firms
Accrescent Holdings Inc.                        Impersonators of Genuine Firms
Acquisition & Development Consulting, Inc.           Impersonators of Genuine Firms
Acquisition & Development Consulting, Inc.           Fictitious Regulators
ACT Transfer Services                                          Unregistered Soliciting Entities
ADG Capital LLC                                                 Impersonators of Genuine Firms
Advanced Global Securities Corporation                Impersonators of Genuine Firms
Advance Partners LLC                                          Impersonators of Genuine Firms
Advisors Group, Inc.                                             Impersonators of Genuine Firms
Affinity Group                                                        Unregistered Soliciting Entities
AIA Capital Markets, LLC                                    Impersonators of Genuine Firms
AJ Nelson Consultants, LLC                                  Unregistered Soliciting Entities
Alderbrook Capital Management                            Unregistered Soliciting Entities
Alexander Capital Management                               Unregistered Soliciting Entities
Allen Brothers M&A                                               Unregistered Soliciting Entities
Alliance Group, Inc. Alliance Insurance Agency        Unregistered Soliciting Entities
Alliance Transfer Inc.                                               Unregistered Soliciting Entities
Alliant Holdings I Inc.                                               Impersonators of Genuine Firms
Allianze Global Insurance Inc.                                   Unregistered Soliciting Entities
Allied Capitals                                                         Unregistered Soliciting Entities
Alpha Consulting Group                                           Unregistered Soliciting Entities
Alpha Corporate Consultants                                   Unregistered Soliciting Entities
Alpha Investment Management LLC                       Impersonators of Genuine Firms
Alta Paramount Ltd.                                               Unregistered Soliciting Entities
Alter Management LLC                                          Unregistered Soliciting Entities
American Financial Group                                       Fictitious Regulators
American Financial Group, Inc.                                Impersonators of Genuine Firms
American First City Corporation                              Unregistered Soliciting Entities
American First Securities                                          Unregistered Soliciting Entities
American Taxation Incorporated                              Unregistered Soliciting Entities
Ameritradeoptions                                                   Unregistered Soliciting Entities
AMK Trust Ltd.                                                      Unregistered Soliciting Entities
Andersen Mergers                                                   Unregistered Soliciting Entities
Anderson & Scott LLP                                            Unregistered Soliciting Entities
Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd.                          Unregistered Soliciting Entities
Anderson Ford Financial                                                                                           Unregistered Soliciting Entities
Anoli Capital International, Inc.                                                                                 Unregistered Soliciting Entities
Anti Cyber Crime & Financial                                                                                   Fictitious Regulators
Apex Capital Acquisition Group                                                                               Unregistered Soliciting Entities 
Apex Stock Transfer Inc.                                                                                         Impersonators of Genuine Firms
Apollo Global Securities LLC. (sic)                                                                          Unregistered Soliciting Entities
Arcadia Trading Group, Ltd. Arcadia Oil & Gas, LLC                                             Unregistered Soliciting Entities
Ardea Capital L.P.                                                                                                  Unregistered Soliciting Entities
Ardent Asset Advisors LP                                                                                       Impersonators of Genuine Firms        

Ares Acquisitions                                                                                                    Unregistered Soliciting Entities
Arista Capital Ventures    Unregistered Soliciting Entities
Arlington Securities Group
Impersonators of Genuine Firms
Arron Copeland
Unregistered Soliciting Entities
Ashley Partners M&A
Unregistered Soliciting Entities
Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc.
Impersonators of Genuine Firms
Asprey Associates
Unregistered Soliciting Entities
Asset Recovery Solutions
Unregistered Soliciting Entities
Asset Trust Management, LLC
Unregistered Soliciting Entities
Association of Securities Transfer Companies (ASTC)
Unregistered Soliciting Entities
ATG Capital Solutions, Inc.
Unregistered Soliciting Entities
Atlanta Mediation Group
Unregistered Soliciting Entities
Atlantic Capital Trust Management, LLC
Unregistered Soliciting Entities
Atlantic Group
Unregistered Soliciting Entities
Atlantis Capital Partners, Inc.
Unregistered Soliciting Entities
Atlas Consultancy
Unregistered Soliciting Entities
Atlas Stock Transfer
Impersonators of Genuine Firms
Aton Capital Invest
Unregistered Soliciting Entities
Austin Claymore LP
Unregistered Soliciting Entities
Bainbridge Management
Unregistered Soliciting Entities
Baker Hamlin
Unregistered Soliciting Entities
Banc De Binary
Unregistered Soliciting Entities
Bank Guarantee Funding
Unregistered Soliciting Entities
Banner Commodities
Unregistered Soliciting Entities
Banner Partners
Unregistered Soliciting Entities
Baros and Ronaldo Associates
Unregistered Soliciting Entities
Barton Advisors, LLC
Impersonators of Genuine Firms
Bayside Equity Group, Inc.
Unregistered Soliciting Entities
Beacon Capital Management Inc.
Impersonators of Genuine Firms
Beacon Global Management, Inc.
Unregistered Soliciting Entities
Belmont Capital Holdings
Impersonators of Genuine Firms
Belmont Shaw and Associates Mergers and Acquisitions
Unregistered Soliciting Entities
Beltrades
Unregistered Soliciting Entities
Benchmark International Trading Group, Inc.
Unregistered Soliciting Entities
Benson Hill Advisors
Unregistered Soliciting Entities
Benton Wells & Associates, LLC
Unregistered Soliciting Entities
Berdon Law Mergers & Acquisitions
Unregistered Soliciting Entities
Berger Aron Macey
Unregistered Soliciting Entities
Berkley Liquidation & Administration
Unregistered Soliciting Entities
Berkshire Financial Management, LLC
Unregistered Soliciting Entities
Bernstein & Younge Asset Management Group, Ltd.
Unregistered Soliciting Entities
Bernstein, Whitman & Lloyds
Unregistered Soliciting Entities
Berrscott, Elliott & Associates
Unregistered Soliciting Entities
Best Investors Group, Inc.
Impersonators of Genuine Firms
Betterlife Investment Group
Unregistered Soliciting Entities
Binary Investment Management
Unregistered Soliciting Entities
Binary Market Arbitration Refund
Unregistered Soliciting Entities
Bingham Consulting Group
Impersonators of Genuine Firms
BlackBox Traders
Impersonators of Genuine Firms
Blackstone Royalty Corporation
Unregistered Soliciting Entities
Blackswan Morgan
Unregistered Soliciting Entities
Black Water Investment Group, L.L.P.
Unregistered Soliciting Entities
Blackwell & Associates
Unregistered Soliciting Entities
Blake Morgan Financials
Unregistered Soliciting Entities
Blockcryptomining
Unregistered Soliciting Entities
Bloomfield Trust Management, LLC
Unregistered Soliciting Entities
BL Trading Group
Unregistered Soliciting Entities
Blue Bayou Prospect Management
Unregistered Soliciting Entities
Blueford Consultancy Limited
Unregistered Soliciting Entities
Blue Ridge Financial Group
Unregistered Soliciting Entities
BNY Trading Services
Impersonators of Genuine Firms
Board of Financial Affairs
Fictitious Regulators
Board of International Equities
Fictitious Regulators
Board of Securities Trading Commission
Fictitious Regulators
Boesch Haufmann Asset Management, Inc.
Unregistered Soliciting Entities
Boston Acquisition Group
Unregistered Soliciting Entities
Boston Capital Management Inc.
Unregistered Soliciting Entities
Boston Management & Research
Impersonators of Genuine Firms
Boston Private Equity
Unregistered Soliciting Entities
Bowman & Malone LLP
Unregistered Soliciting Entities
Bradford Securities LLC
Impersonators of Genuine Firms
Bradley & Nowell
Unregistered Soliciting Entities
Bradley & Rogers
Unregistered Soliciting Entities
Brady & Bell Acquisition Ltd.
Unregistered Soliciting Entities
Bramwell & Kent Consultants, LLC.
Unregistered Soliciting Entities
Brant Fletcher Trust Management
Unregistered Soliciting Entities
Breakthrough Incorporated
Unregistered Soliciting Entities
Bremer Financial Ltd.
Unregistered Soliciting Entities
Brentcliffe Limited
Unregistered Soliciting Entities
Brentwood Capital Ventures
Unregistered Soliciting Entities
Bristol Financial Offshore
Unregistered Soliciting Entities
Brixton Business Consultants
Unregistered Soliciting Entities
Brookdale Management Consultancy, Inc.
Unregistered Soliciting Entities
Brookdale West Capital Management
Unregistered Soliciting Entities
Brookstone Group Transfer Agents
Unregistered Soliciting Entities
Brown and Wenger Consultancy Firm
Unregistered Soliciting Entities
Bureau of Compliance and Regulatory Board
Fictitious Regulators
Bureau of Financial & Protection Services
Fictitious Regulators
Bureau of Financial Trading
Fictitious Regulators
Bureau of Global Financial Trade Services
Fictitious Regulators
Bureau of International Securities Trading
Fictitious Regulators
Burgess, Cooper & Reynolds
Unregistered Soliciting Entities
Burnell Larkins, LLC
Unregistered Soliciting Entities
Burton Capital Partners
Unregistered Soliciting Entities
C&O Fund Distributor, Inc.
Impersonators of Genuine Firms
Cabbot Law Group
Unregistered Soliciting Entities
Cadwell Capital Partners
Unregistered Soliciting Entities
Cain Capital LLC
Impersonators of Genuine Firms
CAIS Capital LLC
Impersonators of Genuine Firms
Cambridge Equity Corporation
Impersonators of Genuine Firms
Cambridge Financial Partners LLC
Impersonators of Genuine Firms
Cameron McDonald & Co.
Unregistered Soliciting Entities
Cameron Poe & Associates Inc.
Unregistered Soliciting Entities
Cannon Corporate Consultants
Unregistered Soliciting Entities
Cantata Equity Management
Unregistered Soliciting Entities
Capgemini Law Mergers & Acquisitions
Unregistered Soliciting Entities
Capital Acquisition Group Inc.
Unregistered Soliciting Entities
Capital Advisory Partners New York
Impersonators of Genuine Firms
Capital Arc Holdings
Unregistered Soliciting Entities
Capital Insurance Group Ltd.
Unregistered Soliciting Entities
Capital M & A
Unregistered Soliciting Entities
Capital One Management Inc.
Impersonators of Genuine Firms
Capital Securities International
Unregistered Soliciting Entities
Capital Transfer Consolidated
Unregistered Soliciting Entities
Capital Trust Management, LLC
Unregistered Soliciting Entities
Capital Union Partners
Unregistered Soliciting Entities
Carlson and Clarke
Unregistered Soliciting Entities
Carlson Group Consultancy
Unregistered Soliciting Entities
Carlsson and Capehart Group, Ltd.
Unregistered Soliciting Entities
Carlton Capital Inc.
Unregistered Soliciting Entities
Cartwright & Keating, Inc.
Unregistered Soliciting Entities
Cartwright Financial
Unregistered Soliciting Entities
Cartwright Law Specialist Boston
Unregistered Soliciting Entities
Casey McCormick Private Equity
Unregistered Soliciting Entities
Caspian Trading, Inc., a.k.a. Caspian Investments
Unregistered Soliciting Entities
CC Ltd
Unregistered Soliciting Entities
CC Wealth Ltd.
Unregistered Soliciting Entities
CDN Law
Unregistered Soliciting Entities
Celivox Alliance
Unregistered Soliciting Entities
Centaur Global Advisors
Unregistered Soliciting Entities
Center for Securities Investigation Department
Fictitious Regulators
Center Point Financial Regulatory Board
Fictitious Regulators
Centrade Management Corp.
Unregistered Soliciting Entities
Central Equities Administrators
Fictitious Regulators
Central Finance Regulatory Commission
Fictitious Regulators
Central Stock Regulators
Fictitious Regulators
Century Holdings Ltd
Unregistered Soliciting Entities
Century Management Division, Inc.
Unregistered Soliciting Entities
Chadwick & Co.
Unregistered Soliciting Entities
Charles Pearson Investments International
Unregistered Soliciting Entities
Charlton Hayfield and Company
Unregistered Soliciting Entities
Chartered Capital Management
Unregistered Soliciting Entities
Chicago Division of Securities
Fictitious Regulators
Chicago Trading Regulatory Board
Fictitious Regulators
Chopper Securities
Impersonators of Genuine Firms
Chris Gardner Group
Unregistered Soliciting Entities
Christian, Bradford and Cohen Legal Group
Unregistered Soliciting Entities
CIG LLC, a.k.a. Commerce Investments Group LLC
Unregistered Soliciting Entities
CitiWealth Asset Management
Unregistered Soliciting Entities
City Capital Mergers & Acquisitions
Unregistered Soliciting Entities
Clarkson Black Associates
Unregistered Soliciting Entities
Clarus Capital Group Management
Unregistered Soliciting Entities
Clayton Capital Ventures, Inc.
Unregistered Soliciting Entities
CLC Acquisition Corp
Unregistered Soliciting Entities
Clifton Capital Partners LLC
Unregistered Soliciting Entities
Clydesdale Securities, LLC
Impersonators of Genuine Firms
Cohen & Partners
Unregistered Soliciting Entities
Cohen Corporate Consulting
Unregistered Soliciting Entities
Colbert & Welling LLP
Unregistered Soliciting Entities
Colby Mergers
Unregistered Soliciting Entities
Coleman, Peterson & Associates
Unregistered Soliciting Entities
Coleman Brothers
Unregistered Soliciting Entities
Collett Quinlan M&A
Unregistered Soliciting Entities
Colonial Square Acquisition LLC
Impersonators of Genuine Firms
Colonial Trust Transfer Agency LLC
Unregistered Soliciting Entities
Coltin Securities LLC
Impersonators of Genuine Firms
Commission on Financial & Securities Compliance
Fictitious Regulators
Commission on International Trade and Economics (COITE)
Fictitious Regulators
Commodity Compliance Services, Inc.
Unregistered Soliciting Entities
Condor Securities
Impersonators of Genuine Firms
Connelly Peterson Ltd.
Unregistered Soliciting Entities
Connolly Thomas Law
Unregistered Soliciting Entities
Continental American Group
Unregistered Soliciting Entities
Continental Private Equity LLC
Unregistered Soliciting Entities
Cooper Company Management
Unregistered Soliciting Entities
Coreen Bradford Insurance
Unregistered Soliciting Entities
Corestone Distributors
Impersonators of Genuine Firms
Cornerstone Financial Services
Impersonators of Genuine Firms
Corporate Mergers & Acquisition Group
Unregistered Soliciting Entities
Corporate Stock Transfer Services
Unregistered Soliciting Entities
Costello & Rubin Attorneys at Law
Unregistered Soliciting Entities
Cotton Wood Stock Transfer
Impersonators of Genuine Firms
Cover Capital Partners
Unregistered Soliciting Entities
CPI International
Unregistered Soliciting Entities
Crawford Clarke M&A
Unregistered Soliciting Entities
Crawford Stanley Advisors LLC
Unregistered Soliciting Entities
Crest Equity Partners, LP
Impersonators of Genuine Firms
Crest Trust Management, LLC
Unregistered Soliciting Entities
Cromwell and Goodwin
Unregistered Soliciting Entities
Crossley Acquisitions
Unregistered Soliciting Entities
Crown Corporate Consultants
Unregistered Soliciting Entities
Crown Will Escrow and Clearing
Unregistered Soliciting Entities
CSA Financial Group
Unregistered Soliciting Entities
CT Lambson and Associates, LLC
Unregistered Soliciting Entities
Cunningham, Austin, Wheeler & Associates
Unregistered Soliciting Entities
Dailey Securities, Inc.
Impersonators of Genuine Firms
Danford Capital Group
Unregistered Soliciting Entities
Darwin Acquisition Group
Unregistered Soliciting Entities
David, Scott & Allen PLLC
Unregistered Soliciting Entities
Davidson Capital Partners
Unregistered Soliciting Entities
David W. Jones, Attorney at Law
Impersonators of Genuine Firms
Davis & Rudell LLC
Unregistered Soliciting Entities
Davis and Company LLC
Unregistered Soliciting Entities
DB Yates & Associates
Unregistered Soliciting Entities
Dean Witter Consultancy
Impersonators of Genuine Firms
Delta West Financial Management
Unregistered Soliciting Entities
Dempsey Bingham
Unregistered Soliciting Entities
Department of Financial Compensation
Fictitious Regulators
Department of Financial Regulators
Fictitious Regulators
Department of Financial Securities Board
Fictitious Regulators
Department of Financial Trading
Fictitious Regulators
Department of Global Pacific Mergers & Acquisitions
Fictitious Regulators
Department of Interagency Protection Bureau
Fictitious Regulators
Department of International Financial Trading
Fictitious Regulators
Department of Law and Public Safety
Fictitious Regulators
Department of Orderly Liquidation
Fictitious Regulators
Department of Regulation in Washington
Fictitious Regulators
Department of Securities and Exchange Regulation
Fictitious Regulators
Department of Securities Liquidations
Fictitious Regulators
Department of Securities Trading
Fictitious Regulators
Dial Mergers
Unregistered Soliciting Entities
Diamond Title Services, LLC
Unregistered Soliciting Entities
District Stock Transfer
Unregistered Soliciting Entities
Diversified Global Equities Group
Unregistered Soliciting Entities
Diversified Portfolio Management Invest, a.k.a. DPM Invest
Unregistered Soliciting Entities
Diversified Private Capital Group
Unregistered Soliciting Entities
Division of Securities
Fictitious Regulators
Division of Securities for the District of Columbia (DOSDC)
Fictitious Regulators
Dixon Associates
Unregistered Soliciting Entities
DMR Consulting, LLC
Unregistered Soliciting Entities
Dragon International, a.k.a. Dragon Mergers
Unregistered Soliciting Entities
Drexel Lambert Mergers and Acquisitions
Unregistered Soliciting Entities
DreyfusMeyer & Co., Inc.
Unregistered Soliciting Entities
Drobium Associates
Unregistered Soliciting Entities
Duke & Bremmer Law Firm LP
Unregistered Soliciting Entities
Dukes Merger & Acquisitions, Inc.
Unregistered Soliciting Entities
Duke Smythe Associates
Unregistered Soliciting Entities
Dumont Private Equity
Unregistered Soliciting Entities
DurdanHeyer Ltd.
Unregistered Soliciting Entities
East Coast Law Florida
Unregistered Soliciting Entities
Eastern Security Trading Commission
Fictitious Regulators
East Financial Group Incorporated
Unregistered Soliciting Entities
East International Transfer
Unregistered Soliciting Entities
Eastman Pierce Partners Mergers and Acquisitions
Unregistered Soliciting Entities
Easton Consultancy, a.k.a. Easton Consultancy Advisory Firm
Unregistered Soliciting Entities
East West Financial & Securities Compliance
Fictitious Regulators
Eastwest Management Group Ltd.
Unregistered Soliciting Entities
Ebond Securities L.L.C.
Impersonators of Genuine Firms
Economic and Financial Services Commission
Fictitious Regulators
Edison Transfer Agency
Unregistered Soliciting Entities
Edward Collins and Associates
Unregistered Soliciting Entities
Elliot Private Equity
Unregistered Soliciting Entities
Ellipse Trading
Unregistered Soliciting Entities
Emerald Point Capital
Impersonators of Genuine Firms
Empire Capital Partners
Impersonators of Genuine Firms
Empire Financial Management Incorporated
Unregistered Soliciting Entities
Endeavor Capital Partners
Impersonators of Genuine Firms
Endeavour Mergers and Acquisitions
Unregistered Soliciting Entities
Equities Trading Commission
Fictitious Regulators
Equity Law Group
Unregistered Soliciting Entities
Equity Trust Management, LLC
Unregistered Soliciting Entities
Europa Commodities, a.k.a. Europa Capital LLC
Impersonators of Genuine Firms
Everett Capital Partners
Unregistered Soliciting Entities
Faber Landau
Unregistered Soliciting Entities
Factor Private Equity LLC
Unregistered Soliciting Entities
Fairchild Holdings & Advisory Firm Corporation
Unregistered Soliciting Entities
FAP USA, L.P.
Impersonators of Genuine Firms
Farrel, Thornton, Lloyd & Brown
Unregistered Soliciting Entities
FCM Advisory Services, Inc.
Unregistered Soliciting Entities
Federal Asset Management
Unregistered Soliciting Entities
Federal Capital, Inc.
Unregistered Soliciting Entities
Federal Division Of Securities, NY
Fictitious Regulators
Federal Equities Corporation
Unregistered Soliciting Entities
Federal Financial Regulatory Board
Fictitious Regulators
Federal Financial Services Commission
Fictitious Regulators
Federal Recapitalization Fund
Fictitious Regulators
Federal Regulatory Board
Fictitious Regulators
Federal Securities and Investments Regulatory Commission (FSIRC)
Fictitious Regulators
Federal Securities Commission
Fictitious Regulators
Federal Securities Regulatory Agency
Fictitious Regulators
Federal Security Trading Regulatory Board
Fictitious Regulators
Federal Stock Commission
Fictitious Regulators
Feinler Management Group
Unregistered Soliciting Entities
Ferguson Hathaway Consulting, Ltd./FH Consulting
Unregistered Soliciting Entities
FinAllianz
Unregistered Soliciting Entities
Finance Regulation Board
Fictitious Regulators
Finance Regulation Bureau
Fictitious Regulators
Financial & Regulatory Oversight Board
Fictitious Regulators
Financial Action Task Force
Fictitious Regulators
Financial Advisors KMG
Unregistered Soliciting Entities
Financial Affairs Corporation
Unregistered Soliciting Entities
Financial Asset Management, Inc.
Impersonators of Genuine Firms
Financial Compensation Authority
Fictitious Regulators
Financial Conduct United States of America
Fictitious Regulators
Financial Fraud Enforcement Task Force
Fictitious Regulators
Financial Fraud Examiners
Unregistered Soliciting Entities
Financial Protection Commission
Fictitious Regulators
Financial Protection Intelligence Unit
Fictitious Regulators
Financial Regulation Bureau
Fictitious Regulators
Financial Securities and Equities Bureau (FSEB)
Fictitious Regulators
Financial Securities and Investments Commission
Fictitious Regulators
Financial Services Commission
Fictitious Regulators
Financial Soultions (sic)
Unregistered Soliciting Entities
Financial Trading Board

FinSolve Inc.
Unregistered Soliciting Entities
FinTrade Advisors Inc.
Unregistered Soliciting Entities
First American Group, Inc.
Unregistered Soliciting Entities
First Axis Group
Unregistered Soliciting Entities
First Escrow Trust
Unregistered Soliciting Entities
First Financial Management
Unregistered Soliciting Entities
First Independent Accounting & Management Services Inc.
Unregistered Soliciting Entities
First Investment Securities
Impersonators of Genuine Firms
First Liberty Transfer Agency, LLC
Unregistered Soliciting Entities
First National Reliance Inc.
Unregistered Soliciting Entities
First National Stock Transfer Inc.
Impersonators of Genuine Firms
First Prime Corporations, a.k.a. First Prime Corp.
Unregistered Soliciting Entities
First Private Equity Group
Unregistered Soliciting Entities
First Trade Securities
Unregistered Soliciting Entities
Foreign Investors Surveillance Authority
Fictitious Regulators
Forensic Accounting and Financial Fraud Investigator
Fictitious Regulators
Forte Capital Mergers and Acquisitions
Unregistered Soliciting Entities
Fortis IM Trade
Unregistered Soliciting Entities
FORTRESS Investment Group
Impersonators of Genuine Firms
Foster & White Acquisition Group
Unregistered Soliciting Entities
Franklin Law Office
Unregistered Soliciting Entities
Franklin Rankin, LLC
Unregistered Soliciting Entities
Frazer White Group
Unregistered Soliciting Entities
Frost Capital Partners
Unregistered Soliciting Entities
Fundamental Trading Inc.
Unregistered Soliciting Entities
Fund Investors, Inc.
Impersonators of Genuine Firms
FX Well Investment
Unregistered Soliciting Entities
G&L Partners, Inc.
Impersonators of Genuine Firms
Gardner Financial Trading
Impersonators of Genuine Firms
Garrett Hopkins Associates
Unregistered Soliciting Entities
Gemini M&A
Unregistered Soliciting Entities
GFC Worldwide, a.k.a. Global Financial Corp.
Unregistered Soliciting Entities
Giles and Hochman Consulting
Unregistered Soliciting Entities
Glendale Management Group
Unregistered Soliciting Entities
Global Alliance Insurance Company
Unregistered Soliciting Entities
Global Asset Management Inc.
Unregistered Soliciting Entities
Global Asset Registration and Transfer Corporation
Unregistered Soliciting Entities
Global Capital Group Mergers & Acquisitions
Unregistered Soliciting Entities
Global Capital Management, Inc.
Impersonators of Genuine Firms
Global Capital Markets Worldwide
Impersonators of Genuine Firms
Global Compliance Agency
Fictitious Regulators
Global Corporate Partners
Unregistered Soliciting Entities
Global Direct Asset Management
Unregistered Soliciting Entities
Global Direct Equities LLC
Impersonators of Genuine Firms
Global Direct Financial Inc.
Unregistered Soliciting Entities
Global Equities, Inc.
Impersonators of Genuine Firms
Global Financial Corp. Worldwide, a.k.a. GFC Worldwide
Unregistered Soliciting Entities
Global Financial Group Advisors
Impersonators of Genuine Firms
Global Financial Protection Commission
Fictitious Regulators
Global Financial Tree
Unregistered Soliciting Entities
Global FX
Unregistered Soliciting Entities
Global Growth Acquisition Corporation
Impersonators of Genuine Firms
Global Investments Compliance Center
Fictitious Regulators
Global Partners Securities
Impersonators of Genuine Firms
Global Quest Consultancy Services, Inc.
Unregistered Soliciting Entities
Global Quest Emerging Fund LP
Impersonators of Genuine Firms
Global Re-Insurance Services
Unregistered Soliciting Entities
Global Registration and Transfer Corporation
Unregistered Soliciting Entities
Global Securities Crime Investigators
Fictitious Regulators
Global Securities Protection Agency
Fictitious Regulators
Global Securities Regulatory Commission
Fictitious Regulators
Global Securities Service Group
Unregistered Soliciting Entities
Global Security Transfer
Unregistered Soliciting Entities
Global Trading Group
Impersonators of Genuine Firms
Gloucester & Stern Inc.
