Public Alert: List of Fictitious Governmental Agencies and International Organizations associated with Soliciting Entities
copied from the SEC website
resource link:http://www.sec.gov/investor/oiepauselistfake.htm
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Public Alert: Unregistered Soliciting Entities (PAUSE)
List of Fictitious Governmental Agencies and International Organizations Associated with Soliciting Entities
The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities claiming to offer investments endorsed, approved, or otherwise supported by governmental agencies, including the SEC, or international organizations. 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. The SEC’s Office of Investor Education and Advocacy has issued a number of Investor Alerts, available here, on the topic of bogus regulators and SEC impersonators. In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. In an effort to warn the public about these entities, the SEC is posting the list below. The SEC will regularly update this list.
Additional PAUSE Lists
In addition to the fictitious regulators listed below, the SEC also receives complaints about unregistered soliciting entities and entities impersonating genuine US registered securities firms. You can view a list of these entities by following the separate links listed below.
- Unregistered Soliciting Entities
- .
- Impersonators of Genuine Firms
You should be aware that these lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities. You can view the official SEC release describing and providing more details about this list. If you have information, questions or comments about the entities on this list, please contact oiea@sec.gov or call 202-551-6551.
| Name | Comment |
|---|
A |
|
| American Financial Group Ten G Street NE, 6th Floor Washington, DC 20002 Website: http://amfigroup.com/ |
|
C |
|
| Chicago Trading Regulatory Board 901-905 North Michigan, Suite 565 Chicago, IL 60611 Website: http://ctrb.us/ |
|
| Center for Securities Investigation Department 324 W. Main St. Brighton, MI 48116 Phone: 810-852-1701 Fax: 810-852-1702 |
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| Central Stock Regulators 3200 West End Avenue Nashville, TN 37203 Phone: 615-349-9977 Fax: 615-250-4897 |
|
| Commission on International Trade and Economics (COITE) Phone: 205-258-3060 Fax: 888-846-8271 E-mail: coite@revenue.com |
|
D |
|
| Department of Law and Public Safety Office of the Public Defenders Hughes Justice Complex, 1st Floor, N-Wing 25 Market Street, P.O. Box 850 Trenton, NJ 08625 Phone: 609–284–9603 Fax: 609–228–5356 |
|
| Department of Securities Trading 745 19th Street Northwest Washington, DC 20431 Website: http://gov.depst.org/, http://depst.us |
|
| Division of Securities for the District of Columbia (DOSDC) Phone: 202-596-3591 Fax: 202-330-5156 E-mail: hotline@dosdc.org No website or address provided in documents. |
|
E |
|
| Equities Trading Commission 1800 K Street Northwest, #530 Washington, DC 20006 Phone: 202-249-7490 Fax: 202-318-8716 Website: http://gov.eqtc.us/ and 842 Vermont Avenue |
|
F |
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| Federal Division Of Securities, NY 176 Pearl Street New York, NY 10005 Phone: 212-542-8755 Fax: 212-409-8391 Website: http://fdsus.org/ |
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| Federal Recapitalization Fund 77 Water Street New York, NY 10005 Phone: 212-381-1810 Website: http://www.fedrecap-gov.us/ |
|
| Federal Securities and Investments Regulatory Commission (FSIRC) 915 Second Avenue, Suite 2110 Seattle, WA Website: http://www.fsirc.org/ (The website is no longer accessible.) |
