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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

Accrescent Holdings Inc.
4350 La Jolla Village Drive, 7th Floor
San Diego, CA 92122
Phone: 213-402-0477
Website: None found.
  1. Accrescent Holdings Inc. is an impersonator of a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Accrescent Holdings Inc., a Regulation D exempt filer (SEC file no. 021-56258, received 06-18-03). The SEC's EDGAR database contains registration information for the genuine entity.

Affinity Group
Rockefeller Center Complex
45 Rockefeller Plaza
New York, NY 10111
Phone: 212-359-1692
Fax: 646-219-3343
Website: http://affinity-group.com/
  1. No US registered securities firm with this name.

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.

American Financial Group, Inc.
1211 N. Brand Blvd., Suite 220
Glendale, CA 91202
Phone: 818-301-4918
Fax: 818-484-2163
Website: http://www.amfgroupinc.com/
  1. No US registered securities firm with this name.
  2. American Financial Group, Inc. is impersonating a formerly registered broker-dealer with the same name - American Financial Group, Inc. (CRD Number: 10496; SEC Number: 8-26536). The genuine American Financial Group, Inc. had its registration with the Financial Industry Regulatory Authority (FINRA) cancelled, effective October 21, 1987, and is defunct.

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.

Apex Stock Transfer Inc.  
6147 S. Everett Street
Littleton, CO 80123
Phone: 720-763-9199
Fax: 720-763-9210
Website: http://www.apexstinc.com/
  1. No US registered securities firm with this name.
  2. Apex Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number: 0001398353; SEC Number: 084-06250). The legitimate Apex Stock Transfer Inc. filed a Form TA-W to have its registration with the SEC withdrawn, effective November 5, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.
  3. Claims to work with, or makes other reference in its solicitations to, Robbins, McCaully, Appleby LLC, a purported financial advisory services firm.

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.

Association of Securities Transfer Companies (ASTC)
40 Wall Street
New York, NY 10005
Email: information@astcweb.com
Website: http://www.astcweb.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.

Banc De Binary
Trump Tower
40 Wall Street
New York, NY 10005
Phone: 800-656-6163
Fax: 866-779-4265
Website: http://www.bbinary.com/
  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.

Benchmark International Trading Group, Inc.
725 15th Street, Northwest, Suite 502
Washington DC 20005
Website: http://www.bitgi.com/ (no longer online)
  1. No US registered securities firm with this name.

Benson Hill Advisors
435 Lexington Avenue, Suite 2675
New York, NY 10170
Phone: 646-918-5135
Fax: 646-839-2930
Website: http://www.bensonhilladvisors.com/
  1. No US registered securities firm with this name.

Benton Wells & Associates, LLC
1001 4th Avenue, Suite 2310
Seattle, WA 98104
Phone: 206-508-1450
Fax: 206-299-9581
Website: http://www.bentonwells.com/
  1. No US registered securities firm with this name.

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.

Berkshire Financial Management, LLC
100-102 Post Avenue
New York, NY 10034
Phone: 646-652-0437
Fax: 646-861-4791
Website: http://bfmllc.net/
  1. No US registered securities firm with this name.

Best Investors Group, Inc.
77 Arkay Drive
Hauppauge, NY 11788-3700
Phone: 646-360-1714
Fax: 646-390-2829
Website: http://bestinvestorsgrp.com/
  1. No US registered securities firm with this name.
  2. Best Investors Group, Inc. is impersonating a formerly registered broker-dealer with the same name and address - Best Investors Group, Inc. (CRD Number: 19883; SEC Number: 8-37891). The genuine Best Investors Group, Inc. filed a Form BDW to have its registration with the SEC withdrawn, effective May 28, 1998, and is defunct.
  3. The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

Blackwell & Associates
1844 7th Avenue
New York, NY 10026
Phone: 212-898-0491
Fax: 212-658-9809
Website: http://www.blackwellassociates.us/
  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.

Boston Capital Management Inc.
Regus Business Center
75 Arlington Street
Boston, MA 02116
Phone: 857-207-3889
Fax: 857-559-0915
Website: http://bostoncmi.us/
  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. 

Brookstone Group Transfer Agents
48 Wall Street, Suite 1100
New York, NY 10005
Phone: 646-918-8099
Fax: 646-666-4425
Website: http://brookstoneta.com/
  1. No US registered securities firm with this name. 

