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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 Unregistered Soliciting Entities That Have Been the Subject of Investor Complaints

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities that claim to be registered, licensed and/or located in the United States in their solicitation of non-US investors, and entities not registered in the United States that are soliciting US investors. In some cases, the complaints are about entities claiming to offer investments endorsed by governmental agencies, including the SEC. These claims are important because when an entity claims to be registered with the SEC, it is in effect claiming that it has made itself available for SEC regulation and oversight. Generally, US entities that solicit you to purchase or sell securities for your own account are required to register with the SEC. For this reason, it is important for you to consider whether the entity that solicits you is, in fact, registered with the SEC.

The SEC has looked into these complaints and has learned that in many cases, 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 named below, our staff has determined either (1) that there is no US registered securities firm with this name, or (2) that there is a US registered securities firm with the same (or a similar) name but that solicitations appear to have been made by persons who are not affiliated with the US registered securities firm.

In addition, the "Comments" section for each entity provides additional relevant information we have learned, by answering the following questions:

  1. Is the entity registered in the United States?
     
  2. Is the entity using a name that is the same as, or similar to, the name of a US registered securities firm notwithstanding the fact that the soliciting persons are not affiliated with a US registered securities firm? FINRA (formerly, the "NASD") maintains a public registry of its broker-dealer members and their sales personnel. Using this website, you can verify both the registration and address of any FINRA-registered US broker-dealer and any individual US securities broker. Checking PAUSE is not a substitute for checking the public registry. Here is the link to that registry:http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
     
  3. Does the entity claim an endorsement, approval or other support by a governmental agency or international organization that does not exist or does not really lend support to the entity or the investments it is offering? For a list of fictitious governmental agencies and international organizations that are referenced in investor complaints, [click here]. 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: http://www.sec.gov/investor/pubs/fakeseals.htm.
     

The SEC will regularly update this list.

You should be aware that this list does not include all unregistered entities or entities that have been the subject of complaints received by the SEC. 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 by these entities.

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 oiea@sec.gov or call 202-551-6551.

Name

Comment
Allen Brothers M&A
2733 Vine St.
Cincinnati, OH 45219
Phone: 513-488-0508
Fax: 513-488-0509

 
  1. No US registered securities firm with this name.
Alliance Group, Inc.
Alliance Insurance Agency
60 Pine Street
New York, NY 10005
Phone: 646-417-6866
Fax: 646-417-6302
Website: http://www.alliance-insagt.com/

 
  1. No US registered securities firm with this name.
Alliance Transfer Inc.
503 Fifth Avenue
New York, NY
Website: http://www.alliancetransferinc.com/

 
  1. No US registered securities firm with this name.
Anoli Capital International, Inc.
5499 North Federal Hwy.
Suite 201/202
Boca Raton, Miami, FL 33431
Phone: 561-249-4447
Fax : 561-526-1447
Website: http://www.anolicap.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ memoranda falsely indicating they were prepared by the US Dept. of Commerce. The U.S. Dept. of Commerce has not endorsed these solicitations.
Ashley Partners M&A
100 Pearl Street 11th Floor
Hartford, CT 06103
Phone: 860-760-1720
Fax: 860-760-6834
Website: http://www.ashleypartners.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "International Shareholders Compliance Department," an entity which is believed to be fictitious.
Asprey Associates
646 W. 131st Street
New York, NY
Phone: 646-810-8627
Fax: 646 810-8692
Website: http://www.asprey-associates.com/

 
  1. No US registered securities firm with this name.
Bainbridge Management
999 3rd Avenue
Suite 3800
Seattle, Washington 98101/98104
Phone: 206-774-1943
Fax: 206-374-3024

 
  1. No US registered securities firm with this name.
Bayside Equity Group, Inc.
225 Franklin Street, Suite 1402
Boston, MA 02110
Phone: 617-449-0850
Fax: 617-830-0387
Website: http://baysideequitygroup.com/

 
  1. No US registered securities firm with this name.
Beacon Global Management, Inc.
Tower Executive Suites
10940 Wilshire Blvd., Suite 1500
Los Angeles, CA 90024
Phone: 866-365-0738
Fax: 213-947-4787

 
  1. No US registered securities firm with this name.
Belmont Shaw and Associates Mergers and Acquisitions
80 N. 3rd Avenue
Phoenix, AZ 85003
Phone: 623-707-8676
Fax: 623-707-8677