Unregistered Soliciting Entities
GMA Advisory Services, Inc.
Unregistered Soliciting Entities
Golden Medallion Trading
Unregistered Soliciting Entities
Goldman Capital Management
Impersonators of Genuine Firms
Goldman Phillips
Unregistered Soliciting Entities
Goldsmith & Harris
Impersonators of Genuine Firms
Goldstein & Bradley
Unregistered Soliciting Entities
Goodwin William Inc.
Unregistered Soliciting Entities
Gordon, Tait & Co. LLC
Unregistered Soliciting Entities
Gordon Group Services
Unregistered Soliciting Entities
Graham Morrison Wilson
Unregistered Soliciting Entities
Grant Group LLC
Unregistered Soliciting Entities
Great Harbor Compliance Regulatory Board
Fictitious Regulators
Great Southern Investment
Impersonators of Genuine Firms
Green & Book LLC
Unregistered Soliciting Entities
Green Bay Ventures LLC
Unregistered Soliciting Entities
Greenberg International Law & Tax Advisory
Unregistered Soliciting Entities
Greenfield and Associates
Unregistered Soliciting Entities
Greenfield Insurance Services
Unregistered Soliciting Entities
Greenfield Securities Ltd.
Unregistered Soliciting Entities
Greentree Financial Advisors
Impersonators of Genuine Firms
Green Wave Corporation
Impersonators of Genuine Firms
Green Wave Corporation
Unregistered Soliciting Entities
Greenway Consultancy
Unregistered Soliciting Entities
Greenwood Capital Advisors
Unregistered Soliciting Entities
Grenfell and Blackrock Associates
Unregistered Soliciting Entities
Greyson Consulting Group
Unregistered Soliciting Entities
Greystone Asset Management
Impersonators of Genuine Firms
Griffin Advisors Limited
Impersonators of Genuine Firms
Griffin Mergers and Acquisitions
Unregistered Soliciting Entities
Gruber and Green, Inc.
Unregistered Soliciting Entities
GS Global Asset Management LLC
Impersonators of Genuine Firms
Guardian Creative Tax Planners
Unregistered Soliciting Entities
Guardian International
Unregistered Soliciting Entities
Gultsara Trading Ltd.
Unregistered Soliciting Entities
H. Taft Private Equity
Unregistered Soliciting Entities
Hales Securities
Impersonators of Genuine Firms
Hamilton and Pricehouse Consultancy
Unregistered Soliciting Entities
Hammond Global Solutions LLC
Unregistered Soliciting Entities
Hampton Capital Management
Unregistered Soliciting Entities
Hamza and Associates
Unregistered Soliciting Entities
Hanworth Weir Ltd.
Unregistered Soliciting Entities
Harbor Light Securities Inc.
Impersonators of Genuine Firms
Harkins Law Firm
Unregistered Soliciting Entities
Harris James Associates
Unregistered Soliciting Entities
HCC Global Financial Group
Impersonators of Genuine Firms
Heale Financial LLC
Unregistered Soliciting Entities
Heckart Associates, LLC
Unregistered Soliciting Entities
Hedges Capital Group
Unregistered Soliciting Entities
Hedges Mergers & Acquisitions
Unregistered Soliciting Entities
Heinz Hokkaido International
Unregistered Soliciting Entities
Hendricks & Hurst
Unregistered Soliciting Entities
Henrickson Dickson LLC
Unregistered Soliciting Entities
Hermann Brothers Group
Unregistered Soliciting Entities
Hill Law Associates
Unregistered Soliciting Entities
Hillton Stock Investment Limited, a.k.a. Hillton Stocks Investments

Hobart & Roth, LLC
Unregistered Soliciting Entities
Hobdell and Williamson
Unregistered Soliciting Entities
Hogan, Case & Polk
Unregistered Soliciting Entities
Holland Capital Management
Impersonators of Genuine Firms
Hopewood and Company
Unregistered Soliciting Entities
Howard, James & Watson LLC
Unregistered Soliciting Entities
Howard Gary & Company, Inc.
Impersonators of Genuine Firms
Howell and Johnson Associates
Unregistered Soliciting Entities
Howland Law
Unregistered Soliciting Entities
Hudson Munroe Transfer Agents
Unregistered Soliciting Entities
Humphrey ETS LTD.
Unregistered Soliciting Entities
IBG and Associates
Unregistered Soliciting Entities
ICSID Lawyers
Fictitious Regulators
IDA Consultancy
Unregistered Soliciting Entities
Illuminate Ventures Advisor Inc.
Impersonators of Genuine Firms
Impact Finance
Unregistered Soliciting Entities
Imperial Quest Ventures, Ltd.
Unregistered Soliciting Entities
Institutional Equity Partners
Unregistered Soliciting Entities
Integrated Financial Regulatory Board
Fictitious Regulators
Integrated Tax
Unregistered Soliciting Entities
Interactive Taxation Consultants
Unregistered Soliciting Entities
Intercapital Equity Partners
Unregistered Soliciting Entities
Intercapital Venture Group
Unregistered Soliciting Entities
Intercontinental Financial Protection Commission
Fictitious Regulators
InterContinental Financial Regulatory Board
Fictitious Regulators
InterGlobal Financial Registrar
Fictitious Regulators
International Association of Transfer Agents
Fictitious Regulators
International Board of Mergers & Acquisitions
Fictitious Regulators
International Board of Trade Commission
Fictitious Regulators
International Claims Commission
Fictitious Regulators
International Commission of Securities
Fictitious Regulators
International Compliance Assistance Center
Fictitious Regulators
International Corporate Advisors
Unregistered Soliciting Entities
International Divestment Services IR Ltd
Unregistered Soliciting Entities
International Equities Administrators
Fictitious Regulators
International Escrow Services, Inc
Unregistered Soliciting Entities
International Exchange Commission
Fictitious Regulators
International Financial & Regulatory Commission
Fictitious Regulators
International Financial Forensics Organization
Fictitious Regulators
International Financial Market Regulatory Agency
Fictitious Regulators
International Financial Oversight Commission
Fictitious Regulators
International Financial Securities Regulatory Commission
Fictitious Regulators
International Financial Trading Commission
Fictitious Regulators
International Fraud Alert
Fictitious Regulators
International Fraud Assessment Agency
Fictitious Regulators
International Information Exchange
Fictitious Regulators
International Investments and Securities Commission
Fictitious Regulators
International Investor Protection Coalition, a.k.a. IIP Coalition
Fictitious Regulators
International Mergers
Unregistered Soliciting Entities
International Network for Investor Action and Protection
Fictitious Regulators
International Organization of Registrar and Clearing Agents (IORACA)
Fictitious Regulators
International Organization of Transfer and Registrar Agents
Fictitious Regulators
International Protection and Surveillance Authority
Fictitious Regulators
International Regulators Board
Fictitious Regulators
International Securities Accreditation Authority
Fictitious Regulators
International Securities Administrators
Fictitious Regulators
International Securities and Equities Board
Fictitious Regulators
International Securities Authority
Fictitious Regulators
International Securities Board
Fictitious Regulators
International Securities Commission
Fictitious Regulators
International Securities Regulators
Fictitious Regulators
International Securities Regulatory Agency
Fictitious Regulators
International Securities Regulatory Division
Fictitious Regulators
International Securities Validation Division
Fictitious Regulators
International Shareholders Compliance Department
Fictitious Regulators
International Share Verification Department
Fictitious Regulators
International Stock Regulators
Fictitious Regulators
International Stock Transfer Administration (ISTA)
Fictitious Regulators
International Trading Board
Fictitious Regulators
International Trading Commission
Fictitious Regulators
International Transfer Services Limited
Unregistered Soliciting Entities
Intertrade Compliance Board
Fictitious Regulators
Investment and Security Fraud Protection Agency Two Prudential Plaza
Fictitious Regulators
Investment Recovery Service
Unregistered Soliciting Entities
Investor Protect Bureau
Fictitious Regulators
Investor Protection Enforcement Council
Fictitious Regulators
Investors Advisory Services, LLC
Impersonators of Genuine Firms
IPO Securities Litigation
Unregistered Soliciting Entities
Isaac Paige Group

Itaxation Corporation Ltd.
Unregistered Soliciting Entities
J. Rowan Associates
Unregistered Soliciting Entities
J. Streicher & Co LLC
Impersonators of Genuine Firms
Jackson Bernstein Associates
Unregistered Soliciting Entities
Jacobson Group
Unregistered Soliciting Entities
Jacob Stuart & Knight Inc.
Unregistered Soliciting Entities
James & Mays, PLLC
Unregistered Soliciting Entities
Janco Lazard Transfer Company
Unregistered Soliciting Entities
JD Trading
Unregistered Soliciting Entities
Jefferson Clark Associates
Unregistered Soliciting Entities
Jeremy Fleming International
Unregistered Soliciting Entities
John H. Slade & Co., Inc.