C&O Fund Distributor, Inc.
Commerce Bank Building, 2nd Floor
276 5th Avenue
New York, NY
Phone: 646-360-1722
Fax: 646-861-4864
Website: http://cofunddistributor.com/
  1. No US registered securities firm with this name.
  2. C&O Fund Distributor, Inc. is impersonating a formerly registered broker-dealer firm named C&O Funds Distributor, Inc. (CRD Number: 13238; SEC Number: 8-28882). The genuine C&O Funds Distributor, Inc. filed a Form BDW to have its registration with the SEC withdrawn, effective March 7, 1999, and is defunct.

Cambridge Financial Partners LLC
81 Madison Avenue, 18th Floor
New York, NY 10010
Phone: 646-328-4508
Fax: 646-607-5433
Website: http://www.cfinpartners.com/
  1. No US registered securities firm with this name.
  2. Cambridge Financial Partners LLC is impersonating a formerly registered broker-dealer firm named Cambridge Partners (CRD Number: 8006; SEC Number: 8-23903). The genuine Cambridge Partners had its registration with FINRA terminated on March 28, 1989 and is defunct.

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. 

Cameron Poe & Associates Inc.  
800 North Shoreline Blvd.
One Shoreline Plaza - South Tower
Corpus Christi, TX 78401
Phone: 281-990-2405
Fax: 281-915-4511
Website: http://cameronpoe.com/
  1. No US registered securities firm with this name. 
  2. Claims to work with, or makes other reference in its solicitations to, First National Stock Transfer Inc., an impersonator of a former genuine entity having the same 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 Advisory Partners New York
50 Broadway, Suite 2300
New York, NY 10004
Phone: 347-694-7981
E-mail: admin@capnyc.net
Website: http://www.capnyc.net/
  1. No US registered securities firm with this name.
  2. Capital Advisory Partners New York is impersonating an entity named Capital Advisory Partners LLC (CIK Number: 0001120430) which is defunct.

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.

Capital Securities International
383 Madison Avenue
New York, NY 10179
Phone: 212-937-2235
Fax: 212-937-2293
Website: http://capsecinternational.com/
  1. No US registered securities firm with this name.

Capital Transfer Consolidated
410 Park Avenue
New York, NY 10022
Phone: 212-359-1625
Fax: 212-918-3467
Website: http://capitalconsolidated.com/
  1. No US registered securities firm with this name.

Carlton Group
560 Lexington Avenue, 10th Floor
New York, NY 10022
Phone: 212-545-1000
Fax: 212-545-8110
Website: http://carltongroup.com
  1. No US registered securities firm with this name.
  2. This soliciting entity's website also provides two additional U.S. addresses.

Cartwright & Keating, Inc.
Sun Trust Plaza, Suite 2410
230 Peachtree Street
Atlanta, GA 30303
Phone: (404) 865-1513
Fax: (404) 420-2164
Website: http://www.cartwrightandkeating.com
  1. No US registered securities firm with this name.
  2. The entity is also soliciting under the name Dai-ichi Securities using the clone website www.dai-ichi-securities.com.

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. 

CIG LLC, a.k.a. Commerce Investments Group LLC
One Liberty Plaza
165 Broadway, Suite 3601
New York, NY 10006
Phone: 646-918-5083
Fax: 646-786-4918
Website: http://www.cigllc.us/
  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. 

Clayton Capital Ventures, Inc.
304 Park Avenue South, 9th Floor
New York, NY 10010
Website: http://www.claytoncapventures.com/
  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 Square Acquisition LLC
4000 Jordan Road
Troy, NY 12180
Phone: 646-328-5071
Fax: 646-224-6182
Website: http://csacquisition.com/
  1. Colonial Square Acquisition LLC is an impersonator of a genuine entity with the same name. The genuine Colonial Square Acquisition LLC has an actual street address of 300 Jordan Road, Troy, NY 12180.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine Colonial Square Acquisition, LLC, a Regulation D exempt filer (SEC file no. 021-110944, received 11-05-07). The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

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.

Corporate Mergers & Acquisition Group
535 Madison Avenue, Suite 300
New York, NY 10022
Phone: 646-918-8126
Fax: 347-223-5234
Website: http://corporatemagroup.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.