 
  1. No US registered securities firm with this name.
  2. An onsite inspection conducted on May 1, 2007 by the State of Arizona Corporation Commission found that the address given for this entity does not exist.
  3. Claims to be endorsed by, or makes other reference in its solicitations to, the International Compliance Assistance Center, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.
Berdon Law Mergers & Acquisitions
CM Building
465 6th Avenue
New York, New York 10011
Phone: 917-591-3254
Fax: 917-591-3144
Website: http://www.berdonlaw.com/

 
  1. No US registered securities firm with this name.
Berger Aron Macey
1240 Peachtree Street NE, Suite 2700
Atlanta, GA 30309
Phone: 404-592-5106
Fax: 404-795-0613

 
  1. No US registered securities firm with this name.  
Berkley Liquidation & Administration
1503 Manhattan Ave.
New York, NY 10034
Phone: 212-461-3623
Fax: 212-884-0619
Website: http://www.berkleyliquidation.com/

 
  1. No US registered securities firm with this name.
Blue Bayou Prospect Management
1622 Mason Street, Houston Texas, 77019 USA
Direct: 281-220-6722
Phone: 713-490-2215
Fax: 713-513-5858
Website: http://www.bbprospect.com

 
  1. No US registered securities firm with this name.
Breakthrough Incorporated
2625 Townsgate Road, Suite 330
Westlake Village, CA 91361
Phone: 805-267-1107
Fax: 805-830-0455
Website: http://www.breakthroughincorp.com/

 
  1. No US registered securities firm with this name.
Bremer Financial Ltd.
Howard Hughes Center
6601 Center Drive, Suite 500
Los Angeles, CA 90045
Phone: 213-403-0107
Fax: 213-403-0109

 
  1. No US registered securities firm with this name. 
Cameron McDonald & Co.
625 4th Ave. S.
Minneapolis, MN 55415
Phone: 612-234-4048
Fax: 612-234-4049

 
  1. No US registered securities firm with this name. 
Capgemini Law Mergers & Acquisitions
153 East 53rd Street
New York City, NY 10011
Phone: 212-820-9736
Fax: 212-208-4651
Website: http://www.capgemini-law.com/ (Suspended)

 
  1. No US registered securities firm with this name. 
Capital One Management Inc.
Maine Business Center
415 Congress Street, Suite 102
Portland, ME 04101
Phone: 212-330-9008
Fax: 212-330-9009
Website: http://www.caponemgt.com/

 
  1. No US registered securities firm with this name. 
  2. There is a U.S.-registered company named Capital One Financial Corporation ("Capital One") with U.S.-registered broker-dealer affiliates named Capital One Securities, LLC ("COSL") d/b/a Capital One Investment, LLC, Capital One Southcoast, Inc. ("COSCI"), and Capital One Investment Services LLC, f/k/a NFB Investment Services Corporation (collectively, the "Capital One Brokers"). The staff’s review of complaints indicates that persons not affiliated with Capital One or the Capital One Brokers have been using the name Capital One Management, Inc. ("COMI") in solicitations of investors. In particular, complaints to us have stated that persons using the phone number (1-212-330-9008) and/or the website address (www.caponemgt.com) and/or the business address 415 Congress Street, Suite 102, Portland, ME 04101 have either claimed to be affiliated with Capital One or the Capital One Brokers, or implied such affiliation by the use of the COMI name in investor solicitations; however, neither this phone number, website nor address are used by Capital One or the Capital One Brokers. To verify the registration and address of a U.S. securities broker, see http://www.finra.org/
    InvestorInformation/
    InvestorProtection/
    ChecktheBackgroundof
    YourInvestmentProfessional/
    index.htm 
  3. As part of its solicitations, COMI makes claims that a third party is entitled to FDIC payments for "non profitable securities." The Federal Deposit Insurance Corporation has confirmed to us that no such program exists and that these purported obligations are fictitious. 
Century Management Division, Inc.
23351 Ford Rd.
Dearborn, MI 48128
Phone: 313-447-4477
Fax: 313-447-4477

 
  1. No US registered securities firm with this name. 
Chadwick & Co.
111 W Monroe Street
Phoenix, AZ 85003
Phone: 602-427-5953
Fax: 602-427-5954
Website: http://chadwick-co.com/

 
  1. No US registered securities firm with this name.
Charlton Hayfield and Company
30 E. Broad St.
Columbus, OH 43215
Phone: 614-947-0111
Fax: 614-947-0102

