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U.S. Securities and Exchange Commission

The SEC has issued investor alerts designed to educate investors and assist them in avoiding scams offered to them through, among other things, phone solicitations by brokers who claim to be licensed in the United States. Alerts related to these topics include the following:

Protect Your Money: Check Out Brokers and Investment Advisors

Cold Calling - Know Your Rights

The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" US Stocks

Worthless Stock: How to Avoid Doubling Your Losses

"Advance Fee Fraud" Schemes

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. As reflected in the SEC's investor alert entitled, "Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit," 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. Here is the link to the SEC investor alert:

The SEC has looked into these complaints and has learned that in many cases, the governmental agencies or international organizations claimed to have lent support to such investments 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.

You should be aware that this list does not include all fictitious governmental agencies and international organizations. Also, you should understand that the inclusion of a name on this list 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.

For a list of entities claiming to be registered, licensed and/or located in the United States and that have been the subject of investor complaints [click here] to access PAUSE. To see the official SEC release describing and providing more details about this list, [click here].

If you have information, questions or comments about the entities on this list, please contact or call 202-551-6551.



The Center for Securities Department
1870 Twin Towers East
Martin Luther King Jr. Drive SW
Atlanta, GA 30334
Phone: 770-824-0505
Fax: 770-206-2394 and 770-872-5506


Center For Securities Investigation Department
324 W. Main St.
Brighton, MI 48116
Phone: 810-852-1701
Fax: 810-852-1702


Central Equities Administrators
1201 Main Street, Suite 180
Columbia, SC 29201
Phone: 803-227-0805
Fax: 803-753-9559


Central Stock Regulators
3200 West End Avenue
Nashville, TN 37203
Phone: 615-349-9977
Fax: 615-250-4897


Global Compliance Agency
201 S. College St.
Charlotte, NC 28244
Phone: 704-817-0614
Fax: 704-817-0615


Global Investments Compliance Center
5005 Rockside Road
Independence, OH 44131
Phone: 216-220-1600
Fax: 216-220-1601


Global Securities Crime Investigators
7700 Queens Ferry Lane
Dallas, TX 75248


Global Securities Protection Agency
41 Marietta Street
Atlanta, GA 30303
Phone: 678-954-0522
Fax: 678-954-0523


International Association of Transfer Agents
30 Wall Street
New York, NY 10005


International Commission of Securities
600 Superior Avenue East
Fifth Third Building Suite 1300
Cleveland, OH 44114
Phone: 440-869-9952
Fax: 440-848-2305


  1. Onsite inspections conducted over the past year by the Ohio Division of Securities found that no regulatory agency was located at the address given for this entity.
International Compliance Assistance Center
41 S. High St.
Columbus, OH 43215
Phone: 614-947 0105
Fax: 614-947 0106


International Equities Administrators
5865 Ridgeway Center Parkway, Suite 350
Memphis, TN 38120
Phone: 901-896-0327
Fax: 901-339-0522


International Fraud Assessment Agency
1001 Fourth Ave. Plaza
Seattle, WA 98154
Phone: 206-274-0077
Fax: 206-260-3086


International Organization of Transfer and Registrar Agents
501 N. Brookhurst Street, Suite 310
Anaheim, CA 92801
Phone: 714-844-4831
Fax: 714-844-9083


International Securities Accreditation Authority
30 E. Broadway
Salt Lake City, UT 84111
Phone: 801-618-2100
Fax: 801-618-2119


International Securities Administrators
312 Walnut Street, Suite 1500
Cincinnati, OH 45202
Phone: 513-297-1593
Fax: 513-672-2308


International Securities Regulators
101 Federal Street
Boston, MA 02110
Phone: 617-861-9038
Fax: 617-507-1076


International Securities Commission
1250 E. Apache Blvd.
Tempe, AZ 85281
Phone: 480-240-5726
Fax: 480-240-7129


International Securities Validation Division
251 W. Washington St,
Phoenix, AZ 85003
Phone: 602-926-1312
Fax: 602-926-1313


International Share Verification Department
1 W Pack Square
Asheville, NC 28801
Phone: 828-420-0484
Fax: 828-420-0485


International Shareholders Compliance Department
500 N. Michigan Ave., Suite 320
Chicago, Il 60611
Phone: 312-281-0329
Fax: 312-276-4752


International Stock Regulators
2415 East Camelback Road
Phoenix, AZ 85016
Phone: 602-357-1678
Fax: 602-391-2036


  1. Onsite inspections conducted April 30, 2007 by the State of Arizona Corporation Commission found that the purported regulatory agency was not located at the address given for this entity.
Regulatory Advisory Commission
350 S Main St
Ann Arbor, MI 48104
Phone: 734-619-0501
Fax: 734-619-0502


Securities Compliance Agency
212 S. Tryon Street
Charlotte, NC 28281
Phone: 704-817-0609
Fax: 704-817-0610


Securities Regulatory Agency
801 W. Main St.
Boise, ID 83702
Phone: 208-906-2310
Fax: 208-906-2311


Securities Regulatory Authority
203 Carondelet Street
New Orleans, Louisiana 70130
Phone: 504-210-1576
Fax: 504-210-1577


Securities Validation Department
600 South Lincoln Avenue
Steamboat Springs, CO 80487
Phone: 970-367-1704
Fax: 970-367-1705



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

Modified: 06/10/2008