The following case involves a foreign corporation. This case is an excerpt from the SEC website:
“The Securities and Exchange Commission today announced that on June 8, 2011, the U.S. District Court for the Southern District of New York entered a final judgment against Onele Trading & Finance Ltd. ("Onele"), a British Virgin Islands corporation, in the Commission's pending injunctive action, SEC v. Onele Trading & Finance Ltd., 10 Civ. 9159 (JFK) (S.D.N.Y.). The Commission's action was filed on December 8, 2010 and was initially styled Securities and Exchange Commission v. One or More Unknown Purchasers of Securities of Wimm-Bill-Dann Foods OJSC. The Commission's complaint alleged that certain unknown purchasers engaged in illegal insider trading in the American Depositary Receipts ("ADRs") of Wimm-Bill-Dann Foods OJSC ("WBD"), a Russian corporation that manufactures and sells dairy and fruit juice products, ahead of a December 2, 2010, announcement that PepsiCo, Inc. intended to acquire a 66 percent interest in WBD. The day the Commission filed its action, the district court entered a temporary restraining order freezing the shares and proceeds related to the alleged insider trading. At a hearing held on December 16, 2010, the district court entered a preliminary injunction extending the relief provided in the temporary restraining order. On May 26, 2011, the Commission amended its complaint to name Onele as the sole defendant.
The Commission's amended complaint alleges that Onele violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder through its trading ahead of the acquisition announcement. The amended complaint alleges that Onele, through an account maintained at SG Private Banking (Suisse) SA in Geneva, Switzerland, placed orders to buy 400,000 WBD ADRs during the three days preceding the announcement. The day after the announcement, the closing price of WBD ADRs rose approximately 28 percent from the previous day's close.
Without admitting or denying the allegations of the amended complaint, Onele consented to entry of a final judgment enjoining it from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; ordering it to pay disgorgement in the amount of $2,864,638; and imposing a civil money penalty in the amount of $2,864,638 pursuant to Exchange Act Section 21A(a). The monetary sanctions will be paid out of the monies frozen pursuant to the temporary restraining order and preliminary injunction.
The Commission's investigation is continuing.”
Offshore based corporations may well be shaking at the knees when they read of this case. It is a small case but it could easily involve trillions of dollars from many offshore businesses in the next decade.
This is a photo of the National Register of Historic Places listing with reference number 7000063
Tuesday, June 14, 2011
Sunday, June 12, 2011
SEC ANNOUNCES AN “ALL IN THE FAMILY” INSIDER TRADING CASE
The following case is an excerpt from the SEC web site:
“On March 17, 2011, the Securities and Exchange Commission charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal insider trading in advance of the company’s acquisition.
The SEC alleges that Patrick Carroll, William “Tad” Carroll, David Mark Calcutt and David Stitt – who are vice presidents of sales at Steel Technologies – traded based on confidential information about their company’s acquisition by Mitsui & Co. (USA) Inc. Three of the four executives illegally tipped family members or friends. The ring of eight traders together purchased $578,000 of Steel Technologies stock in the month prior to the public announcement of the acquisition and made $320,000 in illegal profits.
The SEC alleges that Patrick Carroll tipped his son James Carroll, and Calcutt tipped his brother Christopher Calcutt. David Stitt tipped his friend John Monroe, who then tipped another friend Stephen Somers.
According to the SEC’s complaint filed in U.S. District Court for the Western District of Kentucky, Patrick and Tad Carroll are brothers of Michael Carroll, who is the president and chief operating officer of Steel Technologies. Patrick traded after Michael introduced him to Mitsui representatives who were touring the Steel Technologies facility where Patrick worked. Patrick tipped his son James, who then purchased his own Steel Technologies stock shortly before the acquisition was publicly announced. Tad bought more than $84,000 of Steel Technologies stock approximately one week before the public announcement following his own communications with Michael.
The SEC alleges that before getting inside information about the forthcoming acquisition, Calcutt liquidated nearly all of his company stock. However after he went on a hunting trip with Michael Carroll, Calcutt soon started aggressively buying Steel Technologies stock at higher prices. He also tipped his brother Christopher Calcutt, who then sold all of his shares in another company for a loss and used that money to buy Steel Technologies stock on margin to increase his illicit gains.
According to the SEC’s complaint, Stitt, Monroe and Somers have known each other since childhood. Stitt learned about the forthcoming acquisition on the Friday before the public announcement and immediately purchased Steel Technologies stock that same day. Over the weekend, Stitt told Monroe about the forthcoming acquisition. On Monday, Monroe passed the inside information to Somers. That same day, Monroe told his broker to immediately open a new account so he could buy Steel Technologies stock. Somers also immediately traded based on the inside information. During the SEC’s investigation, Stitt and Monroe contradicted each other’s testimony about their communications and advance knowledge of the acquisition.
The SEC’s complaint charges the eight defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and the imposition of monetary penalties against all defendants.”
“On March 17, 2011, the Securities and Exchange Commission charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal insider trading in advance of the company’s acquisition.
The SEC alleges that Patrick Carroll, William “Tad” Carroll, David Mark Calcutt and David Stitt – who are vice presidents of sales at Steel Technologies – traded based on confidential information about their company’s acquisition by Mitsui & Co. (USA) Inc. Three of the four executives illegally tipped family members or friends. The ring of eight traders together purchased $578,000 of Steel Technologies stock in the month prior to the public announcement of the acquisition and made $320,000 in illegal profits.
The SEC alleges that Patrick Carroll tipped his son James Carroll, and Calcutt tipped his brother Christopher Calcutt. David Stitt tipped his friend John Monroe, who then tipped another friend Stephen Somers.
According to the SEC’s complaint filed in U.S. District Court for the Western District of Kentucky, Patrick and Tad Carroll are brothers of Michael Carroll, who is the president and chief operating officer of Steel Technologies. Patrick traded after Michael introduced him to Mitsui representatives who were touring the Steel Technologies facility where Patrick worked. Patrick tipped his son James, who then purchased his own Steel Technologies stock shortly before the acquisition was publicly announced. Tad bought more than $84,000 of Steel Technologies stock approximately one week before the public announcement following his own communications with Michael.