 
  1. No US registered securities firm with this name. 
CitiWealth Asset Management
345 Hudson Street
New York, NY 10014
Phone: 641-715-3900, x 23342
Fax: 810-974-1482
Website: http://www.cspplc.net/

 
  1. No US registered securities firm with this name.
City Capital Mergers & Acquisitions
6990 W. Cedar Ave.
Lakewood, CO 80226
Phone: 303-353-0736
Fax: 303-353-0737

 
  1. No US registered securities firm with this name. 
Colby Mergers
61 Forsyth St. SW
Atlanta, GA 30303
Phone: 404-478-6381
Fax: 404-478-6382
Website: http://colbymergers.com/

 
  1. No US registered securities firm with this name.
Coleman Brothers
1800 Grant Street
Denver, CO 80203
Phone: 303-952-5896
Fax: 303-952-5801, 303-952-5901

 
  1. No US registered securities firm with this name.
  2. Claims to be endorsed by, or makes other reference in its solicitations to, the Securities Compliance Agency, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.
Coleman, Peterson & Associates
1642 Dr. Martin Luther King Drive, Suite 1201
St. Louis, MO 63106
Phone: 314-255-1321
Fax: 314-255-1321
Website: http://www.cpa-advisory.com/

 
  1. No US registered securities firm with this name.
Collett Quinlan M&A
50 Hurt Plaza, SE
Atlanta, GA 30303
Phone: 404-671-8082
Fax: 404-671-8083

 
  1. No US registered securities firm with this name.
Colonial Trust Transfer Agency LLC
601 Pennsylvania Ave. NW
Washington, DC 20004
Phone: 202-449-8665
Fax: 202-280-6687
Website: http://www.colonialtrustta.com/

 
  1. No US registered securities firm with this name.
Crawford Clarke M&A
305 W. Washington St.
Phoenix, AZ 85003
Phone: 480-588-0844
Fax: 480-588-0854
Website: http://www.crawfordcma.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "Securities Validation Authority," an entity which is believed to be fictitious.
Danford Capital Group
Suite 2403
Wall Street Center
15 Wall St.
New York, NY
Phone: 347-515-2046
Fax: 347-438-3157
Website: http://www.danfordcapitalgrp.com/

 
  1. No US registered securities firm with this name.
Davis & Rudell LLC
Liberty Street, Financial District
New York, NY 10006
Fax: 646-346-7472
Website: http://www.davis-rudell.com/

 
  1. No US registered securities firm with this name.
The Equity Exchange Group Portfolio Management (Limited)
1 Federal Street, Floor 28
Boston, MA 02108
Phone: 617-499-4856
Fax: 617-499-4857

 
  1. No US registered securities firm with this name.
Fairchild Holdings & Advisory Firm Corporation
245 Park Avenue , 24th Floor
New York, NY 10167
Phone: 800-781-5490
Fax: 212-214-0566
Website: http://fairchildholdings.net/

 
  1. No US registered securities firm with this name.
FCM Advisory Services, Inc.
910 Fannin Street, Suite 1529
Houston, TX 77002
Phone: 832-615-3652
Fax: 832-615-3652
Website: http://www.fcm-advisory.com/

 
  1. No US registered securities firm with this name.
Ferguson Hathaway Consulting, Ltd./FH Consulting
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1487
Fax: 646-224-8941

 
  1. No US registered securities firm with this name.
FinAllianz
W. 50th St., Rockefeller Plaza
New York, NY 10019
Phone: 646-810-6182
Fax: 484-993-3822

 
  1. No US registered securities firm with this name.
FinTrade Advisors Inc.
1285 6th Avenue, 32nd Floor
New York, NY 10019
Fax: 646-346-7472
Website: http://www.fintradeadvisors.com/

 
  1. No US registered securities firm with this name.
First Liberty Transfer Agency, LLC
1101 Pennsylvania Avenue
Washington, DC 20004
Phone: 202-449-9593
Fax: 202-379-9299

 
  1. No US registered securities firm with this name.
Frazer White Group
1600 Broadway
Denver, CO 80202
Phone: 303-353-0764
Fax: 303-353-0765
Website: http://www.fwgma.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "Securities Regulatory Agency," an entity which is believed to be fictitious.
Gemini M&A
999 Peachtree St., NE
Atlanta, GA 30309
Phone: 678-791-4032
Fax: 678-954-0595
Website: http://www.geminima.com/