Unregistered Soliciting Entities
Johnson McQuade Acquisitions Corp.
Unregistered Soliciting Entities
JPR Capital Corp.
Impersonators of Genuine Firms
JSM Financial
Unregistered Soliciting Entities
JT Limited Partnership
Unregistered Soliciting Entities
Kaplan Mergers
Unregistered Soliciting Entities
Karum Group LLC Law Firm
Unregistered Soliciting Entities
Keep Clearing Corporation LLC
Unregistered Soliciting Entities
Kenilworth Mergers & Acquisitions Inc.
Unregistered Soliciting Entities
Kennedy, Anderson & Lang
Unregistered Soliciting Entities
Kensington Advisory & Investment Group
Impersonators of Genuine Firms
Keswick Group
Unregistered Soliciting Entities
Keystone Corporate Group
Unregistered Soliciting Entities
Keystone Global Marketing
Unregistered Soliciting Entities
Kiefer Business Services LLC
Unregistered Soliciting Entities
Kinetic Escrow Trust
Unregistered Soliciting Entities
Kingsley Capital Partners Inc.
Unregistered Soliciting Entities
Kipling Mercer & Co. LLC
Unregistered Soliciting Entities
Kirkland Gray Acquisitions
Unregistered Soliciting Entities
Kirkland Mergers & Acquisitions
Unregistered Soliciting Entities
Kobe Asset Management
Unregistered Soliciting Entities
KPH Consulting Group
Unregistered Soliciting Entities
Kramer & Associates Management Group LLC
Unregistered Soliciting Entities
Kravitz Roth, Ltd.
Unregistered Soliciting Entities
Krust Global Financials
Unregistered Soliciting Entities
Lakeshore Private Equity LLP
Unregistered Soliciting Entities
Lambert McMillan Corporation
Unregistered Soliciting Entities
Landmark M&A, Inc.
Unregistered Soliciting Entities
Lansley, Everett & Moore, LLC
Unregistered Soliciting Entities
Law Experts of New York
Unregistered Soliciting Entities
Law Office of Ashley & Gina Wilson Associates
Unregistered Soliciting Entities
Lawrence James and Associates
Unregistered Soliciting Entities
Lead Capital Partners
Unregistered Soliciting Entities
Lead Global Ltd.
Unregistered Soliciting Entities
Lee Grant Morrison
Unregistered Soliciting Entities
Legacy Capital Management, LLC
Impersonators of Genuine Firms
Legal Management Consultants
Unregistered Soliciting Entities
Legal Recovery Consultants
Unregistered Soliciting Entities
Legg and Berman Acquisitions Management
Unregistered Soliciting Entities
Leo Equities
Unregistered Soliciting Entities
Levine & Levine Law Specialist
Unregistered Soliciting Entities
Liberty Investors Protection Agency
Unregistered Soliciting Entities
Liberty Trade & Investment
Unregistered Soliciting Entities
Liberty Transfer Co.
Impersonators of Genuine Firms
Liberty Ventures Holding Inc.
Unregistered Soliciting Entities
Lincoln & Rutherford Trust Management
Unregistered Soliciting Entities
Lincoln Equity Partners
Unregistered Soliciting Entities
Lincoln International Fund LP
Impersonators of Genuine Firms
Lincoln Trust Transfer Agency LLC
Unregistered Soliciting Entities
Lindenberg Asset Management
Unregistered Soliciting Entities
Litmus Capital Management Group LLC
Impersonators of Genuine Firms
Livingston Mergers & Acquisitions
Unregistered Soliciting Entities
Lloyd Brown Investments, Inc.
Unregistered Soliciting Entities
Lloyd Morgan Company
Unregistered Soliciting Entities
Lloyds & Lambert Capital Ventures Inc.
Unregistered Soliciting Entities
Lloyds Commercial Finance
Unregistered Soliciting Entities
Logan Acquisitions
Unregistered Soliciting Entities
Lombard Grand Financials
Unregistered Soliciting Entities
Longworth and Richman Law Group
Unregistered Soliciting Entities
Lubater Consulting
Unregistered Soliciting Entities
Lynx Mackenzie, Inc.
Unregistered Soliciting Entities
M&A Securities Group
Unregistered Soliciting Entities
M&A Securities Group
Impersonators of Genuine Firms
Macallaster Pitfield Mackay Inc.
Impersonators of Genuine Firms
Macellum Capital Management, LLC
Impersonators of Genuine Firms
MacMillian Escrow Trust
Unregistered Soliciting Entities
Macro Acquisitions LLC
Unregistered Soliciting Entities
Macros Investment, Inc.
Impersonators of Genuine Firms
Madden Group Inc. (MGI)
Unregistered Soliciting Entities
Maddisson Jardine Associates
Unregistered Soliciting Entities
Madison Avenue Mergers & Acquisitions
Unregistered Soliciting Entities
MAGV Securities
Impersonators of Genuine Firms
Maitland Bell & Co.
Unregistered Soliciting Entities
Mallary & Company, LLC
Unregistered Soliciting Entities
Mandolin Resources
Unregistered Soliciting Entities
Manhasset Capital Management Group
Impersonators of Genuine Firms
Manhattan Acquisition Corp.
Impersonators of Genuine Firms
Manhattan Corporate Transfers
Unregistered Soliciting Entities
Manning Capital Inc.
Unregistered Soliciting Entities
Mannix M&A
Unregistered Soliciting Entities
Manor Private Capital, LLC
Impersonators of Genuine Firms
Marcus & Company Inc.
Unregistered Soliciting Entities
Marcus KPO Services, LLC
Unregistered Soliciting Entities
Marsh & Reede Capital
Unregistered Soliciting Entities
Marshall Security & Transfer Inc.
Unregistered Soliciting Entities
Martin Curtis Smith Group Limited Global Law
Unregistered Soliciting Entities
Mason Securities LLC
Impersonators of Genuine Firms
Massaki, Lane and Associates
Unregistered Soliciting Entities
Mathisen Financial
Unregistered Soliciting Entities
Maxwell Consultancy Limited
Unregistered Soliciting Entities
Maxwell Financial Services
Unregistered Soliciting Entities
Maxwell Financial Services
Impersonators of Genuine Firms
Maxwell Mergers & Acquisitions Group Inc.
Unregistered Soliciting Entities
Mayer and Connolly LLP
Unregistered Soliciting Entities
MBC Finance Group
Unregistered Soliciting Entities
MBR Asset Management
Unregistered Soliciting Entities
MC Capital Markets LLC
Impersonators of Genuine Firms
McCarthy & Bennett M&A
Unregistered Soliciting Entities
Mckenzie & Sons Mergers & Acquisitions
Unregistered Soliciting Entities
McKinney Capital Partners
Unregistered Soliciting Entities
Mclintock Greer
Unregistered Soliciting Entities
McMillan Consulting
Unregistered Soliciting Entities
McMillan Consulting Group
Unregistered Soliciting Entities
McPherson Gordon Ltd.
Unregistered Soliciting Entities
MCT International Investments
Unregistered Soliciting Entities
Mc’Dave Investments & Financial
Unregistered Soliciting Entities
Meister VI - Meister Ventures Inc.
Unregistered Soliciting Entities
MEL International Ltd.
Unregistered Soliciting Entities
Melrose & Greystone
Unregistered Soliciting Entities
Mendelson & Associates
Unregistered Soliciting Entities
Menden Hall Law Office
Unregistered Soliciting Entities
Mercury Global Acquisition Inc.
Unregistered Soliciting Entities
Mergers & Acquisitions Law Group
Unregistered Soliciting Entities
Metcap Securities
Impersonators of Genuine Firms
Metropolitan Financial Institutions Supervisory
Fictitious Regulators
Micro Global Management Inc.
Unregistered Soliciting Entities
Midal Consulting Co.
Unregistered Soliciting Entities
Miller & Cohen
Unregistered Soliciting Entities
Miller & Parker Consulting Group
Unregistered Soliciting Entities
Miller & Ross
Unregistered Soliciting Entities
Miller Consulting Group
Unregistered Soliciting Entities
Miller Winston
Unregistered Soliciting Entities
Minemora Investment Group
Unregistered Soliciting Entities
Minor Group Incorporated
Unregistered Soliciting Entities
MIT Associates Incorporated
Impersonators of Genuine Firms
Mitchell Bloch Law Firm
Unregistered Soliciting Entities
MKL Business Services, LLC
Unregistered Soliciting Entities
Montgomery Roth International LLP
Unregistered Soliciting Entities
Morgan Consultancy Group
Unregistered Soliciting Entities
Morgan Investment Management
Impersonators of Genuine Firms
Morgan Premier Group
Unregistered Soliciting Entities
Morisson & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
Unregistered Soliciting Entities
Morisson Ventures Inc.