The SEC alleges that before getting inside information about the forthcoming acquisition, Calcutt liquidated nearly all of his company stock. However after he went on a hunting trip with Michael Carroll, Calcutt soon started aggressively buying Steel Technologies stock at higher prices. He also tipped his brother Christopher Calcutt, who then sold all of his shares in another company for a loss and used that money to buy Steel Technologies stock on margin to increase his illicit gains.
According to the SEC’s complaint, Stitt, Monroe and Somers have known each other since childhood. Stitt learned about the forthcoming acquisition on the Friday before the public announcement and immediately purchased Steel Technologies stock that same day. Over the weekend, Stitt told Monroe about the forthcoming acquisition. On Monday, Monroe passed the inside information to Somers. That same day, Monroe told his broker to immediately open a new account so he could buy Steel Technologies stock. Somers also immediately traded based on the inside information. During the SEC’s investigation, Stitt and Monroe contradicted each other’s testimony about their communications and advance knowledge of the acquisition.
The SEC’s complaint charges the eight defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and the imposition of monetary penalties against all defendants.”
WASTE MANAGEMENT INC FORMER CHIEF ACCOUNTNG OFFICER SETTLES WITH SEC
The following case is an excerpt from the SEC web site:
“The Securities and Exchange Commission (“Commission”) announced today that it settled its civil injunctive action previously filed against Bruce E. Snyder, Jr. (“Snyder”), in the United States District Court for the Southern District of Texas. Snyder formerly was Chief Accounting Officer of Waste Management, Inc. (“WMI”). The complaint previously filed in this matter alleged that Snyder, among other things, prepared, reviewed, and signed a materially false or misleading Form 10-Q that Waste Management, Inc. filed with the Commission for the first quarter of its fiscal year ended December 31, 1999.
Snyder, without admitting or denying the allegations in the Commission’s Complaint, consented to an order permanently enjoining him from aiding and abetting violations of Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 12b-20 and 13a-13, the reporting provisions of the federal securities laws.”
“The Securities and Exchange Commission (“Commission”) announced today that it settled its civil injunctive action previously filed against Bruce E. Snyder, Jr. (“Snyder”), in the United States District Court for the Southern District of Texas. Snyder formerly was Chief Accounting Officer of Waste Management, Inc. (“WMI”). The complaint previously filed in this matter alleged that Snyder, among other things, prepared, reviewed, and signed a materially false or misleading Form 10-Q that Waste Management, Inc. filed with the Commission for the first quarter of its fiscal year ended December 31, 1999.
Snyder, without admitting or denying the allegations in the Commission’s Complaint, consented to an order permanently enjoining him from aiding and abetting violations of Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 12b-20 and 13a-13, the reporting provisions of the federal securities laws.”
Saturday, June 11, 2011
SEC WEBSITE HAS RECORDS OF INVESTOR COMPLAINTS
The following is a list of entities that are unregisteredwith the SEC and are noted as being unregistered:
"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:
Is the entity registered in the United States?
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
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
Phone: 213-402-0477
Website: None found.
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/
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
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/
No US registered securities firm with this name.
Alliance Transfer Inc.
503 Fifth Avenue
New York, NY
Website: http://www.alliancetransferinc.com/
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/
No US registered securities firm with this name.
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.
American Taxation Incorporated
Chrysler Building
Level 14 1-2EF
New York, NY 10174
Phone: 646-351-1902
Fax: 646-351-1902
Website: http://www.americantaxation.com/
No US registered securities firm with this name.
Andersen Mergers
500 West Putnam Avenue
Greenwich, CT 06830
Website: http://www.andersenmergers.com/
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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.
Claims to work with, or makes other reference in its solicitations to, Robbins, McCaully, Appleby LLC, a purported financial advisory services firm.
Arron Copeland
875 North Michigan Avenue
Chicago, IL 60611
Fax: 773-439-2927
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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/
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/
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
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/
No US registered securities firm with this name.
Baros and Ronaldo Associates
Melbourne Tower, Suite 7061
1511 Third Avenue
Seattle, WA 98101
Phone: 206-801-0084
Fax: 206-299-9145
Website: http://barosandronaldoassociates.com/
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/
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
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
No US registered securities firm with this name.
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.
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)
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/
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/
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/
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
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/
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/
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/
No US registered securities firm with this name.
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.
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/
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
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/
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/
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
No US registered securities firm with this name.
Brookdale West Capital Management
289 Lexington Avenue, 18th Floor
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://brookdalewest.com/
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/
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
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)
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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
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/
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/
No US registered securities firm with this name.
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
No US registered securities firm with this name.
The entity is also soliciting under the name Dai-ichi Securities using the clone website www.dai-ichi-securities.com.
Cartwright Financial
Liberty Plaza, Manhattan
New York, NY 10006
Website: http://www.cartwright-financial.com/
No US registered securities firm with this name.
Century Management Division, Inc.
23351 Ford Rd.
Dearborn, MI 48128
Phone: 313-447-4477
Fax: 313-447-4477
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/
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
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/
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/
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
No US registered securities firm with this name.
Clarkson Black Associates
P.O. Box 72514
Seattle, WA 97181
Phone: 206-600-3184
Fax: 206-309-9912
Website: http://www.clarksonblack.com (The website is no longer accessible.)
No US registered securities firm with this name.
Purports to have been succeeded by Maddisson Jardine Associates.
Clarus Capital Group Management
237 Park Avenue, Suite 900
New York, NY 10017
Phone: 646-652-0451
Fax: 646-224-6483
Website: http://claruscapgrp.com/
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/
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/
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
No US registered securities firm with this name.
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/
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
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/
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.
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/
No US registered securities firm with this name.
Coreen Bradford Insurance
153 E. Wacker Drive
Chicago, IL 60601
Phone: 312-628-1287, 815-280-0375
Website: http://coreenbradfordinsurance.com/
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/
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/
No US registered securities firm with this name.
Investor solicitations employ "Securities Validation Authority," an entity which is believed to be fictitious.
Crown Will Escrow and Clearing
1258 H Street, NW
Washington, DC 20005
Fax: 202-315-2599
Website: http://www.crownwillescrowandclearing.com/
No US registered securities firm with this name.
Cunningham, Austin, Wheeler & Associates
P.O. Box 78254
Seattle, WA 98381
Phone: 206-350-3366
Fax: 206-600-4361
Website: http://www.cunninghamaustinwheeler.com/
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/
No US registered securities firm with this name.