 
  1. No US registered securities firm with this name.
Global Direct Financial Inc.
Aura Executive Center
695 Central Avenue, Suite 110
St. Petersburg, FL 33701
Phone: 786-228-4959
Head Office
93 Pearl Street
New York, NY 10004
Phone: 212-465-3259

 
  1. No US registered securities firm with this name.
GMA Advisory Services, Inc.
1501 South Clinton Street, Suite 506
Baltimore, MD 21244
Tel: 443-220-0140
Fax: 443-581-0057
Website: http://www.gmaadvisory.com/ (domain expired 4/2/08)

 
  1. No US registered securities firm with this name.
Golden Medallion Trading
Stanford Corporate Center
14001 N. Dallas Parkway, Suite 1400
Dallas, TX 75240
Phone: 866-296-7051
Fax: 817-977-5237

 
  1. No US registered securities firm with this name.
Grant Group LLC
1120 Broadway, 22nd Floor
New York, NY 10010
Phone: 646-224-8723
Fax: 646-224-8724

 
  1. No US registered securities firm with this name.
Griffin Mergers and Acquisitions
8th Street and Nicollet Mall, Downtown
Minneapolis, MN 55402-8773
Phone: 612-284-2417
Fax: 612-677-3711

 
  1. No US registered securities firm with this name.
Hedges Mergers & Acquisitions
1400 Broadway
New York, NY 10018
Phone: 315-366-4259
Fax: 718-732-2785
Website: http://www.hmaworld.com
(Not accessible)

 
  1. No US registered securities firm with this name.
Heinz Hokkaido International
1585 Broadway
New York, NY 10016
Website: http://www.heinzhokkaido.net/

 
  1. No US registered securities firm with this name.
Hopewood and Company
413 4th Ave. S.
Columbus, MS 39701
Phone: 662-913-0603
Fax: 662-913-0604

 
  1. No US registered securities firm with this name.
Howell and Johnson Associates
1422 Euclid Ave.
Cleveland, OH 44115
Phone: 216-744-1026
Fax: 216-744-1027

 
  1. No US registered securities firm with this name.
  2. Website shows different phone numbers, with Atlanta area codes, from those used in solicitation materials.
Imperial Quest Ventures, Ltd.
The Hancock Center
875 N Michigan Avenue, Suite 2600
Chicago, IL 60611
Phone: 866-365-3685
Fax: 312-205-6421, 312-277-3321

 
  1. No US registered securities firm with this name.
  2. Claims to be recognized by the SEC and the U.S. Federal Trade Commission. Neither the SEC nor the Federal Trade Commission has endorsed this entity.
J. Rowan Associates
230 Peachtree St.
NW Atlanta, GA 30303
Phone: 678-954-0520
Fax: 678 954 0521

 
  1. No US registered securities firm with this name.
Jacob Stuart & Knight Inc.
255 West 36th Street, Suite 700
New York, NY 10018
Phone: 347-284-6232
Fax: 347-649-2097
Website: http://www.jstuart-knight.com/

 
  1. No US registered securities firm with this name.
Jefferson Clark Associates
PO Box 58389
Seattle, WA 98138-1386
Phone: 206-973-7179
Fax: 206-984-4342
Website: http://www.jeffersonclark.com/

 
  1. No US registered securities firm with this name.
Kennedy, Anderson & Lang
60 E. 42nd St., Suite 1516
New York, NY 10165
Phone: 646-290-8536
Fax: 646-290-8922
Website (now offline): http://kal-ny.com/

 
  1. No US registered securities firm with this name.
Kipling Mercer & Co. LLC
1410 Fourth Avenue
Seattle, WA 98101
Phone: 206-508-2258
Website: http://www.kiplingmercer.com/

 
  1. No US registered securities firm with this name.
Kobe Asset Management
One Oxford Centre, 301 Grant Street, Suite 2100
Pittsburgh, PA 15219
Phone: 412-235-0107
Fax: 412-202-0736

 
  1. No US registered securities firm with this name.
Kravitz Roth, Ltd.
347 N. Rodeo Drive
Beverly Hills, CA 90210
Phone: 366-317-6621
Fax: 267-851-5959
Website: http://www.kravitzroth.com/ (domain expired 4/16/08)