Cunningham, Austin, Wheeler & Associates
P.O. Box 78254
Seattle, WA 98381
Phone: 206-350-3366
Fax: 206-600-4361
Website: http://www.cunninghamaustinwheeler.com/
  1. No US registered securities firm with this name.

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.

Edison Transfer Agency
300 Madison Avenue, Suite 815
Toledo, OH 43601
Phone: 419-712-3201
Fax: 419-821-9392
Website: http://edisontransfer.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.

Federal Equities Corporation
51 Madison Avenue
New York, NY 1001
Phone: 646-360-1718
Fax: 646-861-5982
Website: http://federalequitiescorp.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.

Financial Asset Management, Inc.
1269 Avenue of the Americas
New York, NY 10019
Phone: 646-328-5070
Website: http://www.finamgtinc.com (The website is no longer accessible.)
  1. No US registered securities firm with this name.
  2. There existed a formerly registered broker-dealer with the same name - Financial Asset Management, Inc. (CRD Number: 18514; SEC Number: 8-36802). The genuine Financial Asset Management, Inc. had its registration with the SEC terminated, effective February 4, 2003, and is defunct.
  3. There exists a genuine SEC-registered investment adviser with a similar name but different address in New York City - Financial Asset Management Corp. (CRD Number: 106643; SEC Number: 801-27858). The former but defunct broker-dealer firm and the genuine investment adviser firm have NO connection with, and are not to be confused with, the soliciting entity Financial Asset Management, Inc.

Financial Soultions (sic)  
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 10006
Phone: 646-918-5152
Fax: 646-786-4911
Website: http://www.financialsoultions.com/
  1. No US registered securities firm with this name.
  2. This soliciting entity's website has the same contact details as JSM Financial's.

FinSolve Inc.
90 Park Avenue, 17th Floor
New York, NY 10016
Fax: 646-607-4654, 347-287-6716
Website: http://www.fin-solve.com/
  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 Financial Management
255 W. 36th Street
New York, NY 10018-7798
Phone: 646-351-1282
Fax: 646-961-4811
Website: http://firstfinancialmgmt.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.

First National Stock Transfer Inc.  
77 E. Missouri Avenue, Suite 71
Phoenix, AZ 85012
Mailing Address:
5555 N. 7th Street, Suite 134-238
Phoenix, AZ 85014
Phone: 602-559-1857
Fax: 602-297-6517
Website: http://www.fnsti.com/
  1. No US registered securities firm with this name.
  2. First National Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number: 0001375291; SEC Number: 084-06191). The legitimate First National Stock Transfer Inc. initially and last filed with the SEC on September 7, 2006 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.
  3. Claims to work with, or makes other reference in its solicitations to, Cameron Poe & Associates Inc., a purported financial advisory services firm.

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.

Fund Investors, Inc.
10 New King Street
White Plains, NY 10604
Phone: 914-214-5303
Fax: 914-462-3783
Website: http://www.fundinvestorsincllc.com (The website is no longer accessible.)
  1. Fund Investors, Inc., White Plains, NY is impersonating a genuine entity with the same name located in Johnstown, PA.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity Fund Investors, Inc. (CRD Number: 20374; SEC Number: 8-38186), which has the following mailing address: 636 Scalp Avenue, Johnstown, PA 15904. The SEC's EDGAR database contains registration information for the genuine entity.

Gardner Financial Trading
White Plains Plaza
445 Hamilton Avenue, Suite 1107
White Plains, NY 10601
Phone: 917-546-7315
Fax: 212-631-1008
Website: http://gfinancetrading.com/
  1. No US registered securities firm with this name.
  2. Garner Financial Trading is impersonating a genuine broker-dealer firm with a similar name - Gardner Financial Services, Inc. (CRD Number: 21000; SEC Number: 8-38631). The impersonator has NO connection with, and is not to be confused with, the genuine Gardner Financial Services, Inc., which has the following mailing and internet addresses: 8421 Wayzata Boulevard, Suite 350, Minneapolis, MN 55426, www.gardnerfinancialmn.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

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 Alliance Insurance Company
226 W. Washington Street
Chicago, IL
Phone: 773-303-4861
Fax: 773-486-8240
Website: http://www.globalallianceinsurance.us/
  1. No US registered securities firm with this name.

Global Capital Group Mergers & Acquisitions
731 Lexington Avenue
New York, NY 10022
Phone: 212-933-9154
Fax: 212-954-5011
Website: http://globalmergersacquisitions.com/
  1. No US registered securities firm with this name.

