Merrill Lynch, MERRIL EDGE Investing, MarketPro™ = They are counter party on: BATS |BIDS ATS |NYSE Amex, Arca|Chicago, EDGA, EDGX, ISE Stock Exchange|eBX/LeveL ATS|CBOE C21|Nasdaq Options Market |OMX Phlx.

Pertains to ALL accounts up to and including NASDAQ Level II accounts


The Merril Lynch website is designed to look different than typical trading sites. There’s no Risk Statement link. It actually took over an hour of searching to find what I was looking for- the info that’s normally under “risk statement” or “customer account agreement” – The statement where they inform you about whats really going on.  
They are required to tell you the truth -and they do. It says you cant trust their advice because they are paid to tell you where to invest by the various exchanges and or by the fund/securities provider. They state that they:  Act as the counter party, Purchase holdings against you, act as market makers, profit 100% from acting as the Principle. They advise you to do what will make them the most money- regardless of if its thru your gain or your loss of funds. There’s more-  read below….

Please read the statement below. Warn anyone you know who invests thru Merril Lynch in ANY form at all (mutual funds, securities, stock, all forms of investing)

To follow my path to the information- start here: scroll to bottom of short page and click  Legal Information.  On that page – scroll down to Routing and Execution Disclosures Made Pursuant to Rules 605 and 606 of SEC Regulation NMS. At the end of the second paragraph of Rule 606 select: “click here” which takes you to this page: Material Aspects of Relationship with Route Venues which I copied to below.

Resource links:

Merrill Edge MarketPro

SEC Rule 606 Reports – Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosure Information:

Disclosure Information: Material Aspects of Relationships with Venues to Which Customer Orders are Routed Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) is a broker-dealer that executes customer orders as agent and/or principal and receives remuneration for performing these execution services. MLPF&S acts as a registered market maker in numerous Nasdaq securities and may execute customer orders in such securities on a principal basis. MLPF&S also may principally commit capital to facilitate customer transactions or serve as the contra-side to customer orders executed internally through one of the alternative trading systems operated by MLPF&S.
Investors should understand that MLPF&S stands to realize 100% of any profits or losses generated when MLPF&S trades as agent and/or principal in respect of customer orders.
Aside from holdings that MLPF&S may acquire from time-to-time as part of its ordinary market making, block positioning, client facilitation and related hedging activities, MLPF&S (or an affiliate under common control) may acquire equity stakes in market centers as part of a strategic investment. In this regard, MLPF&S or an affiliate owns a minority equity investment stake in the following market centers and therefore stands to participate as a shareholder/investor in the profits that each market center realizes in part from the execution of securities transactions, including transactions that may involve orders for the accounts of MLPF&S customers: (i) BATS Exchange, (ii) BIDS ATS, (iii) NYSE Amex, (iv) Chicago Stock Exchange, (v) Direct Edge Holdings (EDGA Exchange, EDGX Exchange and ISE Stock Exchange), (vi) eBX/LeveL ATS, (vii) NYSE Arca, (viii) NYSE Amex, (ix) CBOE C2, (x) Nasdaq Options Market, (xi) Nasdaq OMX Phlx.
Additionally, MLPF&S is affiliated with Merrill Lynch Professional Clearing Corp. (“ML Pro”), which acts as a market maker on certain options exchanges, including the CBOE, CBOE C2, ISE, BATS Exchange, NYSE Arca, NYSE Amex, Nasdaq Options Market and Nasdaq OMX PHLX. Accordingly, MLPF&S may stand to indirectly share in the profits or losses that ML Pro generates by transacting as options market maker, including transactions that may involve orders for the accounts of MLPF&S customers.
MLPF&S routes customer and proprietary orders to national securities exchanges, alternative trading systems, electronic communications networks, and broker-dealers. Based on their fee schedules, certain market centers offer credits for orders that provide liquidity to their books and assess fees for orders that take liquidity from their books. In some cases, the credits offered by a market center to MLPF&S over a period of time may exceed the charges assessed. MLPF&S participates in the options order flow programs sponsored by the NYSE Amex Options, CBOE, ISE, NYSE Arca and PHLX. These exchange-sponsored programs offer payments for listed option orders that are directed to such options markets.