 
  1. No US registered securities firm with this name.
Lambert McMillan Corporation
80 S 8th Street
Ids Center & Crystal Court Building, 8th Floor Minneapolis, MN 55402
Phone: 612-246-4553
Fax: 612-465-2241
Website: http://www.lambertmcmillan.com/

 
  1. No US registered securities firm with this name.
Landmark M&A, Inc.
445 Park Avenue
New York, NY 10022
Phone: 646-530-8783
Fax: 646-417-7996

 
  1. No US registered securities firm with this name.
Lindenberg Asset Management
One Market Street, Spear Tower, 33th Floor
San Francisco, CA 94105
Phone: 415-373-5248
Fax: 415-276-6023

 
  1. No US registered securities firm with this name.
Livingston Mergers & Acquisitions
110 West C Street, Suite 1150
San Diego, CA 92101
Phone: 619-819-0721
Fax: 619-923-3342
Website: http://www.livingstonma.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "Central Equities Administrators," an entity which is believed to be fictitious.
Lloyd Brown Investments, Inc.
Hancock Center
875 N. Michigan Ave., Suite 3100
Chicago, IL 60611
Phone: 312-416-0876
Fax: 312-416-0877

 
  1. No US registered securities firm with this name.
Lloyds & Lambert Capital Ventures Inc.
84 Chambers Street, 57th Floor
New York, NY 10007
Phone: 347-821-5339
Fax: 917-591-8609
Website: http://lloyds-lambert.com/

 
  1. No US registered securities firm with this name.
Maitland Bell & Co.
2201 E. Camelback Rd.
Phoenix, AZ 85016
Phone: 602-926-1314
Fax: 602-926-1315

 
  1. No US registered securities firm with this name.
Manning Capital Inc.
384-386 Greenwich St.
New York, NY 10013
Phone: 866-221-4081
Fax: 914-462-3529
Website: http://www.manningcap.us/

 
  1. No US registered securities firm with this name.
Mannix M&A
402 W Broadway
San Diego, CA 92101
Phone: 619-331-9554
Fax: 619-331-9555
Website: http://www.mannixma.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "Securities Litigation Committee," an entity which is believed to be fictitious.
McCarthy & Bennett M&A
1645 Court Place
Denver, CO 80202
Phone: 303-353-0762
Fax: 303-353-0763
Website: http://www.mccarthyma.com/

 
  1. No US registered securities firm with this name.
McMillan Consulting
575 Lexington Avenue
New York, NY 10022
Phone: 212-461-7128
Fax: 212-504-0870
Website: http://www.mcmillanconsult.com/

 
  1. No US registered securities firm with this name.
Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513

 
  1. No US registered securities firm with this name.
Morisson Ventures Inc.
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1847
Fax: 718-732-2096
Website: http://morissonventures.com/
(Not accessible)

 
  1. No US registered securities firm with this name.
Nevada Transfer Agent
Reno, NV
Phone: 866-920-0792
Fax: 646-478-9207
Website: http://www.nevadatransferagent.com/

 
  1. No US registered securities firm with this name.
Norsk Financial
402 W. Broadway, Suite 300
San Diego, CA 92101
Phone: 619-342-0176
Fax: 619-923-2975
Website: http://www.norskfinancial.com/

 
  1. No US registered securities firm with this name.
Northern Alliance Group
56 6th St E
Saint Paul, MN 55101
Phone: 651-212-7093
Fax: 651-212-7094
Website: http://www.nalliance-group.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations employ "International Securities Validation Division," an entity which is believed to be fictitious.
Northwest Mergers and Acquisitions, Inc.
210 SW Morrisson, Suite 601
Portland, OR 97204
Phone: 503-298-4850
Fax: 503-961-8527
Website: http://www.northwestmanda.com/

 
  1. No US registered securities firm with this name.
Nortia Account Management
Suite 610, One Park Plaza
Irvine, CA 92614
Phone: 949-666-5396
Fax: 949-666-5426
Website: http://www.nortiaam.com/

 
  1. No US registered securities firm with this name.
Quantum Reliance Group
12450 East Imperial Highway, Suite 140
Norwalk, CA 90650
Phone: 562-645-5529
Website: http://qrgonline.com/

 
  1. No US registered securities firm with this name.
Robinson Hurst M&A
185 Park Ave,
San Jose, CA 95113
Phone: 408-889-4373
Fax: 408-889-4374
Website: http://www.robinsonhurst.com/