Global Re-Insurance Services 
Website: http://globalreinsuranceservices.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.

Global Quest Emerging Fund LP
One Whitehall Street, 15th Floor
New York, NY 10004
Phone: 646-652-0720
Fax: 646-786-4707
Website: http://www.gqemerging.com/
  1. No US registered securities firm with this name.
  2. Global Quest Emerging Fund LP is impersonating a genuine entity with a similar name at the same address - Global Quest Emerging Fund II LP, a Regulation D exempt filer (SEC file no. 021-104914, received 06-18-07). The impersonator has NO connection with, and is not to be confused with, the genuine Global Quest Emerging Fund II LP, which has the following internet address www.globalquestinvestments.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.
  3. The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

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.

Goodwin William Inc.
44 West 32nd Street
New York, NY 10002
Phone: 212-542-8755
Fax: 212-202-7928
Website: http://www.goodwinwilliam.com/
  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.

Greentree Financial Advisors
2408 Richmond Road
Staten Island, NY 10306
Fax: 718-732-2047
Website: http://www.greentree-financial-advisors.us/
  1. Greentree Financial Advisors is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Greentree Financial Advisors, Inc. (CRD Number: 127088). The impersonator has NO connection with, and is not to be confused with, the genuine Greentree Financial Advisors, Inc. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

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.

GS Global Asset Management LLC
488 Madison Avenue, 8th Floor
New York, NY 10022
Phone: 646-843-6976
Fax: 646-219-3077
Website: http://www.gsgamgt.com/
  1. No US registered securities firm with this name.
  2. GS Global Asset Management LLC is impersonating a formerly registered broker-dealer with a similar name but different address - GS Global Asset Management, L.L.C. (CRD Number: 44243; SEC Number: 8-50587). The genuine GS Global Asset Management L.L.C., which was located at 212 West 22nd Street, Suite 4F, New York, NY 10011, had its registration with the SEC cancelled on December 15, 1999 and is defunct.

Gultsara Trading Ltd.
701 Madison Street
Seattle, WA 98104
Website: http://gultsara.com/
  1. No US registered securities firm with this name.

Hampton Capital Management
71 Stevenson Street, Suite 400
San Francisco, CA 94105
Phone: 415-765-6744 (inoperative)
Fax: 415-655-6601
  1. No US registered securities firm with this name.

Harbor Light Securities Inc.
1093 Deep Woods Drive
Marion, NC 28752
Phone: 828-527-0244
Fax: 877-426-8220
Website: http://harborlightsecinc.com/
  1. No US registered securities firm with this name.
  2. Harbor Light Securities Inc. is impersonating a genuine broker-dealer firm with a similar name and different street address - Harbor Light Securities, LLC (CRD Number: 130227; SEC Number: 8-66315). The genuine Harbor Light Securities, LLC is located at 1039 Deep Woods Drive. The impersonator has NO connection with, and is not to be confused with, the genuine Harbor Light Securities, LLC. The SEC's EDGAR database contains registration information for the genuine entity.

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.

Hobdell and Williamson
2496 Sand Hill Road, Suite 132
Menlo Park, CA 94025
Phone: 650-963-5727
Fax: 650-240-3913
Website: http://www.hobdellwilliamson.com/hobdellwilliamson.htm
  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.

Interactive Taxation Consultants
Samson Building
Level 8-22G
501 Fifth Avenue
New York, NY 10017
Phone: 212-359-1682
Fax: 212-954-5088
Website: http://www.taxationconsultants.com/
  1. No US registered securities firm with this name.

Investors Advisory Services, LLC
857 3rd Avenue, 18th Floor
New York, NY 10022
Phone: 646-360-1719
Fax: 646-786-4693
Website: http://investorsadvisorysvcsllc.com/
  1. Investor Advisory Services, LLC, New York, NY is impersonating a genuine entity with the same name located in Brentwood, Tennessee.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity Investors Advisory Services, LLC (CRD Number: 47083; SEC Number: 8-51662), which has the following mailing address: 100 Winners Circle, Suite 400, Brentwood, TN 37027. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine 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.

Jackson Bernstein Associates
P.O. Box 39762
Seattle, WA 97126-1428
Phone: 206-337-1929
Fax: 206-203-0357
Website: http://www.jacksonbernstein.com/
  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.