I’m now researching the UK business documents and will post that info in a separate post. Link to the UK data on their website is here:

Comment in Global Wealth Management documents :

Where this communication is sent by a branch of Merrill Lynch International Bank Limited, please note that mutual fund materials are only directed at persons to whom, and are distributed only to persons to whom, unregulated collective investment schemes may be promoted in accordance with the rules of the UK Financial Services Authority, including in particular Rule 3.11 of the Conduct of Business sourcebook (“relevant persons”). Such investments are available only to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on these materials. Merrill Lynch does not operate as a banking entity in all jurisdictions.

while its detailing that only the person whom it was sent to is whom can act on the offer- it reveals that the Financial Services Authority in UK allows Unregulated Collective Investment Schemes!

The Financial Services Authority is in charge of Regulating financial services – so why would it permit unregulated activities to be promoted to anyone?




FOREX WARNING BLOG- do u want me to keep writing it? is it helping anyone?

I feel like no one cares. Like I’m wasting my time.

If you want me to keep going than please say so.

My whole goal is to try protect people from getting scammed by the whole change in the FOREX market from real to simulated. While 9 thousand people have visited my blog- most come to try put advertising in the comment sections.

I’ve had maybe 25 real comments. Is that all the real readers I’ve had?

If this blog has helped you- please let me know, Gathering the information takes a lot of time and is pointless if no one is making use of it.


US SECURITIES/TRADE COMMISSION:Trading Suspensions Archive: 2013


Trading Suspensions Archive: 2013


This page lists recent SEC trading suspensions. The federal securities laws allow the SEC to suspend trading in any stock for up to ten trading days when the SEC determines that a trading suspension is required in the public interest and for the protection of investors. You’ll find answers to many of your questions about trading suspensions — including how they differ from trading halts — in Fast Answers.


As of February 20, 2007, the staff of the Commission will send copies of a Commission Order of Suspension of Trading pursuant to Section 12(k) of the Securities Exchange Act of 1934 solely to parties (the issuer), the Depository Trust Corporation, and National Securities Clearing Corporation.


Fourth Quarter | Third Quarter | Second Quarter | First Quarter


Additional Trading Suspensions available



RSS Feed  SEC Trading Suspensions RSS Feed


Release No. Date Entity
Fourth Quarter
34-71150 Dec. 20, 2013 CompuSonics Video Corporation
See also Order
34-71116 Dec. 18, 2013 The Enlightened Gourmet, Inc., et al.
See also Order
34-71114 Dec. 18, 2013 Golden Elephant Glass Technology, Inc. and Pacific Alliance Corp.
See also Order
34-71071 Dec. 13, 2013 Makism3D Corp.
See also Order
34-71002 Dec. 6, 2013 Guar Global Ltd.
See also Order of Suspension of Trading and Order Denying Petition for Termination of Trading Suspension
34-71001 Dec. 6, 2013 Aden Solutions, Inc.
See also Order
34-70988 Dec. 5, 2013 ICC Worldwide, Inc., et al.
See also Order
34-70976 Dec. 4, 2013 Catch By Gene, Inc., et al.
See also Order
34-70974 Dec. 4, 2013 Community Alliance, Inc., et al.
See also Order
34-70950 Nov. 27, 2013 Nevada Gold Corp.
See also Order
34-70933 Nov. 25, 2013 Life Stem Genetics Inc.
See also Order
34-70922 Nov. 22, 2013 Pure H20 Bio-Technologies, Inc.
See also Order
34-70895 Nov. 19, 2013 HouseRaising, Inc., et al.
See also Order
34-70882 Nov. 15, 2013 Sovereign Lithium, Inc.
See also Order
34-70835 Nov. 8, 2013 Far Vista Petroleum Corp.
See also Order
34-70784 Oct. 31, 2013 Acies Corporation, et al.
See also Order
34-70782 Oct. 31, 2013 Heritage Worldwide, Inc., et al.
See also Order
34-70771 Oct. 30, 2013 Press Ventures, Inc.
See also Order
34-70732 Oct. 22, 2013 Crown Alliance Capital Limited
See also Order
34-70730 Oct. 22, 2013 ARX Gold Corp.
See also Order
34-70723 Oct. 21, 2013 High End Ventures, Inc.
See also Order
34-70721 Oct. 21, 2013 Newtech Resources Ltd.
See also Order
34-70681 Oct. 11, 2013 Pacific Clean Water Technologies, Inc.
See also Order
34-70609 Oct. 4, 2013 China Ritar Power Corp.
See also Order
Third Quarter
34-70552 Sep. 30, 2013 China Ruitai International Holdings Co., Ltd.
See also Order
34-70495 Sep. 25, 2013 Left Behind Games, