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:

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.

Alphabetical Index
# 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

A

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/
American First Securities
2576 Broadway, Suite 5000
New York, NY 10025
Phone: (646) 658-3167
Fax: (646) 619-4357
Website: http://www.american1stsecurities.com
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/
Anderson Ford Financial
11 Wall Street
New York, NY 10005
Phone: 718-475-9262
Website: http://www.andersonfordfinance.com
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

B

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/
Bank Guarantee Funding
40 Wall Street, Trump Building
New York, NY 10005
Phone: (646) 580-5543
Website: http://www.bankguaranteefunding.com
Brentcliffe Limited
175 South Main
Salt Lake City, UT 84111
Website: http://www.brentcliffeltd.com
Brookdale Management Consultancy, Inc.
88 Broad Street
New York, NY 10004
Phone: 646-564-5652
Website: http://www.brookdalemci.com

C

Cannon Corporate Consultants
240 W. 35th Street
New York, NY 10001
Phone: 646-564-5657
Website: http://www.cannoncorporateconsultants.com
Carlson and Clarke
76 S. Broadway
White Plains, NY 10601
Phone: 914-485-8521
Fax: 914-462-3390
Website: http://www.carlsonandclarke.com
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
Chartered Capital Management
261 Old York Road
Jenkintown, PA 19046
Phone: 215-302-6029
Fax: 215-814-8901
Website: http://charteredcm.com/
Cohen & Partners
71 Harrison Avenue
Boston, MA 02111
Phone: 617-517-3027
Fax: 617-507-4663
Website: http://www.cohenandpartners.com
Coreen Bradford Insurance
153 E. Wacker Drive
Chicago, IL 60601
Phone: 312-628-1287, 815-280-0375
Website: http://coreenbradfordinsurance.com/
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/

D

David, Scott & Allen PLLC
155 E. 55th Street
New York, NY 10022
Phone: (917) 675-4353
Website: http://www.seclawprofessionals.com

E

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

F

Federal Capital, Inc.
459 Columbus Avenue
New York, NY 10024
Phone: 914-293-1451
Fax: 914-462-3763
Website: http://www.federalcap.us
First Escrow Trust
96 Greene Street
Jersey City, NJ 07302
Phone: 201-655-7339
Website: http://www.fetintl.com
First Financial Management
255 W. 36th Street
New York, NY 10018-7798
Phone: 646-351-1282
Fax: 646-961-4811
Website: http://firstfinancialmgmt.com/
First Trade Securities
34485 Winton Place
Rochester, NY
Phone: 646-626-4215
Fax: 646-619-4694
Website: http://www.firsttradesec.com
Fundamental Trading Inc.
296 South County Farm Road
Wheaton, IL 60187-2440
Phone: 630-206-5845
Fax: 630-206-5847
Website: http://fundamentaltradinginc.com/

G

Global Asset Management Inc.
New York, NY 10003
Website: http://globalassetmanagementinc.net/
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
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.)

I

Impact Finance
225 Franklin Street, 26th floor
Boston, MA 02110
Phone: 857-239-0450
Fax: 857-220-3000
Website: http://www.impact-finance.net/
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/
IPO Securities Litigation
Website: http://www.iposecuritieslitigation.org

K

Keystone Corporate Group
225-256 Vesey Street
New York, NY 10282
Phone: (646) 759-7696
Website: http://www.keystonecorporategrp.com

L

Lead Global Ltd.
448 142nd Street
New York, NY
Phone: (646) 513-4426
Website: http://www.leadglobalhk.com

M

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

N

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.)

O

Oasis Mergers & Acquisitions
1501 Heritage Ln
Florence, SC 29505
Phone: 843-432-1352
Fax: 843-413-4893
Website: http://www.oasisma.us

P

Plutus Private Equity LLP
1 Mystic View Road
Boston, MA 02149
Website: http://plutuspe.com/

S

Sheppard Capital Partners
7 South 16th Street
Philadelphia, PA 19103
Phone: 267-861-0723
Fax: 267-543-5706
Website: http://sheppardcp.com
Strategic Private Equity LLC
103 E 29th street
New York, NY 10016
Phone: (212) 808-0486
Website: http://www.strategicpe.com

T

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
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/

U

Uinvest, Inc.
9595 Wilshire Blvd, Suite 900
Beverly Hills, CA 90212
Phone: 800-861-8468, 310-860-6971
Website: https://uinvest.com.ua

W

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
Beverly Hills, CA 90212
Phone: 213-325-5124

Westgate Consulting Group
23 Park Place
New York, NY 10007
Phone: 646-893-0942
Fax: 646-304-1228
Website: http://www.westgateconsultinggrp.com
Westhill Partners, Inc.
271 Madison Avenue
New York, NY 10016
Phone: 212-796-5514
Fax: 212-504-2770
Website: http://westhillpartners.us
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