Unregistered Soliciting Entities
Mulvey & Hanson, LLP
Unregistered Soliciting Entities
Myers and Baker Associates
Unregistered Soliciting Entities
National Compliance Regulatory Board
Fictitious Regulators
National Financial Commission
Fictitious Regulators
National Financial Supervision Authority
Fictitious Regulators
National Securities Authority
Fictitious Regulators
NBI Energy
Impersonators of Genuine Firms
Nevada Transfer Agent
Unregistered Soliciting Entities
New Alliance Securities, Inc.
Impersonators of Genuine Firms
Newcastle Distributors
Impersonators of Genuine Firms
Newcastle Trust, Ltd.
Unregistered Soliciting Entities
New England Private Equity, LLC
Unregistered Soliciting Entities
New York Board of Regulators
Fictitious Regulators
New York City Investment Fund Inc.
Impersonators of Genuine Firms
New York Compliance Regulatory Board
Fictitious Regulators
New York Finance Company
Unregistered Soliciting Entities
New York Global Group, Inc.
Impersonators of Genuine Firms
New York Law Acquisitions
Unregistered Soliciting Entities
New York Law Specialist
Unregistered Soliciting Entities
New York Regulatory Division
Fictitious Regulators
New York Securities Division
Fictitious Regulators
Norsk Financial
Unregistered Soliciting Entities
North American Securities Transfer
Unregistered Soliciting Entities
Northern Alliance Group
Unregistered Soliciting Entities
North Pacific Mergers & Acquisitions
Unregistered Soliciting Entities
NorthPoint M&A Advisors NorthPoint M&A Advisors LLC
Unregistered Soliciting Entities
Northwest Global Management, Inc.
Unregistered Soliciting Entities
Northwest Mergers and Acquisitions, Inc.
Unregistered Soliciting Entities
Nortia Account Management
Unregistered Soliciting Entities
NT Financial Services
Unregistered Soliciting Entities
NW Advisors LLC
Impersonators of Genuine Firms
NY Finance Ltd.
Unregistered Soliciting Entities
O'Coone, McCormack & Button Ltd.
Impersonators of Genuine Firms
Oasis Mergers & Acquisitions
Unregistered Soliciting Entities
Obrien & Shepard Inc.
Impersonators of Genuine Firms
Office of Financial Affairs
Fictitious Regulators
Offshore Securities Commission
Fictitious Regulators
Offshore Taxation
Unregistered Soliciting Entities
Offutt Securities Inc.
Impersonators of Genuine Firms
One Global Management
Unregistered Soliciting Entities
One Global Venture Group
Unregistered Soliciting Entities
One New York Financial Services
Unregistered Soliciting Entities
Orient Acquisitions Group Inc.
Unregistered Soliciting Entities
Osprey Partners LLC
Impersonators of Genuine Firms
Overseas Financial & Regulatory Oversight Board
Fictitious Regulators
Overseas Financial Authority
Fictitious Regulators
Overseas Investors Information Network
Fictitious Regulators
Overseas Security Trading Protection Commission
Fictitious Regulators
P.A.N. Securities LP
Impersonators of Genuine Firms
P.J. Solomon Securities LLC, a.k.a. P.J. Solomon LLC
Impersonators of Genuine Firms
Pacific American Securities
Impersonators of Genuine Firms
Pacific Capital Management LLC
Impersonators of Genuine Firms
Pacific Capital Management LLC
Unregistered Soliciting Entities
Pacific Ventures Consultancy
Unregistered Soliciting Entities
Pan American Acquisition Group
Unregistered Soliciting Entities
Paragon Capital Group, Inc.
Impersonators of Genuine Firms
Park Avenue Mergers and Acquisitions LLC
Unregistered Soliciting Entities
Parkbrook Capital Inc. aka Parkbrook Inc.
Impersonators of Genuine Firms
Parker & Masters LLC
Unregistered Soliciting Entities
Parker & Mckenzie, Inc.
Unregistered Soliciting Entities
PDH Transfers LLC
Unregistered Soliciting Entities
Pederson Law Firm
Unregistered Soliciting Entities
Pegasus Mergers and Acquisitions
Unregistered Soliciting Entities
Pelican Trading Group
Unregistered Soliciting Entities
Pennsylvania Division of Securities
Fictitious Regulators
Performance Equity Inc.
Unregistered Soliciting Entities
Perkins Consultancy Group
Unregistered Soliciting Entities
Permanent Fund LLC
Unregistered Soliciting Entities
Peter Hamilton Law Firm & Consultancy
Unregistered Soliciting Entities
Peterson Advisors Limited, a.k.a. Peterson Consultancy
Unregistered Soliciting Entities
Peterson Capital Partners, Inc., a.k.a. Peterson Capital Partnership Inc.
Unregistered Soliciting Entities
Pex Global Inc.
Impersonators of Genuine Firms
PFS Investments
Impersonators of Genuine Firms
Phenix Digital Solutions
Unregistered Soliciting Entities
Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management
Unregistered Soliciting Entities
Pinicle Registry
Unregistered Soliciting Entities
Pinnacle Invest Group Ltd.
Unregistered Soliciting Entities
Platinum Global Associates
Unregistered Soliciting Entities
Platinum Group International
Unregistered Soliciting Entities
Plutus Private Equity LLP
Unregistered Soliciting Entities
Pointe Atlantic
Impersonators of Genuine Firms
Pointe Capital Partners Inc.
Unregistered Soliciting Entities
Portfolio Investment Co. Ltd.
Impersonators of Genuine Firms
Powell Financial Services
Unregistered Soliciting Entities
Premier Consultancy Group (PCG)
Unregistered Soliciting Entities
Premier Mergers
Unregistered Soliciting Entities
Premium Direct Capital Partners
Unregistered Soliciting Entities
Prime Acquisitions Group, Inc.
Unregistered Soliciting Entities
Prime Group of Companies
Unregistered Soliciting Entities
Prime Risk Solutions
Unregistered Soliciting Entities
Prime Solutions, Inc.
Unregistered Soliciting Entities
Princeton Capital Investments, Inc.
Impersonators of Genuine Firms
Private Capital Venture Group
Unregistered Soliciting Entities
Private Fund Management S.A.
Unregistered Soliciting Entities
Private Trading Acquisitions
Unregistered Soliciting Entities
Progress Investments LLC
Impersonators of Genuine Firms
Provident Capital Management
Impersonators of Genuine Firms
PV Merger Group
Unregistered Soliciting Entities
Qatalyst Partners, L.P.
Impersonators of Genuine Firms
Quantum Global Equities Inc.
Unregistered Soliciting Entities
Quantum Partners International
Unregistered Soliciting Entities
Quantum Private Equity
Unregistered Soliciting Entities
Quantum Reliance Group
Unregistered Soliciting Entities
Ratherways and Co.
Unregistered Soliciting Entities
Rayburn Watson & Associates
Unregistered Soliciting Entities
RBM International Limited
Unregistered Soliciting Entities
Regal Registrars
Unregistered Soliciting Entities
Regency Acquisition Group
Unregistered Soliciting Entities
Regency Group Inc.
Impersonators of Genuine Firms
Regency Group Inc.
Unregistered Soliciting Entities
Regent & Langley Consulting Group
Unregistered Soliciting Entities
Regent Capital Ventures Inc.
Unregistered Soliciting Entities
Regent Consolidated
Unregistered Soliciting Entities
Regional Financial Services Commission
Fictitious Regulators
Regional Regulatory Board
Fictitious Regulators
Regulatory Advisory Commission
Fictitious Regulators
Regulatory Compliance Board
Fictitious Regulators
Reliance Capital Management Advisors
Impersonators of Genuine Firms
Resonanceoptions
Unregistered Soliciting Entities
Revera Associates
Unregistered Soliciting Entities
Rhine & Associates
Unregistered Soliciting Entities
Richfield Orion International Group
Impersonators of Genuine Firms
Richmond Grant Security & Transfer Inc.
Unregistered Soliciting Entities
RidgeWood Securities
Impersonators of Genuine Firms
Ridley Steed & Cabot
Unregistered Soliciting Entities
Riley Cohen LLC
Unregistered Soliciting Entities
Riley Securities and Trading Management
Unregistered Soliciting Entities
Robbins, McCaully, Appleby LLC
Unregistered Soliciting Entities
Robertson Ellis
Unregistered Soliciting Entities
Robinson Capital Partners
Unregistered Soliciting Entities
Robinson Hurst M&A
Unregistered Soliciting Entities
Roche Capital Partners LP
Unregistered Soliciting Entities
Rose & Cranfield
Unregistered Soliciting Entities
Rosen and Associates
Unregistered Soliciting Entities
Rosenberg Corporate Law
Unregistered Soliciting Entities
Rosenthal & Goldberg Associates
Unregistered Soliciting Entities
Rothman Securities
Impersonators of Genuine Firms
Rothridge Consulting Group
Unregistered Soliciting Entities
Ryan & Mahar, LLC
Unregistered Soliciting Entities
S-Acquisition Corp
Unregistered Soliciting Entities
Salvora Invest and Trade, Inc.