JSM Financial  
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 1006
Phone: 646-918-5152
Fax: 646-786-4918
Website: http://jsmfinancial.com/
  1. No US registered securities firm with this name.
  2. This soliciting entity's website has the same contact details as Financial Soultions' (sic).

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.

Kensington Advisory & Investment Group
350 Fifth Avenue, Suite 5620
New York, NY 10118
Phone: 646-328-5070
Fax: 646-224-8433
Website: http://kensingtonaig.com/
  1. No US registered securities firm with this name.
  2. Kensington Advisory & Investment Group is impersonating a formerly registered broker-dealer firm named Kensington Advisory and Investment Group LLC (CRD Number: 47739; SEC Number: 8-51888). The genuine Kensington Advisory and Investment Group LLC had its registration with the SEC terminated on February 18, 2003 and is defunct.

Keswick Group
154 Exchange Boulevard, Suite 108
Rochester, NY 14614-2108
Phone: 585-935-5205
Fax: 585-935-5206
Website: http://keswickgrp.com/ (according to its Internet service provider, this domain name expired on November 11, 2010)
  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.

Krust Global Financials
209 East 65th Street
New York, NY 10065-4451
Phone: 315-604-3864
Fax: 646-619-4732.
Website: http://www.krustglobalfinancials.com/
  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.

Legal Recovery Consultants
206 NW 2nd Ave, Suite 933
Miami, FL 33130
Phone: 305-420-5667
Fax: 954-827-0503
Website: http://www.legalrecoveryconsultants.com/
  1. No US registered securities firm with this name.

Legg and Berman Acquisitions Management
The Mercantile Exchange
30 South Wacker Drive, 22/F Suite 228-230
Chicago, IL 60611
Phone: 312-416-0890
Fax: 312-279-1279
Website: http://leggandberman.com/
  1. No US registered securities firm with this name.

Lincoln & Rutherford Trust Management
118 East Main Street
Newark, DE 19702
Also: P.O. Box 1059
Phone: 302-565-4174
Fax: 302-861-3764
Website: http://lincolnrutherford.com/
  1. No US registered securities firm with this name.

Lincoln Trust Transfer Agency LLC
9727 Highway 12W
Rochester, WA 98579
Phone: 360-347-1251
Fax: 360-234-5155
Website: http://www.lincolntrustta.com/
  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.

Lynx Mackenzie, Inc.
415 Madison Avenue
New York, NY 10017
Phone: 646-912-6187
Fax: 646-786-4954
Website: http://www.lynxmackenzie.com/
  1. No US registered securities firm with this name.

Madden Group Inc. (MGI)
Rand Building
14 Lafayette Square, Suite 1408
Buffalo, NY 14203
Phone: 716-829-7233
Fax: 716-706-1442
Website: http://www.maddengroupinc.com/
  1. No US registered securities firm with this name.

Maddisson Jardine Associates
P.O. Box 41953
Seattle, WA 98381
Phone: 206-337-1585
Fax: 206-337-5388
Website: http://www.maddissonjardinegroup.com/ (A former website used by this entity, http://www.maddissonjardine.com/, is no longer accessible.)
  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.

Manhattan Acquisition Corp.
126 East 56th Street, 29th Floor
New York, NY 10022
Phone: 212-461-4892
Website: http://manhattanacquisitioncorp.com/
  1. No US registered securities firm with this name.
  2. Manhattan Acquisition Corp. is impersonating a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Manhattan Acquisition Corp., a Schedule 13D ("beneficial ownership report") filer (CIK Number: 0001128718) and Delaware corporation formed by BRS L.P. for the sole purpose of effecting the proposed transactions of merging with and into a single other company, as described in its filing of November 27, 2000 and amended filing of January 18, 2001. The SEC's EDGAR database contains information for the genuine entity.

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.

Mathisen Financial
1 State Street
New York, NY 10004
Phone: 718-337-8931
Fax: 718-425-0379
Website: http://mathisenfinancial.com/
  1. No US registered securities firm with this name.

MBC Finance Group
307 Broadway
New York, NY 10048
Phone: 646-918-5135
Fax: 646-514-4337
http://mbcfinancegroup.com/
  1. No US registered securities firm with this name.

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.

