Category: 2016 UK LIST OF UNREGISTERED BROKERS
UNITED KINGDOM 2016 LIST OF UNREGISTERED BROKERS WITH ACTIONS AGAINST THEM
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.
In many cases, SEC investigation reveals that 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, the SEC has determined that there is no US registered securities firm with this name. Where applicable, the “Note” section for each entity provides additional relevant information we have learned. The SEC will regularly update this list.
Additional PAUSE Lists
In addition to the unregistered soliciting entities listed below, the SEC also receives complaints about entities impersonating genuine US registered securities firms as well as entities falsely claiming affiliation with government agencies or international organizations, including the SEC:
- Impersonators of Genuine Firms
This is a list of entities that use 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. - Fictitious Regulators
This is a list of entities that 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.
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 these lists. If you have information, questions or comments about the entities on this list, submit a question or complaint to the SEC.
# | A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z |
Name | Comment |
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A |
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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/ |
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American First Securities 2576 Broadway, Suite 5000 New York, NY 10025 Phone: (646) 658-3167 Fax: (646) 619-4357 Website: http://www.american1stsecurities.com |
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Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd. 405 Lexington Avenue, New York, NY Phone: 646-502-8763 Fax: 646-607-3578 Website: http://afspartners.net/ |
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Anderson Ford Financial 11 Wall Street New York, NY 10005 Phone: 718-475-9262 Website: http://www.andersonfordfinance.com |
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Atlantis Capital Partners, Inc. 2100 Southbridge Parkway, Suite 520 Birmingham, AL, 35209 Phone: 205-224-9210 Fax: 205-413-8892 Website: http://www.atlantiscp.com |
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B |
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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/ |
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Bank Guarantee Funding 40 Wall Street, Trump Building New York, NY 10005 Phone: (646) 580-5543 Website: http://www.bankguaranteefunding.com |
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Brentcliffe Limited 175 South Main Salt Lake City, UT 84111 Website: http://www.brentcliffeltd.com |
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Brookdale Management Consultancy, Inc. 88 Broad Street New York, NY 10004 Phone: 646-564-5652 Website: http://www.brookdalemci.com |
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C |
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Cannon Corporate Consultants 240 W. 35th Street New York, NY 10001 Phone: 646-564-5657 Website: http://www.cannoncorporateconsultants.com |
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Carlson and Clarke 76 S. Broadway White Plains, NY 10601 Phone: 914-485-8521 Fax: 914-462-3390 Website: http://www.carlsonandclarke.com |
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Carlsson and Capehart Group, Ltd. 555 West Fulton Street Chicago, IL 60661 Phone: 872-302-8093 Fax: 872-777-8188 Website: http://www.carlssoncapehartltd.com |
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Chartered Capital Management 261 Old York Road Jenkintown, PA 19046 Phone: 215-302-6029 Fax: 215-814-8901 Website: http://charteredcm.com/ |
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Cohen & Partners 71 Harrison Avenue Boston, MA 02111 Phone: 617-517-3027 Fax: 617-507-4663 Website: http://www.cohenandpartners.com |
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Coreen Bradford Insurance 153 E. Wacker Drive Chicago, IL 60601 Phone: 312-628-1287, 815-280-0375 Website: http://coreenbradfordinsurance.com/ |
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CPI International Equitable Building Floor 23, Suite 1996 120 Broadway New York, NY 10271 Phone: 646-389-1920 Fax: 646-389-1923 Website: http://www.cpiint.com/ |
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D |
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David, Scott & Allen PLLC 155 E. 55th Street New York, NY 10022 Phone: (917) 675-4353 Website: http://www.seclawprofessionals.com |
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E |
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Ellipse Trading Liberty Tower, 12th Floor William Street New York, NY 10005 Phone: (516) 307-5279 Fax: (516) 706-0792 Website: http://www.ellipsetrading.us |
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F |
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Federal Capital, Inc. 459 Columbus Avenue New York, NY 10024 Phone: 914-293-1451 Fax: 914-462-3763 Website: http://www.federalcap.us |