Unregistered Soliciting Entities
Sanders Associates LLP
Unregistered Soliciting Entities
Santander Investment Securities Group
Impersonators of Genuine Firms
SB Registry
Unregistered Soliciting Entities
SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
Impersonators of Genuine Firms
Schiller Gates, Inc.
Unregistered Soliciting Entities
Schroeder Law Firm
Unregistered Soliciting Entities
Schwartz Leiberman Associates
Unregistered Soliciting Entities
Scope Acquisitions
Unregistered Soliciting Entities
Scott & Alder
Unregistered Soliciting Entities
Scott and Fischer Consultancy Limited
Unregistered Soliciting Entities
Seago South Mergers & Acquisitions, LLP
Unregistered Soliciting Entities
Seale Capital Inc.
Impersonators of Genuine Firms
Secured Trade Investment
Unregistered Soliciting Entities
SecureFx Options
Unregistered Soliciting Entities
Secure Insurance
Unregistered Soliciting Entities
Securities Administration
Fictitious Regulators
Securities Africa Limited
Unregistered Soliciting Entities
Securities and Financial Commission (SFC)
Fictitious Regulators
Securities and Investments Disputes Agency
Fictitious Regulators
Securities Board of Regulators
Fictitious Regulators
Securities Compliance Agency
Fictitious Regulators
Securities Regulation, Protection and Litigation Agency
Fictitious Regulators
Securities Regulatory Agency
Fictitious Regulators
Securities Regulatory Authority
Fictitious Regulators
Securities Trading Board
Fictitious Regulators
Securities Trading Commission
Fictitious Regulators
Securities Transfer & Registration Group
Fictitious Regulators
Securities Validation Department
Fictitious Regulators
Select American Transfer Co.
Impersonators of Genuine Firms
Senaca Stock Transfer Inc.
Unregistered Soliciting Entities
Severn Funding and Investment Limited
Unregistered Soliciting Entities
Seward, Groves, Richard and Wells
Impersonators of Genuine Firms
Sharp Courage Global
Unregistered Soliciting Entities
Shearer Sampson & Associates
Unregistered Soliciting Entities
Sheppard Capital Partners
Unregistered Soliciting Entities
Sherman Consultancy Group
Unregistered Soliciting Entities
Sidstone, Gray & Partners
Unregistered Soliciting Entities
Silver Spring Capital Management, LLC
Unregistered Soliciting Entities
Skyoption LLC d/b/a 360Sky Options
Unregistered Soliciting Entities
Smart Capital, LP
Unregistered Soliciting Entities
Smith and Lincoln LLC
Unregistered Soliciting Entities
Smith and Lockhart Associates
Unregistered Soliciting Entities
Smith and Olsson
Unregistered Soliciting Entities
Smith Kearney M&A
Unregistered Soliciting Entities
Soloman Mckinley Associates
Unregistered Soliciting Entities
Solution Capital Partners LP
Impersonators of Genuine Firms
Sony Global Asset Management, Ltd.
Unregistered Soliciting Entities
Southampton Investment Services Inc.
Impersonators of Genuine Firms
South Atlantic Securities
Impersonators of Genuine Firms
Sovereign Marketing
Unregistered Soliciting Entities
Sovereign Pacific Inc.
Unregistered Soliciting Entities
Spartan Capital Asset Management
Unregistered Soliciting Entities
Spectrum Global International
Unregistered Soliciting Entities
Stamford Niles Equities, LLC
Unregistered Soliciting Entities
Standard Hokori Group
Unregistered Soliciting Entities
Standard New York Securities Corporation
Impersonators of Genuine Firms
Stanford Law Firm
Unregistered Soliciting Entities
Stanley Capital Group Mergers and Acquisitions
Unregistered Soliciting Entities
Stansell Corporate Services, LLC
Unregistered Soliciting Entities
Stansfield Private Equity Ltd.
Unregistered Soliciting Entities
Stargate Advisors Limited
Impersonators of Genuine Firms
Stargroove Trade Ltd., a.k.a. Stargroove Corporation
Impersonators of Genuine Firms
State Securities Commission
Fictitious Regulators
Stateside Capital, LLC
Impersonators of Genuine Firms
Steam Takeovers
Unregistered Soliciting Entities
Steed and Associates
Unregistered Soliciting Entities
Steinberg & Ashley Corp.
Unregistered Soliciting Entities
Steinberg Private Equity
Unregistered Soliciting Entities
Stephen Schmidt Capital Ventures Inc.
Unregistered Soliciting Entities
Sterling Equity Corp.
Unregistered Soliciting Entities
Stern Fisher Edwards Corp.
Impersonators of Genuine Firms
Steve Pearson Capital Management
Impersonators of Genuine Firms
Stock Funding Corporation
Unregistered Soliciting Entities
Stonebridge Securities
Impersonators of Genuine Firms
Strategic Private Equity Group
Unregistered Soliciting Entities
Strategic Private Equity LLC
Unregistered Soliciting Entities
Strike Commodities
Unregistered Soliciting Entities
Stronghold Capital Partners
Impersonators of Genuine Firms
Stronghold Mergers & Acquisition Regulatory Board
Fictitious Regulators
Sullivan Seton Murphy Law Firm
Unregistered Soliciting Entities
Summers Associates Limited
Unregistered Soliciting Entities
Summit M&A Inc.
Unregistered Soliciting Entities
Summit Private Equity LLP
Unregistered Soliciting Entities
Sungold Investments, a.k.a. Sungold Escrow
Unregistered Soliciting Entities
Sure Mergers & Acquisitions
Unregistered Soliciting Entities
SWFinvestguide Financial Services Inc.
Unregistered Soliciting Entities
Swiftsure Securities Limited
Impersonators of Genuine Firms
Swinson Consultancy Firm
Unregistered Soliciting Entities
Swiss Private Capital Ltd.
Unregistered Soliciting Entities
Synergy Capital, LLC
Impersonators of Genuine Firms
Synergy Ventures Inc.
Unregistered Soliciting Entities
T.M.R. Trading Escrow and Clearing
Unregistered Soliciting Entities
Taber Scott LLC
Unregistered Soliciting Entities
Taft MacKenzie Ventures
Unregistered Soliciting Entities
Tanner-White PLLC
Unregistered Soliciting Entities
Tanner and Kaplan PC
Unregistered Soliciting Entities
Tate, Aron, and Madden LLP
Unregistered Soliciting Entities
Tate and Carver Consultancy Group
Unregistered Soliciting Entities
Tax Strategies LLC
Unregistered Soliciting Entities
Tax Strategies Ltd.
Unregistered Soliciting Entities
Taxwise Consultants
Unregistered Soliciting Entities
Taylor and Grant Associates
Unregistered Soliciting Entities
Taylor Stuart Financial Inc.
Impersonators of Genuine Firms
TCM Financial
Unregistered Soliciting Entities
TDB Financial Group
Unregistered Soliciting Entities
Texas Stock and Bond
Unregistered Soliciting Entities
The Column Capital Partners
Unregistered Soliciting Entities
The Crowne Registry
Unregistered Soliciting Entities
The Equity Exchange Group Portfolio Management (Limited)
Unregistered Soliciting Entities
The Financial & Regulatory Oversight Board
Fictitious Regulators
The Firm Inc., a.k.a. The Ottoman Group
Unregistered Soliciting Entities
The ICON Group
Unregistered Soliciting Entities
The Regulating Body of Securities and Investments
Fictitious Regulators
Thomas & Hyde Consulting
Unregistered Soliciting Entities
Thomas, Lloyd, Cohen & Anderson LLP
Unregistered Soliciting Entities
Thomas Anderson Advisory
Unregistered Soliciting Entities
Thornton Wilson Group
Unregistered Soliciting Entities
TMRTrust Ltd.
Unregistered Soliciting Entities
Tomason Henry Law Offices
Unregistered Soliciting Entities
Tompkins, Price & Walker
Unregistered Soliciting Entities
Total International CPA LTD
Unregistered Soliciting Entities
Total Research Group, Inc.
Unregistered Soliciting Entities
Trade Guide Insurance
Unregistered Soliciting Entities
Traders Financial Insurance
Unregistered Soliciting Entities
TradersRoom
Unregistered Soliciting Entities
Transatlantic Alliance Inc.
Unregistered Soliciting Entities
Transfer Securities Inc.
Unregistered Soliciting Entities
Treadstone Private Equity
Unregistered Soliciting Entities
Trendline Futures Inc.
Impersonators of Genuine Firms
Trias Ltd.
Unregistered Soliciting Entities
Tribune Assets Management Litmited (sic)
Unregistered Soliciting Entities
Trident Capital Management, LLC
Impersonators of Genuine Firms
Trident Transfer Services Ltd.