David W. Jones, Attorney at Law
Three Allen Center, Suite 1406
333 Clay Street
Houston, TX 77002
Phone: 713-513-5175
Fax: 713-583-8764
Website: http://davidwjoneslaw.com/
David W. Jones, Attorney at Law is impersonating a genuine attorney and senior counsel with the same name at Thompson & Knight LLP located at 333 Clay Street, Suite 3300, Houston, TX 77002. The impersonator has NO connection with, and is not to be confused with, the genuine David W. Jones.
Davis & Rudell LLC
Liberty Street, Financial District
New York, NY 10006
Fax: 646-346-7472
Website: http://www.davis-rudell.com/
No US registered securities firm with this name.
Duke & Bremmer Law Firm LP
1401 Sawgrass Mills, Suites 101-103
Ft. Lauderdale, FL 33323
Phone: 954-213-6982
Website: http://duke-bremmer.com/ (The website is no longer accessible.)
No US registered securities firm with this name.
Duke Smythe Associates
P.O. Box 35178
Seattle, WA 98381
Phone: 206-666-2465
Fax: 206-338-6193
Website: http://www.dukesmythe.com/
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/
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
No US registered securities firm with this name.
Equity Trust Management, LLC
1 Boylston Street
Boston, MA 02116
Phone: 617-861-4513
Website: http://www.equitytm.com/
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/
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/
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/
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
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
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.)
No US registered securities firm with this name.
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.
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/
No US registered securities firm with this name.
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/
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/
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/
No US registered securities firm with this name.
First Independent Accounting & Management Services Inc.
1100 Superior Avenue
P.O. Box 5740
Cleveland, OH 44114
Phone: 440-809-8438
Fax: 440-809-8439
Website: http://fiams.com/
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
No US registered securities firm with this name.
First National Reliance Inc.
300 Fifth Avenue
New York, NY 10001
Phone: 212-542-9166
Website: http://www.firstnationalreliance.com/
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/
No US registered securities firm with this name.
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.
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/
No US registered securities firm with this name.
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.)
Fund Investors, Inc., White Plains, NY is impersonating a genuine entity with the same name located in Johnstown, PA.
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/
No US registered securities firm with this name.
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.
Garrett Hopkins Associates
P.O. Box 42861
Seattle, WA 98381
Website: http://garretthopkins.com/
No US registered securities firm with this name.
Gemini M&A
999 Peachtree St., NE
Atlanta, GA 30309
Phone: 678-791-4032
Fax: 678-954-0595
Website: http://www.geminima.com/
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/
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/
No US registered securities firm with this name.
Global Re-Insurance Services
Website: http://globalreinsuranceservices.com/
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
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/
No US registered securities firm with this name.
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.
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)
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
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/
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
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/
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.
Greystone Asset Management
780 Third Ave, 43rd Floor
New York, NY 10017
Fax: 212-208-2496
Website: http://www.greystoneassetmanagement.com/
No US registered securities firm with this name.
Greystone Asset Management is impersonating a genuine state-registered investment adviser firm with a similar name registered in New York State - Greystone Asset Management, LLC (CRD Number: 139802), which has the following mailing address: 780 Third Avenue, 43RD Floor, New York, NY 10017-2024. The impersonator has NO connection with, and is not to be confused with, the genuine Greystone Asset Management, LLC. 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
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/
No US registered securities firm with this name.
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.
Guardian Creative Tax Planners
New York Times Building
200 Park Avenue
New York, NY 10166
Phone: 212-359-1660
Website: http://www.guardian-inter.com/
No US registered securities firm with this name.
Gultsara Trading Ltd.
701 Madison Street
Seattle, WA 98104
Website: http://gultsara.com/
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
No US registered securities firm with this name.
Hanworth Weir Ltd.
Chicago Board of Trade Building
Suite 1497 LV14
141 West Jackson BV (sic)
Chicago, IL
No US registered securities firm with this name.
Claims to work with, or makes other reference in its solicitations to, Strike Commodities.
Harbor Light Securities Inc.
1093 Deep Woods Drive
Marion, NC 28752
Phone: 828-527-0244
Fax: 877-426-8220
Website: http://harborlightsecinc.com/
No US registered securities firm with this name.
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)
No US registered securities firm with this name.
Heinz Hokkaido International
1585 Broadway
New York, NY 10016
Website: http://www.heinzhokkaido.net/
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
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
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
No US registered securities firm with this name.
Website shows different phone numbers, with Atlanta area codes, from those used in solicitation materials.
IDA Consultancy
199111 32nd Road
Flushing, NY 11358
Phone: 646-502-8257
Fax: 646-224-9557
Website: http://www.idaconsultancy.com/
No US registered securities firm with this name.
Impact Finance
225 Franklin Street, 26th floor
Boston, MA 02110
Phone: 857-239-0450
Fax: 857-220-3000
Website: http://www.impactfinance.net/
No US registered securities firm with this name.
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
No US registered securities firm with this name.
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.
Institutional Equity Partners
200 West Street
New York, NY 10282
Phone: 212-504-3129
Fax: 212-504-7937
Website: http://iepnet.com/
No US registered securities firm with this name.
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/
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/
Investor Advisory Services, LLC, New York, NY is impersonating a genuine entity with the same name located in Brentwood, Tennessee.
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
No US registered securities firm with this name.
JD Trading
1300 Connecticut Avenue NW
Suite 2010-2011
Washington, DC 20036
Phone: 202-403-3107
Fax: 202-403-3107
Website: http://www.jdtrading.us/
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/
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/
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/
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
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)
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/
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
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)
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/
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/
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
No US registered securities firm with this name.
Legal Management Consultants
1285 Avenue of the Americas, Suite 219
New York, NY 10019
Phone: 239-240-4433
Fax: 646-588-0345
Website: http://www.stocksfraud.info/
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/
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/
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/
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/
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
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/
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
Lombard Grand Financials
53 5th Avenue, #600
New York, NY 10017
Phone: 646-558-0087
Fax: 646-365-3322
Website: http://lombardgrandfinancials.com/
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/
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/
No US registered securities firm with this name.
Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)
Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name - Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number: 8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC's EDGAR database contains registration information for the genuine entity.
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.)
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
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
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/
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/
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/
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/
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/
No US registered securities firm with this name.
Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com
No US registered securities firm with this name.
Metcap Securities is impersonating a genuine broker-dealer firm with a similar name - Metcap Securities, LLC (CRD Number: 30418; SEC Number: 8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC's EDGAR database contains registration information for the genuine entity.
Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513
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/
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/
MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
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 & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
One Liberty Plaza, Suite 3620
165 Broadway
New York, NY 1006 (sic)
Phone: 646-810-8672
Fax: 646-383-9317
Website: http://www.morrisonassociates.us/
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)
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.)
No US registered securities firm with this name.
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.
NT Financial Services
808 Broadway, #11
New York, NY 10003
Phone: 212-247-1708
Fax: 212-937-3669
Website: http://www.ntfinancialservices.net/ (The domain is suspended.)
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/
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/
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/
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/
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/
No US registered securities firm with this name.
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/
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/
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/
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/)
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/
No US registered securities firm with this name.
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.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)
No US registered securities firm with this name.
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), which has the following mailing address: 75 Montgomery Street, Suite 602, Jersey City, NJ 07302. 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/
No US registered securities firm with this name.
Paragon Capital Group, Inc is impersonating a genuine entity with a similar name - Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number: 8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC's EDGAR database contains registration information for the genuine entity.
The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, www.paragoncapitalonline.com. The SEC's EDGAR database contains registration information for the genuine entity.
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/
No US registered securities firm with this name.
Pinicle Registry
163 Third Avenue, Suite 184
New York, NY 10004
Phone: 917-470-9153
Fax: 678-693-7467
Website: http://pinicleregistry.com/
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/
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
No US registered securities firm with this name.
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.
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/
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/
No US registered securities firm with this name.
Prime Solutions, Inc.
100 West 57th Street
New York, NY
Phone: 646-810-3935 Fax: 646-224-4191
Fax: 646-365-3422 (from website)
Website: http://primesolutions.us/
No US registered securities firm with this name.
Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com/
1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name - Progress Investments LLC (CRD Number: 139981; SEC Number: 8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC's EDGAR database contains registration information for the genuine entity.
Quantum Global Equities Inc.
19th Street NW
Washington, DC 20036
Phone: 202-391-0955
Website: http://quantumglobalequitiesinc.com/
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/
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/
No US registered securities firm with this name.
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/
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)
No US registered securities firm with this name.
Rothman Securities
Parkwood Building, Suite 201
Street Road
Southampton, PA
http://rothmanoffshore.com/
No US registered securities firm with this name.
Rothman Securities is impersonating a genuine broker-dealer firm with a similar name - Rothman Securities, Inc. (CRD Number: 13907; SEC Number: 8-30469), which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966. The impersonator has NO connection with, and is not to be confused with, the genuine Rothman Securities, Inc. The SEC's EDGAR database contains registration information for the genuine entity
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)
No US registered securities firm with this name.
Schiller Gates, Inc.
1695 Broadway
New York, NY 10018-5009
Phone: 646-912-6185
Fax: 646-861-4847
Website: http://schiller-gates.com/
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/
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/
No US registered securities firm with this name.
Seale Capital Inc.
950 N. Glebe Road, Suite 950
Arlington, VA 22203
Website: http://sealecapitalinc.com/
Seale Capital Inc. is impersonating a genuine broker-dealer firm with the same name - Seale Capital, Inc. (CRD Number: 148420; SEC Number: 8-68022), which has the following mailing address: 950 N. Glebe Road, Suite 950, Arlington, VA 22203. The impersonator has NO connection with, and is not to be confused with, the genuine Seale Capital, Inc. The SEC's EDGAR database contains registration information for the genuine entity.
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/
No US registered securities firm with this name.
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.
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.)
No US registered securities firm with this name.
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.
Sharp Courage Global
255 West 36th Street
New York, NY 10018
Phone: 646-666-6086
Website: http://sharpcourageglobal.com/
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/
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/
No US registered securities firm with this name.
Sovereign Marketing
10 G Street NE
Washington, DC 20002
Phone: 202-580-8136
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)
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/
No US registered securities firm with this name.
Standard Hokori Group
64-76 Liberty Street, 12th Floor
New York, NY
Phone: 917-932-2021
Website: http://www.standardhokori.com/
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
Strategic Private Equity Group
Madison Avenue Center
590 Madison Avenue
New York, NY 10022
Phone: 212-656-1419
Fax: 212-409-8937
Website: http://www.strategicpeg.com/
No US registered securities firm with this name.
Strike Commodities
Chicago Board of Trade Building
141 West Jackson Blvd.
Chicago, IL 60604
Phone: 773-346-3075
Fax: 815-713-3933
Website: http://www.strikecommodities.com (The website is no longer accessible.)
No US registered securities firm with this name.
Claims to work with, or makes other reference in its solicitations to, Hanworth Weir Ltd.
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.)
No US registered securities firm with this name.
Swiftsure Securities Limited is impersonating a genuine broker-dealer firm with a similar name - Swiftsure Securities LLC (CRD Number: 139965; SEC Number: 8-67264), which has the following mailing address: 1201 Third Avenue, Suite 1601, Seattle, WA 98101. 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)
No US registered securities firm with this name.
Tanner-White PLLC
3101 Terry Ave North
Seattle, WA 98121
Phone: 206-420-6747
Fax: 206-202-2420
Website: http://tannerwhite.com/
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/
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/
No US registered securities firm with this name.
Total Research Group, Inc.
420 Mercer Street
Seattle, WA 98109
Phone: 111-12345678 (sic), 206-202-2420
Fax: 206-309-7348
Website: http://totalresearch.us/
No US registered securities firm with this name.
Total Research Group, Inc. and Tanner-White PLLC share an identical phone and/or fax number.
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
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/
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/
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
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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)
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/
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/
No US registered securities firm with this name.
Investor solicitations refer to "U.S. Registry Office," and "U.S. Securities Exchange," entities which are believed to be fictitious.
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/
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
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
No US registered securities firm with this name.
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.
Watson Sandy Holding Co.
P.O. Box 446
Townsend DE 19734
Phone: 302-261-3578
E-mail: watsonholding@delaware.usa.com
No website provided.
Watson Sandy Holding Co. 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 Watson Sandy Holding Co., a Regulation D exempt filer (SEC file no. 021-62564, received 01-29-04), which has the following mailing address: PO Box 446, Townsend DE 19734. The SEC's EDGAR database contains registration information for the genuine entity.