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First Escrow Trust 96 Greene Street Jersey City, NJ 07302 Phone: 201-655-7339 Website: http://www.fetintl.com |
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First Financial Management 255 W. 36th Street New York, NY 10018-7798 Phone: 646-351-1282 Fax: 646-961-4811 Website: http://firstfinancialmgmt.com/ |
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First Trade Securities 34485 Winton Place Rochester, NY Phone: 646-626-4215 Fax: 646-619-4694 Website: http://www.firsttradesec.com |
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Fundamental Trading Inc. 296 South County Farm Road Wheaton, IL 60187-2440 Phone: 630-206-5845 Fax: 630-206-5847 Website: http://fundamentaltradinginc.com/ |
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G |
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Global Asset Management Inc. New York, NY 10003 Website: http://globalassetmanagementinc.net/ |
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Greenberg International Law & Tax Advisory 184 5th Avenue, Flatiron Building New York, NY 10010 (and) One Constitution Plaza, Kinsley Street Hartford, CT 06103 Website: http://www.greenbergtaxandlaws.com |
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Gruber and Green, Inc. 311 Florence Avenue, 24th Floor, Suite 12 Evanston, Chicago, IL 60202 Phone: 224-217-9852 Fax: 225-282-1010 Website: http://www.gruberandgreeninc.com/ (The website is no longer accessible.) |
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I |
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Impact Finance 225 Franklin Street, 26th floor Boston, MA 02110 Phone: 857-239-0450 Fax: 857-220-3000 Website: http://www.impact-finance.net/ |
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International Mergers City Spire Center, Level 4, 150 & 156 West 56th Street New York, NY Phone: 212-401-0689 Fax: 646-619-4166 Website: http://mergers-intl.com/ |
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IPO Securities Litigation Website: http://www.iposecuritieslitigation.org |
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K |
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Keystone Corporate Group 225-256 Vesey Street New York, NY 10282 Phone: (646) 759-7696 Website: http://www.keystonecorporategrp.com |
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L |
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Lead Global Ltd. 448 142nd Street New York, NY Phone: (646) 513-4426 Website: http://www.leadglobalhk.com |
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M |
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M&A Securities Group 4151 N. Mulberry Drive, Suite 252 Kansas City, MO 64116 Phone: (660) 530-8078 Fax: (567) 429-0445 Website: http://www.masecgroup.com |
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N |
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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.) |
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O |
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Oasis Mergers & Acquisitions 1501 Heritage Ln Florence, SC 29505 Phone: 843-432-1352 Fax: 843-413-4893 Website: http://www.oasisma.us |
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P |
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Plutus Private Equity LLP 1 Mystic View Road Boston, MA 02149 Website: http://plutuspe.com/ |
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S |
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Sheppard Capital Partners 7 South 16th Street Philadelphia, PA 19103 Phone: 267-861-0723 Fax: 267-543-5706 Website: http://sheppardcp.com |
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Strategic Private Equity LLC 103 E 29th street New York, NY 10016 Phone: (212) 808-0486 Website: http://www.strategicpe.com |
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T |
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Taxwise Consultants 13-15 West 28th Street, Level 4 New York, NY 10001 Phone: (212) 796-0786 Fax: (646) 786-4598 Website: http://www.taxwise.org |
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The Firm Inc., a.k.a. The Ottoman Group 590 Madison Avenue, 21st Floor New York, NY 10022 Phone: 917-521-4137 Website: http://thefirmincorp.com/ |
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U |
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Uinvest, Inc. 9595 Wilshire Blvd, Suite 900 Beverly Hills, CA 90212 Phone: 800-861-8468, 310-860-6971 Website: https://uinvest.com.ua |
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W |
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Walters and Reed 100 W. 10th Street Wilmington, DE 19801 Phone: 302-966-0161 Website: http://www.waltersreed.com & 9440 Wilshire Blvd, Floor 14 and 15 |
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Westgate Consulting Group 23 Park Place New York, NY 10007 Phone: 646-893-0942 Fax: 646-304-1228 Website: http://www.westgateconsultinggrp.com |
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Westhill Partners, Inc. 271 Madison Avenue New York, NY 10016 Phone: 212-796-5514 Fax: 212-504-2770 Website: http://westhillpartners.us |