Unregistered Soliciting Entities
Trillium Advisory Firm
Unregistered Soliciting Entities
Triumph Capital Management
Unregistered Soliciting Entities
Truman Stock Transfer LLC
Impersonators of Genuine Firms
Tsaifu Elysium Global
Unregistered Soliciting Entities
Tudor Capital Group, a.k.a. Tudor Capital Global Financial Consultancy Firm
Unregistered Soliciting Entities
Turner, Liebermann & Cohen
Unregistered Soliciting Entities
Turner, Silverman and Cohen LLC
Unregistered Soliciting Entities
U.S. Board of Merger & Acquisitions
Fictitious Regulators
U.S. Bureau of Compensation and Liquidation
Fictitious Regulators
U.S. Compensation Department
Fictitious Regulators
U.S. Department of Registrars Bureau
Fictitious Regulators
U.S. District Court of Arbitration
Fictitious Regulators
U.S. Financial Management Service
Unregistered Soliciting Entities
U.S. International Bureau for Trading
Fictitious Regulators
U.S. Mergers and Acquisition Regulatory Board
Fictitious Regulators
U.S. Municipal Securities & Information Board
Fictitious Regulators
U.S. Offshore Registry Commission
Fictitious Regulators
U.S. Registration of Securities Bureau
Fictitious Regulators
U.S. Regulatory Securities Agency
Fictitious Regulators
U.S. Regulatory Trade & Commission
Fictitious Regulators
Uinvest, Inc.
Unregistered Soliciting Entities
Unifund America, Inc.
Impersonators of Genuine Firms
Union Financial Protection Commission
Fictitious Regulators
Union Street Partners
Unregistered Soliciting Entities
United Compliance Regulatory Board
Fictitious Regulators
United Consultants Fiduciary Services (UCFS)
Unregistered Soliciting Entities
United Financial Protection Commission
Fictitious Regulators
UnitedOne Partners, Inc.
Unregistered Soliciting Entities
Uniteds Investment Global Corp.
Unregistered Soliciting Entities
United States Bureau of Securities Registration
Fictitious Regulators
United States Fair Trade Bureau
Fictitious Regulators
United States Federal Court of Arbitration
Fictitious Regulators
United States Federal System
Fictitious Regulators
United States Financial Services Registry
Fictitious Regulators
United States Investment Dealers
Fictitious Regulators
United States Investment Dealers Organization (USIDO)
Fictitious Regulators
United States Mergers and Acquisitions Regulators
Fictitious Regulators
United States of America Takeovers & Acquisitions Regulatory Board
Fictitious Regulators
United States Registration Commission
Fictitious Regulators
United States Regulators and Administration Commission
Fictitious Regulators
United States Securities and Acquisitions Administration
Fictitious Regulators
United States Securities and Investments Commission
Fictitious Regulators
United States Securities and Investments Dealers
Fictitious Regulators
United States Securities Liquidations Department
Fictitious Regulators
United States Securities Regulatory Commision (sic)
Fictitious Regulators
United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC)
Fictitious Regulators
United States Trading Committee
Fictitious Regulators
United Tax Consulting Limited
Unregistered Soliciting Entities
United Tax Strategies
Unregistered Soliciting Entities
Universal Consolidated
Unregistered Soliciting Entities
Universal Equities Consolidated LLC
Unregistered Soliciting Entities
Universal Partners Mergers & Acquisitions
Unregistered Soliciting Entities
Upper East Side Trust Management
Unregistered Soliciting Entities
US Compensation Bureau
Fictitious Regulators
US Federal Oversight Investment Bureau
Fictitious Regulators
US International Investment Trade Authority
Fictitious Regulators
US International Registry & Compliance Agency
Fictitious Regulators
US Liquidation and Compensation Board
Fictitious Regulators
US Registration Authority
Fictitious Regulators
US Securities Registration Oversight Commission
Fictitious Regulators
US Shareholders Registry Department
Fictitious Regulators
UST Financial Services Corp.
Impersonators of Genuine Firms
Van Der Hout, Parker & Price LLP
Unregistered Soliciting Entities
Vantage Global Advisors Inc.
Impersonators of Genuine Firms
Vault Acquisitions
Unregistered Soliciting Entities
Verity Transfer Inc.
Unregistered Soliciting Entities
VipBinary, a.k.a. Vip Binary
Unregistered Soliciting Entities
Vogel, Maines & Associates
Unregistered Soliciting Entities
Vpoint LLC aka Vantage Point Investment Advisors
Unregistered Soliciting Entities
Wade and Wiley Consultancy
Unregistered Soliciting Entities
Wahrburg Moss
Unregistered Soliciting Entities
Wahrburg Moss Group
Unregistered Soliciting Entities
Waight & Caffie Company Ltd.
Unregistered Soliciting Entities
Wallace Jacob Consultants Corporate Services
Unregistered Soliciting Entities
Wallstreet M & A Group
Unregistered Soliciting Entities
Wall Street Systems Holdings, Inc.
Impersonators of Genuine Firms
Walter Parker Group
Unregistered Soliciting Entities
Walters and Reed
Unregistered Soliciting Entities
Walton Mergers & Acquisitions
Unregistered Soliciting Entities
Wampum Group LLC
Impersonators of Genuine Firms
Warren & Massey Asset Management Ltd., Inc.
Unregistered Soliciting Entities
Warren Fisher and Associates
Unregistered Soliciting Entities
Warren Hill, LLC
Unregistered Soliciting Entities
Warren Sitco & Company
Unregistered Soliciting Entities
Washington Regulatory Division
Fictitious Regulators
Watson Sandy Holding Co.
Impersonators of Genuine Firms
Wegman & Associates
Unregistered Soliciting Entities
Weinberg Equity Management
Unregistered Soliciting Entities
Weinstein & Younge Asset Management Group
Unregistered Soliciting Entities
Weiss Rifkin & Partners
Unregistered Soliciting Entities
Welborn Capital & Partners LLC, a.k.a. Welborn Capiltal (sic) LLC, a.k.a. Welborn Capital Partners Inc.
Impersonators of Genuine Firms
Welling & Company, LLC
Unregistered Soliciting Entities
Wellington Capital Markets
Impersonators of Genuine Firms
Wellington Mergers and Acquisitions
Unregistered Soliciting Entities
Welsh Securities LLC
Impersonators of Genuine Firms
Wentworth Fiduciary and Transfer Services
Unregistered Soliciting Entities
Werner Group
Unregistered Soliciting Entities
West Capital Partners, Inc.
Unregistered Soliciting Entities
West Coast Financial LLC, a.k.a. WC Financial Group LLC
Impersonators of Genuine Firms
West Coast Stock Transfer Inc.
Impersonators of Genuine Firms
Western Capital, Inc.
Unregistered Soliciting Entities
Western Equities Corporation
Impersonators of Genuine Firms
Western Global Capital Management
Unregistered Soliciting Entities
Western Pacific Advisors Inc., a.k.a. Westpac Inc.
Unregistered Soliciting Entities
Western Transfers Company
Unregistered Soliciting Entities
Western Trust Company Washington
Unregistered Soliciting Entities
Westgate Consulting Group
Unregistered Soliciting Entities
Westhill Partners, Inc.
Unregistered Soliciting Entities
Westwood Consultancy
Unregistered Soliciting Entities
Whalberg and Kaplan Agency Inc.
Unregistered Soliciting Entities
Wheeler Consultancy
Unregistered Soliciting Entities
Whitman Law Group
Unregistered Soliciting Entities
Whitney Cooper and Associates
Unregistered Soliciting Entities
Whittman Simmons Inc.
Unregistered Soliciting Entities
Wiess & Associates Ltd.
Unregistered Soliciting Entities
William Burke Ventures
Unregistered Soliciting Entities
William Campbell Company
Unregistered Soliciting Entities
Williams & Miller PLLC
Unregistered Soliciting Entities
Williams Mckenna Associates
Unregistered Soliciting Entities
Williamson Advisors Ltd.
Unregistered Soliciting Entities
Williams Royale Associates
Unregistered Soliciting Entities
Willkinson Capital Group
Unregistered Soliciting Entities
Windcrest Management Solution, Ltd.                                               Unregistered Soliciting Entities
Windgate Security Management                                                         Unregistered Soliciting Entities
Wineburg Corporate Insurance                                                           Unregistered Soliciting Entities
Woodbridge Escrow and Clearing                                                       Unregistered Soliciting Entities
Woori Investment & Securities America, Inc.                                       Impersonators of Genuine Firms
Worldwide Insurance Network Group (aka WING Insurance)             Unregistered Soliciting Entities                                                     
Worldwide Regulators Board         Fictitious Regulators
Worldwide Transfer and Trust        Impersonators of Genuine Firms
Wyatt M & A Advisory                 Unregistered Soliciting Entities
X-Clearing Corporation                  Impersonators of Genuine Firms
York & Williamson                       Unregistered Soliciting Entities
Young Capital M&A                     Unregistered Soliciting Entities
Zenith Research Group                  Unregistered Soliciting Entities
Zilton Capital                                 Unregistered Soliciting Entities

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You should be aware that the PAUSE 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.
https://www.sec.gov/enforce/public-alerts