Wellington Mergers and Acquisitions
3340 Peachtree Road NE, Buckhead Area
Atlanta, GA 30326-1081
Phone: 404-592-4540
Fax: 404-759-2088
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
Whalberg and Kaplan Agency Inc.
2377 Connecticut Avenue NW, Suite 405
Washington, DC 20036
Phone: 202-552-1095
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/
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
No US registered securities firm with this name.
Willkinson Capital Group
499 Park Avenue, 9th Floor
New York, NY 10020
Phone: 917-338-1690
Fax: 917-591-8918
Website: http://willkinsoncapital.com/
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
No US registered securities firm with this name.
Williams Royale Associates
P.O. Box 29437
Seattle, WA 98381
Website: http://williamsroyale.com/
No US registered securities firm with this name.
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/
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/#
No US registered securities firm with this name.
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Home | Previous Page Modified: 06/06/2011
"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:
Is the entity registered in the United States?
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
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
Phone: 213-402-0477
Website: None found.
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/
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
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/
No US registered securities firm with this name.
Alliance Transfer Inc.
503 Fifth Avenue
New York, NY
Website: http://www.alliancetransferinc.com/
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/
No US registered securities firm with this name.
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.
American Taxation Incorporated
Chrysler Building
Level 14 1-2EF
New York, NY 10174
Phone: 646-351-1902
Fax: 646-351-1902
Website: http://www.americantaxation.com/
No US registered securities firm with this name.
Andersen Mergers
500 West Putnam Avenue
Greenwich, CT 06830
Website: http://www.andersenmergers.com/
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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.
Claims to work with, or makes other reference in its solicitations to, Robbins, McCaully, Appleby LLC, a purported financial advisory services firm.
Arron Copeland
875 North Michigan Avenue
Chicago, IL 60611
Fax: 773-439-2927
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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/
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/
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
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/
No US registered securities firm with this name.
Baros and Ronaldo Associates
Melbourne Tower, Suite 7061
1511 Third Avenue
Seattle, WA 98101
Phone: 206-801-0084
Fax: 206-299-9145
Website: http://barosandronaldoassociates.com/
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/
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
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
No US registered securities firm with this name.
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.
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)
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/
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/
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/
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
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/
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/
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/
No US registered securities firm with this name.
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.
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/
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
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/
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/
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
No US registered securities firm with this name.
Brookdale West Capital Management
289 Lexington Avenue, 18th Floor
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://brookdalewest.com/
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/
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
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)
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/
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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
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/
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/
No US registered securities firm with this name.
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
No US registered securities firm with this name.
The entity is also soliciting under the name Dai-ichi Securities using the clone website www.dai-ichi-securities.com.
Cartwright Financial
Liberty Plaza, Manhattan
New York, NY 10006
Website: http://www.cartwright-financial.com/
No US registered securities firm with this name.
Century Management Division, Inc.
23351 Ford Rd.
Dearborn, MI 48128
Phone: 313-447-4477
Fax: 313-447-4477
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/
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
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/
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/
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
No US registered securities firm with this name.
Clarkson Black Associates
P.O. Box 72514
Seattle, WA 97181
Phone: 206-600-3184
Fax: 206-309-9912
Website: http://www.clarksonblack.com (The website is no longer accessible.)
No US registered securities firm with this name.
Purports to have been succeeded by Maddisson Jardine Associates.
Clarus Capital Group Management
237 Park Avenue, Suite 900
New York, NY 10017
Phone: 646-652-0451
Fax: 646-224-6483
Website: http://claruscapgrp.com/
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/
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/
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
No US registered securities firm with this name.
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/
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
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/
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.
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/
No US registered securities firm with this name.
Coreen Bradford Insurance
153 E. Wacker Drive
Chicago, IL 60601
Phone: 312-628-1287, 815-280-0375
Website: http://coreenbradfordinsurance.com/
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/
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/
No US registered securities firm with this name.
Investor solicitations employ "Securities Validation Authority," an entity which is believed to be fictitious.
Crown Will Escrow and Clearing
1258 H Street, NW
Washington, DC 20005
Fax: 202-315-2599
Website: http://www.crownwillescrowandclearing.com/
No US registered securities firm with this name.
Cunningham, Austin, Wheeler & Associates
P.O. Box 78254
Seattle, WA 98381
Phone: 206-350-3366
Fax: 206-600-4361
Website: http://www.cunninghamaustinwheeler.com/
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/
No US registered securities firm with this name.
David W. Jones, Attorney at Law
Three Allen Center, Suite 1406
333 Clay Street
Houston, TX 77002
Phone: 713-513-5175
Fax: 713-583-8764
Website: http://davidwjoneslaw.com/
David W. Jones, Attorney at Law is impersonating a genuine attorney and senior counsel with the same name at Thompson & Knight LLP located at 333 Clay Street, Suite 3300, Houston, TX 77002. The impersonator has NO connection with, and is not to be confused with, the genuine David W. Jones.
Davis & Rudell LLC
Liberty Street, Financial District
New York, NY 10006
Fax: 646-346-7472
Website: http://www.davis-rudell.com/
No US registered securities firm with this name.
Duke & Bremmer Law Firm LP
1401 Sawgrass Mills, Suites 101-103
Ft. Lauderdale, FL 33323
Phone: 954-213-6982
Website: http://duke-bremmer.com/ (The website is no longer accessible.)
No US registered securities firm with this name.
Duke Smythe Associates
P.O. Box 35178
Seattle, WA 98381
Phone: 206-666-2465
Fax: 206-338-6193
Website: http://www.dukesmythe.com/
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/
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
No US registered securities firm with this name.
Equity Trust Management, LLC
1 Boylston Street
Boston, MA 02116
Phone: 617-861-4513
Website: http://www.equitytm.com/
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/
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/
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/
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
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
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.)
No US registered securities firm with this name.
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.
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/
No US registered securities firm with this name.
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/
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/
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/
No US registered securities firm with this name.
First Independent Accounting & Management Services Inc.
1100 Superior Avenue
P.O. Box 5740
Cleveland, OH 44114
Phone: 440-809-8438
Fax: 440-809-8439
Website: http://fiams.com/
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
No US registered securities firm with this name.
First National Reliance Inc.
300 Fifth Avenue
New York, NY 10001
Phone: 212-542-9166
Website: http://www.firstnationalreliance.com/
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/
No US registered securities firm with this name.
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.
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/
No US registered securities firm with this name.
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.)