Melrose & Greystone
255 West 36th Street
New York, NY 10018-7555
Phone: 212-655-5806
Fax: 718-732-2989
Website: http://www.melroseandgreystone.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.

Minor Group Incorporated
15 E 57th Street
New York, NY 10022
Phone: 212-359-1620
Fax: 212-372-7406
Website: http://www.minorgroupinc.com/
  1. No US registered securities firm with this name.

MIT Associates Incorporated 
One Liberty Plaza
Columbia Center
701 Fifth Avenue
Seattle, WA 98104
Phone: 206-337-4561
Fax: 206-424-4720
Website: http://mitassociates.org/
  1. MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
  2. The impersonator has NO connection with, and is not to be confused with, the genuine entity MIT Associates, LLC d/b/a Liability Solutions (CRD Number: 121171; SEC Number: 8-65386), which has the following mailing address: One Landmark Square, Suite 620, Stamford, CT 06901. The SEC's EDGAR database contains registration information for the genuine entity.

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.

NBI Energy
1370 Avenue of Americas, 24th Floor
New York, NY 10019
Phone: 646-652-6222
Fax: 646-861-4617
Website: http://www.nbienergy.com/ (The website is no longer accessible.)
  1. No US registered securities firm with this name.
  2. NBI Energy is impersonating a genuine entity with a similar name at the same address - NBI Energy Fund LP, a Regulation D exempt filer (SEC file no. 021-89655, received 05-04-06). The impersonator has NO connection with, and is not to be confused with, the genuine NBI Energy Fund LP. The SEC's EDGAR database contains registration information for the genuine entity.

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.

New York Finance Company
405 Lexington Avenue
Chrysler Building
New York, NY 10174
Website: http://newyorkfinanceco.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.

North Pacific Mergers & Acquisitions
1511 6th Avenue Suite 211
Seattle, WA 98101
Phone: 206-451-5155
Fax: 206-338-7140
Website: http://www.northpacificmergers.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.

NorthPoint M&A Advisors
NorthPoint M&A Advisors LLC
1522E Perkins Ave., Suite D
Sandusky OH, 44870
Phone: 419-464-9054
Fax: 419-821-9392
Website: http://northpointma.com/
  1. No US registered securities firm with this name.

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.

NY Finance Ltd.
307 7th Avenue, Suite 306
New York, NY 11215
Phone: 212-247-1721
Fax: 212-656-1877
Website: www.nyfinanceltd.com (resolves to: http://wpress.nyfinanceltd.com/)
  1. No US registered securities firm with this name.

O'Coone, McCormack & Button Ltd.
138 Lexington Avenue
New York, NY 10016
Phone: 646-360-1721
Fax: 646-861-4609
Website: http://www.ocmbuttonltd.com/
  1. No US registered securities firm with this name.
  2. O'Coone, McCormack & Button Ltd. is impersonating a formerly registered broker-dealer firm named OCM Distributors, Inc. (CRD Number: 23204; SEC Number: 8-40276). The genuine OCM Distributors, Inc. had its registration with FINRA terminated on December 9, 1992 and is defunct.

Obrien & Shepard Inc.
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)
  1. Obrien & Shepard Inc. is impersonating a genuine broker-dealer firm with a similar name - O'Brien & Shepard, Inc. (CRD Number: 7152; SEC Number: 8-19348). The impersonator has NO connection with, and is not to be confused with, the genuine O'Brien & Shepard, Inc. The SEC's EDGAR database contains registration information for the genuine entity.

Paragon Capital Group, Inc.
450 Park Avenue, Suite 2512
New York, NY 10022
Phone: 347-329-3096
Fax: 347-402-0226
Website: http://www.paragoncapitalgrp.com/
  1. No US registered securities firm with this name.
  2. Paragon Capital Group, Inc is impersonating a genuine entity with a similar name - Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741). The impersonator has NO connection with, and is not to be confused with, the genuine Paragon Capital Management Corp., which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, www.paragoncapitalonline.com. The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.
  3. The impersonator claims to be commissioned by the "Federal Depository Commission." This is a fictitious entity.

Peter Hamilton Law Firm & Consultancy
2219 8th Avenue
Seattle, WA 98121
Phone: NYC 646-416-9031
Fax: 646-224-9569
Website: http://peterhamiltonconsultancy.com/
  1. No US registered securities firm with this name.

Platinum Group International
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-727-4436
Fax: 718-732-2350
Website: http://www.platinumgi.com/
  1. No US registered securities firm with this name.