 
  1. No US registered securities firm with this name.
Rose & Cranfield
100 Park Avenue
New York, NY 10016
Website: http://www.rose-cranfield.com/ (Website page under maintenance)

 
  1. No US registered securities firm with this name.
Seago South Mergers & Acquisitions, LLP
One Harbour Place
1901 S Harbor City Blvd.
Melbourne, FL 32901
Phone: 321-473-6953
Fax: 321-238-2700
Website: http://www.seagosouth.com/

 
  1. No US registered securities firm with this name.
Smith Kearney M&A
1780 Kettner Boulevard
San Diego, CA 92101
Phone: 619-331-9556
Fax: 619-331-9557
Website: http://www.smithma.com/

 
  1. No US registered securities firm with this name.
Summit M&A Inc.
845 Third Avenue
New York, NY 10022
Phone: 646-706-7540
Fax: 646-706-7541
Website: http://www.summitmainc.com/
(Not accessible)

 
  1. No US registered securities firm with this name.
Thomas & Hyde Consulting
Tower Executive Suites
10940 Wilshire Blvd., Suite 1600
Los Angeles, CA 90024
Phone: 213-488-0222
Fax: 213-403-6503
Website: http://www.thomasandhyde.com/

 
  1. No US registered securities firm with this name.
Universal Partners Mergers & Acquisitions
300 Main Street
Lafayette, IN 47901
Phone: 765-637-0102
Fax: 765-637-0103

 
  1. No US registered securities firm with this name.
  2. Claims to be endorsed by, or makes other reference in its solicitations to, the Regulatory Advisory Commission, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.
U.S. Financial Management Service
401 14th Street S.W., # 548
Washington D.C. 20024
Phone: 866-221-4075
Fax: 206-299-9499
Website: http://www.usfinancialmgt.com/

 
  1. No US registered securities firm with this name.
  2. The U.S. Financial Management Service, a bureau of the United States Department of the Treasury, located at the address given by the soliciting entity, has confirmed to us that it has no affiliation with the soliciting entity.
Verity Transfer Inc.
676 9th Avenue, Suite #218
New York, NY 10036
Phone: 917-546-9116
Fax: 917-677-8898
Website: http://www.veritytransfer.com/ (Not accessible)

 
  1. No US registered securities firm with this name.
Walton Mergers & Acquisitions
1025 Arch Street, Suite 481
Phildelphia, PA 19107
Phone: 215-825-8523
Fax: 215-754-4218
Website: http://www.walton-ma.com/

 
  1. No US registered securities firm with this name.
  2. Investor solicitations refer to "U.S. Registry Office," and "U.S. Securities Exchange," entities which are believed to be fictitious.
  3. Investor solicitations employ materials falsely referencing the "Internal Revenue Service." The Internal Revenue Service has not endorsed these solicitations.
Warren Sitco & Company
919 North Market Street
Wilmington, DE 19801
Phone: 302-391-0803
Fax: 302-391-0804

 
  1. No US registered securities firm with this name.
  2. Claims to be endorsed by, or makes other reference in its solicitations to, the Securities Compliance Agency, an alleged claim-filing and fund recovery service for commercial and securities class-action settlements. This entity is believed to be fictitious.
Wellington Mergers and Acquisitions
3340 Peachtree Road NE, Buckhead Area
Atlanta, GA 30326-1081
Phone: 404-592-4540
Fax: 404-759-2088

 
  1. No US registered securities firm with this name.
  2. Claims to be endorsed by, or makes other reference in its solicitations to, International Stock Regulators, an alleged claim-filing and fund recovery service for commercial and securities class-action settlements.  This entity is believed to be fictitious.
Western Capital, Inc.
Empire State Building
350 5th Avenue, Suite 2108
New York, NY 10118
Phone 866-365-0736
Fax: 646-224-8765

 
  1. No US registered securities firm with this name.
Wiess & Associates Ltd.
203 North LaSalle Center
Suite 1800
Chicago, IL 60601
Phone: 800-578-8365
Fax: 312-277-7553

 
  1. No US registered securities firm with this name.
York & Williamson
3 Center Plaza
Boston, MA 02110
Phone: 413-252-0988
Fax: 977-786-4695
Website: http://www.yorkandwilliamson.com/#

 
  1. No US registered securities firm with this name.

 

 

http://www.sec.gov/investor/oiepauselist.htm

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Modified: 04/21/2009