Fund Investors, Inc., White Plains, NY is impersonating a genuine entity with the same name located in Johnstown, PA.
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/
No US registered securities firm with this name.
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.
Garrett Hopkins Associates
P.O. Box 42861
Seattle, WA 98381
Website: http://garretthopkins.com/
No US registered securities firm with this name.
Gemini M&A
999 Peachtree St., NE
Atlanta, GA 30309
Phone: 678-791-4032
Fax: 678-954-0595
Website: http://www.geminima.com/
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/
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/
No US registered securities firm with this name.
Global Re-Insurance Services
Website: http://globalreinsuranceservices.com/
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
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/
No US registered securities firm with this name.
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.
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)
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
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/
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
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/
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.
Greystone Asset Management
780 Third Ave, 43rd Floor
New York, NY 10017
Fax: 212-208-2496
Website: http://www.greystoneassetmanagement.com/
No US registered securities firm with this name.
Greystone Asset Management is impersonating a genuine state-registered investment adviser firm with a similar name registered in New York State - Greystone Asset Management, LLC (CRD Number: 139802), which has the following mailing address: 780 Third Avenue, 43RD Floor, New York, NY 10017-2024. The impersonator has NO connection with, and is not to be confused with, the genuine Greystone Asset Management, LLC. 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
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/
No US registered securities firm with this name.
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.
Guardian Creative Tax Planners
New York Times Building
200 Park Avenue
New York, NY 10166
Phone: 212-359-1660
Website: http://www.guardian-inter.com/
No US registered securities firm with this name.
Gultsara Trading Ltd.
701 Madison Street
Seattle, WA 98104
Website: http://gultsara.com/
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
No US registered securities firm with this name.
Hanworth Weir Ltd.
Chicago Board of Trade Building
Suite 1497 LV14
141 West Jackson BV (sic)
Chicago, IL
No US registered securities firm with this name.
Claims to work with, or makes other reference in its solicitations to, Strike Commodities.
Harbor Light Securities Inc.
1093 Deep Woods Drive
Marion, NC 28752
Phone: 828-527-0244
Fax: 877-426-8220
Website: http://harborlightsecinc.com/
No US registered securities firm with this name.
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)
No US registered securities firm with this name.
Heinz Hokkaido International
1585 Broadway
New York, NY 10016
Website: http://www.heinzhokkaido.net/
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
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
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
No US registered securities firm with this name.
Website shows different phone numbers, with Atlanta area codes, from those used in solicitation materials.
IDA Consultancy
199111 32nd Road
Flushing, NY 11358
Phone: 646-502-8257
Fax: 646-224-9557
Website: http://www.idaconsultancy.com/
No US registered securities firm with this name.
Impact Finance
225 Franklin Street, 26th floor
Boston, MA 02110
Phone: 857-239-0450
Fax: 857-220-3000
Website: http://www.impactfinance.net/
No US registered securities firm with this name.
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
No US registered securities firm with this name.
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.
Institutional Equity Partners
200 West Street
New York, NY 10282
Phone: 212-504-3129
Fax: 212-504-7937
Website: http://iepnet.com/
No US registered securities firm with this name.
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/
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/
Investor Advisory Services, LLC, New York, NY is impersonating a genuine entity with the same name located in Brentwood, Tennessee.
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
No US registered securities firm with this name.
JD Trading
1300 Connecticut Avenue NW
Suite 2010-2011
Washington, DC 20036
Phone: 202-403-3107
Fax: 202-403-3107
Website: http://www.jdtrading.us/
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/
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/
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/
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
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)
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/
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
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)
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/
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/
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
No US registered securities firm with this name.
Legal Management Consultants
1285 Avenue of the Americas, Suite 219
New York, NY 10019
Phone: 239-240-4433
Fax: 646-588-0345
Website: http://www.stocksfraud.info/
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/
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/
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/
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/
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
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/
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
Lombard Grand Financials
53 5th Avenue, #600
New York, NY 10017
Phone: 646-558-0087
Fax: 646-365-3322
Website: http://lombardgrandfinancials.com/
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/
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/
No US registered securities firm with this name.
Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)
Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name - Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number: 8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC's EDGAR database contains registration information for the genuine entity.
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.)
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
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
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/
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/
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/
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/
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/
No US registered securities firm with this name.
Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com
No US registered securities firm with this name.
Metcap Securities is impersonating a genuine broker-dealer firm with a similar name - Metcap Securities, LLC (CRD Number: 30418; SEC Number: 8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC's EDGAR database contains registration information for the genuine entity.
Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513
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/
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/
MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
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 & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
One Liberty Plaza, Suite 3620
165 Broadway
New York, NY 1006 (sic)
Phone: 646-810-8672
Fax: 646-383-9317
Website: http://www.morrisonassociates.us/
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)
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.)
No US registered securities firm with this name.
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.
NT Financial Services
808 Broadway, #11
New York, NY 10003
Phone: 212-247-1708
Fax: 212-937-3669
Website: http://www.ntfinancialservices.net/ (The domain is suspended.)
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/
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/
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/
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/
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/
No US registered securities firm with this name.
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/
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/
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/
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/)
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/
No US registered securities firm with this name.
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.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)
No US registered securities firm with this name.
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), which has the following mailing address: 75 Montgomery Street, Suite 602, Jersey City, NJ 07302. 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/
No US registered securities firm with this name.
Paragon Capital Group, Inc is impersonating a genuine entity with a similar name - Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number: 8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC's EDGAR database contains registration information for the genuine entity.
The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, www.paragoncapitalonline.com. The SEC's EDGAR database contains registration information for the genuine entity.
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/
No US registered securities firm with this name.
Pinicle Registry
163 Third Avenue, Suite 184
New York, NY 10004
Phone: 917-470-9153
Fax: 678-693-7467
Website: http://pinicleregistry.com/
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/
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
No US registered securities firm with this name.
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.
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/
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/
No US registered securities firm with this name.
Prime Solutions, Inc.
100 West 57th Street
New York, NY
Phone: 646-810-3935 Fax: 646-224-4191
Fax: 646-365-3422 (from website)
Website: http://primesolutions.us/
No US registered securities firm with this name.
Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com/
1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name - Progress Investments LLC (CRD Number: 139981; SEC Number: 8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC's EDGAR database contains registration information for the genuine entity.
Quantum Global Equities Inc.