Pointe Atlantic
1431 S. Howard Avenue
Tampa, FL
Phone: 813-434-4297 and 813-387-3305
Website: http://www.pointe-atlantic.com
  1. No US registered securities firm with this name.
  2. Pointe Atlantic is impersonating a formerly registered broker-dealer firm with the same name – Pointe Atlantic, Inc. (CRD Number: 46599; SEC Number: 8-51486). The genuine Pointe Atlantic, Inc. last filed with FINRA on July 22, 1999 and is defunct.
  3. The impersonator is also soliciting under the name Schnell and Company using the clone website schnellcompany.com.

Premier Consultancy Group (PCG)
1210 Commerce Street, Suite 408
Dallas, TX 75202
Phone: 214-453-1444
Fax: 214-602-1969
Website: http://www.premierconsultancygroup.com/
  1. No US registered securities firm with this name.

Prime Group of Companies
125 Westchester Ave.
White Plains, NY 10601
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://www.primegroupofcompanies.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.

Robbins, McCaully, Appleby LLC
100 North Stone Avenue, Suite 402
Tucson, AZ 85701
Phone: 520-979-3454
Fax: 520-979-3453
Website: http://rmappleby.com/
  1. No US registered securities firm with this name.
  2. Claims to work with, or makes other reference in its solicitations to, Apex Stock Transfer Inc, an impersonator of a former genuine entity having the same 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.

SB Registry
200 S Virginia Street
Reno, NV 89501
Phone: 702-789-0461
Fax: 415-449-9792
Website: http://sbregistry.com and http://www.rsbta.com/ (Access Forbidden)
  1. No US registered securities firm with this name.

Schwartz Leiberman Associates
P.O. Box 16425
Seattle, WA 97271
Phone: 206-350-4019 (from soliciting documents)
Fax: 206-299-9239
Phone: 206-202-6202 (from website)
Fax: 206-339-4812
Website: http://www.schwartzleiberman.com/
  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.

Select American Transfer Co.
118 Finch Avenue West, Suite B11
Toronto, ON M2N 2H7
Phone: 416-907-6545
Fax: 905-963-7879
Website: http://selectatc.com/
  1. No US registered securities firm with this name.
  2. Select American Transfer Co. is impersonating a former genuine entity having the same name (CIK Number: 0001324472; SEC Number: 084-06152). The legitimate Select American Transfer Co. last filed with the SEC on September 5, 2006 and is defunct.
  3. Claims to work, or makes other reference in its solicitations to, Madden Group, Inc., a purported financial advisory services firm.

Seward, Groves, Richard and Wells
479 State Highway No.17
Mahwah, NJ 07430
Phone: 646-257-4052
Fax: 646-500-8649
Website: http://www.sgrw-inc.com and http://www.sgrw-llc.com (The websites are no longer accessible.)
  1. No US registered securities firm with this name.
  2. Seward, Groves, Richard and Wells is impersonating a formerly registered broker-dealer with the same name - Seward, Groves, Richard & Wells, Inc. (CRD Number: 17963; SEC Number: 8-35871). The genuine Seward, Groves, Richard & Wells, Inc. had its registration with the SEC cancelled, effective August 27, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

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.

Soloman Mckinley Associates
P.O. Box 62889
Seattle, WA 98381-1296
Phone: 206-202-5135
Fax: 206-376-1936
Website: http://www.solomanmckinley.com/
  1. No US registered securities firm with this name.

Sovereign Pacific Inc.
1440 Broadway, 22nd Floor
New York, NY 10018
Phone: 646-912-6203
Fax: 646-607-4654
Website: http://www.sovereignpacinc.com/ (no longer online)
  1. No US registered securities firm with this name.

Spartan Capital Asset Management
412 Park Avenue, 18th Floor
New York, NY 10022
Phone: 646-861-7887
Fax: 646-224-4890
Website: http://spartancam.com/
  1. No US registered securities firm with this name.

Stanley Capital Group Mergers and Acquisitions
1221 Avenue of the Americas
New York, NY 10020
Phone: 212-372-7388
Fax: 212-202-5220
Website: http://stanleycapitalgroup.com/
  1. No US registered securities firm with this name.
  2. This entity's website is an otherwise identical clone of MIT Associates Incorporated's.