|
| Federal Securities Commission 78 State Street Albany, NY 12207-2002 Phone: 518-618-1020 Fax: 518-677-1836 Website: http://us-fsc.org/ |
|
| Federal Securities Regulatory Agency Henry M. Jackson Federal Building, 27th Floor 915 2nd Avenue Seattle, WA 98104 Phone: 202-747-7823 Fax: 202-478-1738 Website: http://fsraonline.org/ and http://fsra-protect.org/ (The websites are no longer accessible.) |
|
| Financial Securities and Equities Bureau (FSEB) 2nd Street, SW and D Street, SW Washington, DC 20024 Phone: 202-461-3251 Website: http://www.fsaeb.us/ |
|
G |
|
| Global Compliance Agency 201 S. College St. Charlotte, NC 28244 Phone: 704-817-0614 Fax: 704-817-0615 |
|
| Global Investments Compliance Center 5005 Rockside Road Independence, OH 44131 Phone: 216-220-1600 Fax: 216-220-1601 |
|
| Global Securities Protection Agency 41 Marietta Street Atlanta, GA 30303 Phone: 678-954-0522 Fax: 678-954-0523 |
|
I |
|
| International Association of Transfer Agents 30 Wall Street New York, NY 10005 |
|
| International Board of Mergers & Acquisitions 433 North 6th Street Philadelphia, PA 19123 Phone: 215-475-5894 Fax: 215-701-2491 Website: http://gov.ibma.us/ |
|
| International Commission of Securities 600 Superior Avenue East Fifth Third Building Suite 1300 Cleveland, OH 44114 Phone: 440-869-9952 Fax: 440-848-2305 |
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| International Equities Administrators 5865 Ridgeway Center Parkway, Suite 350 Memphis, TN 38120 Phone: 901-896-0327 Fax: 901-339-0522 |
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| International Exchange Commission 190 High Street Boston, MA 02110 Phone: 617-861-4470 Fax: 617-861-4458 Website: http://iecnet.org/ |
|
| International Exchange Commission 545 8th Avenue, Suite 501 New York, NY 10018 Phone: 212-330-0995 Fax: 212-465-3392 Website: http://www.iecommission.org/ |
|
| International Financial Trading Commission 1091 Vermont Avenue, NW Washington, DC 20005 Phone: 202-595-2867, 202-534-3926 Fax: 202-403-3289 Website: http://gov.intftc.org/ |
|
| International Fraud Alert Phone: 202-455-0973 Washington D.C. Website: http://www.internationalfraudalert.org |
|
| International Information Exchange 775 15th St. NW, Suite 500 Washington, DC 20005 Phone: 202-263-1950 Fax: 202-263-1951 Website: http://theiie.net/ |
|
| International Investor Protection Coalition, a.k.a. IIP Coalition Lexington Avenue and E. 54th Street New York, NY 10010 Phone: 212-542-9171 Website: http://iipcoalition.org |
|
| International Organization of Registrar and Clearing Agents (IORACA) One Post Street, Suite 1830 San Francisco, CA 94104 Website: http://www.ioraca-gov.org/ |
|
| International Securities Accreditation Authority 30 E. Broadway Salt Lake City, UT 84111 Phone: 801-618-2100 Fax: 801-618-2119 |
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| International Securities Administrators 312 Walnut Street, Suite 1500 Cincinnati, OH 45202 Phone: 513-297-1593 Fax: 513-672-2308 |
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| International Securities Authority 622 Pennsylvania Avenue Northwest Washington, DC Phone: 202-360-4613 Fax: 202-403-3289 Website: http://gov.intseca.org/ |
|
| International Securities and Equities Board 1441 L Street N.W Washington, D.C. 20005 Phone: 202-552-1506 Fax: 202-315-3628 Website: http://gov.iseb.us/ |
|
| International Shareholders Compliance Department 500 N. Michigan Ave., Suite 320 Chicago, Il 60611 Phone: 312-281-0329 Fax: 312-276-4752 |
|
| International Stock Transfer Administration (ISTA) 8025 Corporate Drive Nottingham, MD 21236 Phone: 443-320-1009 Fax: 410-630-3545 Website: http://gov.stocktransfer.org/ |