19th Street NW
Washington, DC 20036
Phone: 202-391-0955
Website: http://quantumglobalequitiesinc.com/
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/
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/
No US registered securities firm with this name.
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/
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)
No US registered securities firm with this name.
Rothman Securities
Parkwood Building, Suite 201
Street Road
Southampton, PA
http://rothmanoffshore.com/
No US registered securities firm with this name.
Rothman Securities is impersonating a genuine broker-dealer firm with a similar name - Rothman Securities, Inc. (CRD Number: 13907; SEC Number: 8-30469), which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966. The impersonator has NO connection with, and is not to be confused with, the genuine Rothman Securities, Inc. The SEC's EDGAR database contains registration information for the genuine entity
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)
No US registered securities firm with this name.
Schiller Gates, Inc.
1695 Broadway
New York, NY 10018-5009
Phone: 646-912-6185
Fax: 646-861-4847
Website: http://schiller-gates.com/
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/
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/
No US registered securities firm with this name.
Seale Capital Inc.
950 N. Glebe Road, Suite 950
Arlington, VA 22203
Website: http://sealecapitalinc.com/
Seale Capital Inc. is impersonating a genuine broker-dealer firm with the same name - Seale Capital, Inc. (CRD Number: 148420; SEC Number: 8-68022), which has the following mailing address: 950 N. Glebe Road, Suite 950, Arlington, VA 22203. The impersonator has NO connection with, and is not to be confused with, the genuine Seale Capital, Inc. The SEC's EDGAR database contains registration information for the genuine entity.
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/
No US registered securities firm with this name.
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.
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.)
No US registered securities firm with this name.
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.
Sharp Courage Global
255 West 36th Street
New York, NY 10018
Phone: 646-666-6086
Website: http://sharpcourageglobal.com/
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/
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/
No US registered securities firm with this name.
Sovereign Marketing
10 G Street NE
Washington, DC 20002
Phone: 202-580-8136
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)
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/
No US registered securities firm with this name.
Standard Hokori Group
64-76 Liberty Street, 12th Floor
New York, NY
Phone: 917-932-2021
Website: http://www.standardhokori.com/
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/
No US registered securities firm with this name.
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/
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/
No US registered securities firm with this name.
Strategic Private Equity Group
Madison Avenue Center
590 Madison Avenue
New York, NY 10022
Phone: 212-656-1419
Fax: 212-409-8937
Website: http://www.strategicpeg.com/
No US registered securities firm with this name.
Strike Commodities
Chicago Board of Trade Building
141 West Jackson Blvd.
Chicago, IL 60604
Phone: 773-346-3075
Fax: 815-713-3933
Website: http://www.strikecommodities.com (The website is no longer accessible.)
No US registered securities firm with this name.
Claims to work with, or makes other reference in its solicitations to, Hanworth Weir Ltd.
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.)
No US registered securities firm with this name.
Swiftsure Securities Limited is impersonating a genuine broker-dealer firm with a similar name - Swiftsure Securities LLC (CRD Number: 139965; SEC Number: 8-67264), which has the following mailing address: 1201 Third Avenue, Suite 1601, Seattle, WA 98101. 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)
No US registered securities firm with this name.
Tanner-White PLLC
3101 Terry Ave North
Seattle, WA 98121
Phone: 206-420-6747
Fax: 206-202-2420
Website: http://tannerwhite.com/
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/
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/
No US registered securities firm with this name.
Total Research Group, Inc.
420 Mercer Street
Seattle, WA 98109
Phone: 111-12345678 (sic), 206-202-2420
Fax: 206-309-7348
Website: http://totalresearch.us/
No US registered securities firm with this name.
Total Research Group, Inc. and Tanner-White PLLC share an identical phone and/or fax number.
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
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/
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/
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
No US registered securities firm with this name.
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/
No US registered securities firm with this name.
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)
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/
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/
No US registered securities firm with this name.
Investor solicitations refer to "U.S. Registry Office," and "U.S. Securities Exchange," entities which are believed to be fictitious.
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/
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
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
No US registered securities firm with this name.
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.
Watson Sandy Holding Co.
P.O. Box 446
Townsend DE 19734
Phone: 302-261-3578
E-mail: watsonholding@delaware.usa.com
No website provided.
Watson Sandy Holding Co. 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 Watson Sandy Holding Co., a Regulation D exempt filer (SEC file no. 021-62564, received 01-29-04), which has the following mailing address: PO Box 446, Townsend DE 19734. The SEC's EDGAR database contains registration information for the genuine entity.
Wellington Mergers and Acquisitions
3340 Peachtree Road NE, Buckhead Area
Atlanta, GA 30326-1081
Phone: 404-592-4540
Fax: 404-759-2088
No US registered securities firm with this name.
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
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/
No US registered securities firm with this name.
Whalberg and Kaplan Agency Inc.
2377 Connecticut Avenue NW, Suite 405
Washington, DC 20036
Phone: 202-552-1095
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/
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
No US registered securities firm with this name.
Willkinson Capital Group
499 Park Avenue, 9th Floor
New York, NY 10020
Phone: 917-338-1690
Fax: 917-591-8918
Website: http://willkinsoncapital.com/
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
No US registered securities firm with this name.
Williams Royale Associates
P.O. Box 29437
Seattle, WA 98381
Website: http://williamsroyale.com/
No US registered securities firm with this name.
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/
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/#
No US registered securities firm with this name.
--------------------------------------------------------------------------------
Home | Previous Page Modified: 06/06/2011
SEC INJUNCTION AGAINST DEFENDANTS IN CHINA VOICE HOLDING CORPORATION CASE
The following is an excerpt from the SEC website:
“On June 5, 2011, the Securities and Exchange Commission obtained a preliminary injunction against multiple defendants in a case involving the co-founder of China Voice Holding Corp. The Commission also received additional relief it sought, including an order freezing the assets of multiple defendants and relief defendants.
The Commission filed an emergency action on April 28, 2011, alleging that China Voice’s co-founder and former Chief Financial Officer, David Ronald Allen, with the assistance of two associates, Alex Dowlatshahi and Christopher Mills, and numerous related entities, launched what became an ongoing fraud that sought to raise at least $8.6 million from investors across the country. The Commission alleged that, contrary to what investors were told, proceeds were used to pay back earlier investors; to make payments to Allen, Dowlatshahi, and Mills; and to make payments to Allen-affiliated business, including China Voice.