Steed and Associates
352 Green Meadows, Suite 102
Pflugerville, TX 78660
Phone: 512-692-7644
Fax: 512-519-1556
Website: http://www.steedandassociates.com/
  1. No US registered securities firm with this name.

Steinberg & Ashley Corp.
21 Wall Street
New York City, NY 10005
Phone: 646-808-0223
Fax: 646-219-8045
Website: http://www.steinberg-usa.com/
  1. No US registered securities firm with this name.

Swiftsure Securities Limited
Third Avenue, Suite 1601
Seattle, WA
Phone: 206-408-1462
Fax: 206-299-7597
Website: http://swiftsuresecuritiesltd.com/ (The website is no longer accessible.)
  1. No US registered securities firm with this name.
  2. Swiftsure Securities Limited is impersonating a genuine broker-dealer firm with a similar name - Swiftsure Securities LLC (CRD Number: 139965; SEC Number: 8-67264). The impersonator has NO connection with, and is not to be confused with, the genuine Swiftsure Securities LLC. The SEC's EDGAR database contains registration information for the genuine entity.

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.

Taylor and Grant Associates
243 E 25th Street, Suite 18
2nd Floor, Manhattan Tower
New York, NY 10010
Phone: 914-885-0102
Fax: 646-843-4739/646-514-4337
Website: http://taylorandgrantassociates.com/
  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.

United Consultants Fiduciary Services (UCFS)
148 Dogwood Drive
Fulton
Atlanta, GA 30354
Phone: 404-585-4267
E-mail: info@ucfs.biz
Website: http://www.ucfs.biz/

and

100 W. 33rd Street
New York, NY 10100
Phone: 212-851-3750
Fax: 206-339-4502
E-mail: ucfs.biz@accountant.com
  1. No US registered securities firm with this name.

Uniteds Investment Global Corp.
23 Wall Street, Suite 809
New York, NY 10005
Phone: 877-826-5224
Fax: 877-239-3608
Website: http://uniteds.com/
  1. No US registered securities firm with this name.

Universal Consolidated
55 Wall Street
New York, NY 10005
Phone: 212-401-6180
Fax: 212-401-6181
Website: http://universalcsld.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.

Wallstreet M & A Group
721 5th Avenue
New York, NY 10022
Phone: 516-833-3358
Fax: 516-570-3941
Website: http://www.wstreetgrp.com/
  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 & Massey Asset Management Ltd., Inc.
400 Chesterfield Center, Suite 400
St. Louis, MO 63017
Phone: 314-361-3380
Fax: 866-523-5365
Website: http://www.warren-massey.net/
  1. No US registered securities firm with this name.

Warren Hill, LLC
2401 4th Avenue
Seattle, WA 98121
Phone: 206-445-0930
Website: http://www.warren-hill.com
  1. No US registered securities firm with this name.

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.

Western Pacific Advisors Inc., a.k.a. Westpac Inc.
One Stamford Plaza
Suite 420, Tresser Boulevard
Stamford, CT 06901
Phone: 202-595-0002
Fax: 202-595-2209
Website: http://www.westpacificadvisors.com/
  1. No US registered securities firm with this name.

Whittman Simmons Inc.
1560 Broadway
New York, NY 10035
Phone: 646-912-6187
Fax: 646-786-4618
Website: http://www.whittmansimmons.com/
  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.

Williams Mckenna Associates
P.O. Box 40601
Seattle, WA 97615
Phone: 206-426-2174
Fax: 206-299-9239
Website: http://www.williamsmckenna.com
  1. No US registered securities firm with this name.

Williams Royale Associates
P.O. Box 29437
Seattle, WA 98381
Website: http://williamsroyale.com/
  1. No US registered securities firm with this name.
  2. Claims to work with, or makes other reference in its solicitations to, Global Re-Insurance Services, a purported provider of wholesale insurance products and services. The website offers no address details for this entity.

Wyatt M & A Advisory
John Hancock Center
875 North Michigan Avenue
Chicago, IL 60611
Phone: 312-646-7665
Website: http://wyattmaadvisors.com/
  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.

Zenith Research Group
20 South Wacker Drive
Chicago IL 60606
Phone: 773-831-4614
Fax: 773-304-3127
Website: http://www.zenithresearchgroup.com/
  1. No US registered securities firm with this name.

 

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

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Modified: 02/10/2011