|
N |
|
| New York Securities Division Federal Office Building 205 Varick Street New York, NY 10014 Website: http://us-nysd.org/ |
|
O |
|
| Offshore Securities Commission 295 Greenwich Street (Wall Street) New York, NY 10007 Phone: 212-918-8572 Website: http://www.offshoresecuritiescommission-gov.us |
|
P |
|
| Pennsylvania Division of Securities 1 South Broad Street, #552-A Philadelphia, PA 19107 Phone: 484-748-0028 Fax: 484-223-3044 Website: http://dospa.org/ |
|
S |
|
| Securities Administration 605 University Street Seattle, WA 98101-4112 Phone: 206-395-2023 Fax: 206-299-9916 Website: http://www.stocktransfers.us (The website is no longer accessible.) |
|
| Securities and Financial Commission (SFC) 735 3rd Avenue Seattle, WA 98104-1802 Phone: 206-801-3381 Fax: 206-299-9494 Website: http://gov.secfc.com |
|
| Securities and Investments Disputes Agency 2 Prudential Plaza 180 Stetson Avenue Chicago, Illinois Phone: 312-465-1131 Website: http://www.SIDAinternational.org |
|
| Securities Regulation, Protection and Litigation Agency 101 Madison Avenue New York, NY 10016 Phone: 646-918-5136 Fax: 206-299-3723 Website: http://srpla.org/ |
|
| Securities Trading Board 842 Vermont Avenue NW Washington, DC 20005 Phone: 202-688-5985 Fax: 202-403-3289 Website: http://gov.sectb.org/ |
|
| Securities Trading Commission 1110 Connecticut Avenue NW Washington, DC 20036 Phone: 202-204-2310 Fax: 202-330-5349 Website: http://gov.sectco.us/ |
|
| State Securities Commission 1300 Connecticut Avenue, NW, #520 Washington, DC 20036-1709 Phone: 202-600-2944 Fax: 202-315-3692, 206-238-6266 Website: http://statesec.org/ |
|
U |
|
| U.S. District Court of Arbitration Federal Office Building 90 Church Street New York, NY 10007 Phone: 917-546-7307 Fax: 917-591-8309 E-mail: helpdesk@dcoany.us |
|
| U.S. International Bureau for Trading 1101 30th Street, NW, Suite 500 Washington, DC 20007 Phone: 202-470-4047 Website: http://www.usibtrading.org/ |
|
| U.S. Regulatory Securities Agency 1025 Connecticut Avenue, NW, Suite 1000 Washington, DC 20036 Phone: 202-470-5470 Website: http://www.usregsec.org |
|
| US Shareholders Registry Department 240 Woodrow Street Chester, PA 19013 Phone: 484-694-9433 Fax: 484-694-9433 Website: http://www.us-srd.us/ |
|
| United States Federal Court of Arbitration Federal Office Building 201 Varick Street New York, NY 10014 Phone: 646-616-7551 Fax: 646-514-0670 Website: http://fcoaus.org/ |
|
| United States Investment Dealers Organization (USIDO) 1644 Murfreesboro Nashville, TN 37217 Phone/Fax: 615-528-7875 Email: info@usidealers.org and United States Investment Dealers |
|
| United States Regulators and Administration Commission 72 Mt. Vernon Street Boston, MA and 160 Cambridge Street |
|
| United States Securities and Acquisitions Administration 1120-1152 20th Street, NW, 38B, 3rd Floor Washington, DC 20036 Phone: 202-618-9054 Fax: 202-318-8613 Website: http://www.gov.ussaa.us |
|
| United States Securities and Investments Commission Website: http://www.ussicommission.org |
|
| United States Securities Regulatory Commision (sic) 2001 L Street NW Washington, DC 20036 Website: http://gov.ussrc.us/ |
|
| United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC) 125 North Madison Street Stockton, CA 95201-9005 Phone: 209-751-4458 Fax: 209-751-4501 Website: http://www.scc-us.org/ (The former website http://scc-gov.org/ is no longer accessible. However, the current website is accessible.) |
|
To view the SEC’s Data Quality Guidelines, click [http://www.sec.gov/about/dataqualityguide.htm].
http://www.sec.gov/investor/oiepauselistfake.htm
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