On June 5, the Honorable Judge Reed O’Connor, United States District Judge, entered a preliminary injunction, which, along with freezing the assets of multiple defendants and relief defendants, prevents the defendants from violating certain provisions of the securities laws, orders the preservation of documents, and requires the defendants to provide an accounting to determine the disposition of investor funds.
The SEC’s complaint charges Allen, Dowlatshahi, Mills, and various related companies with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint also charges China Voice, its former chairman and CEO William Burbank IV, and Allen for a series of fraudulent statements about China Voice’s financial condition and business prospects, as well as Gerald Patera, Ilya Drapkin, and Robert Wilson for their roles in the scheme, including violations of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. In addition to the preliminary relief, the SEC’s complaint seeks permanent injunctions, disgorgement, prejudgment interest, and financial penalties against all defendants, as well as penny stock bars against Allen, Burbank, Patera, Drapkin, and Wilson, and officer and director bars against Allen and Burbank“.
“On June 5, 2011, the Securities and Exchange Commission obtained a preliminary injunction against multiple defendants in a case involving the co-founder of China Voice Holding Corp. The Commission also received additional relief it sought, including an order freezing the assets of multiple defendants and relief defendants.
The Commission filed an emergency action on April 28, 2011, alleging that China Voice’s co-founder and former Chief Financial Officer, David Ronald Allen, with the assistance of two associates, Alex Dowlatshahi and Christopher Mills, and numerous related entities, launched what became an ongoing fraud that sought to raise at least $8.6 million from investors across the country. The Commission alleged that, contrary to what investors were told, proceeds were used to pay back earlier investors; to make payments to Allen, Dowlatshahi, and Mills; and to make payments to Allen-affiliated business, including China Voice.
On June 5, the Honorable Judge Reed O’Connor, United States District Judge, entered a preliminary injunction, which, along with freezing the assets of multiple defendants and relief defendants, prevents the defendants from violating certain provisions of the securities laws, orders the preservation of documents, and requires the defendants to provide an accounting to determine the disposition of investor funds.
The SEC’s complaint charges Allen, Dowlatshahi, Mills, and various related companies with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint also charges China Voice, its former chairman and CEO William Burbank IV, and Allen for a series of fraudulent statements about China Voice’s financial condition and business prospects, as well as Gerald Patera, Ilya Drapkin, and Robert Wilson for their roles in the scheme, including violations of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. In addition to the preliminary relief, the SEC’s complaint seeks permanent injunctions, disgorgement, prejudgment interest, and financial penalties against all defendants, as well as penny stock bars against Allen, Burbank, Patera, Drapkin, and Wilson, and officer and director bars against Allen and Burbank“.
INVESTOR RECOVERY RIGHTS
Sometimes you can get money back when you have losses in the securities market. The following excerpt from the SEC blogsite gives details as to when and how your losses can be recouped:
“Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:
To require that investors receive financial and other significant information concerning securities being offered for public sale; and
To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
The SEC accomplishes these goals primarily by requiring that companies disclose important financial information through the registration of securities. This information enables investors, not the government, to make informed judgments about whether to purchase a company's securities.
Here’s how an overview of how the registration process works. In general, all securities offered in the U.S. must be registered with the SEC or must qualify for an exemption from the registration requirements. The registration forms a company files with the SEC provide essential facts while minimizing the burden and expense of complying with the law. In general, registration forms call for:
A description of the company's properties and business;
A description of the security to be offered for sale;
Information about the management of the company; and
Financial statements certified by independent accountants.
Registration statements and prospectuses become public shortly after the company files them with the SEC. All companies, domestic and foreign, are required to file registration statements and other forms electronically. Investors can then access registration and other company filings using EDGAR.
Not all offerings of securities must be registered with the SEC. The most common exemptions from the registration requirements include:
Private offerings to a limited number of persons or institutions;
Offerings of limited size;
Intrastate offerings; and
Securities of municipal, state, and federal governments.
By exempting many small offerings from the registration process, the SEC seeks to foster capital formation by lowering the cost of offering securities to the public.
The SEC’s Division of Corporation Finance may examine a company’s registration statement to determine whether it complies with our disclosure requirements. But the SEC does not evaluate the merits of offerings, nor do we determine if the securities offered are "good" investments.
While our rules require that companies provide accurate and truthful information, we cannot guarantee the accuracy of the information in a company’s filings. In fact, every year we bring enforcement actions against companies who’ve "cooked their books" or failed to provide important information to investors. Investors who purchase securities and suffer losses should know that they have important recovery rights if they can prove that there was incomplete or inaccurate disclosure of important information.”
.
“Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:
To require that investors receive financial and other significant information concerning securities being offered for public sale; and
To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
The SEC accomplishes these goals primarily by requiring that companies disclose important financial information through the registration of securities. This information enables investors, not the government, to make informed judgments about whether to purchase a company's securities.
Here’s how an overview of how the registration process works. In general, all securities offered in the U.S. must be registered with the SEC or must qualify for an exemption from the registration requirements. The registration forms a company files with the SEC provide essential facts while minimizing the burden and expense of complying with the law. In general, registration forms call for:
A description of the company's properties and business;
A description of the security to be offered for sale;
Information about the management of the company; and
Financial statements certified by independent accountants.
Registration statements and prospectuses become public shortly after the company files them with the SEC. All companies, domestic and foreign, are required to file registration statements and other forms electronically. Investors can then access registration and other company filings using EDGAR.
Not all offerings of securities must be registered with the SEC. The most common exemptions from the registration requirements include:
Private offerings to a limited number of persons or institutions;
Offerings of limited size;
Intrastate offerings; and
Securities of municipal, state, and federal governments.
By exempting many small offerings from the registration process, the SEC seeks to foster capital formation by lowering the cost of offering securities to the public.
The SEC’s Division of Corporation Finance may examine a company’s registration statement to determine whether it complies with our disclosure requirements. But the SEC does not evaluate the merits of offerings, nor do we determine if the securities offered are "good" investments.
While our rules require that companies provide accurate and truthful information, we cannot guarantee the accuracy of the information in a company’s filings. In fact, every year we bring enforcement actions against companies who’ve "cooked their books" or failed to provide important information to investors. Investors who purchase securities and suffer losses should know that they have important recovery rights if they can prove that there was incomplete or inaccurate disclosure of important information.”
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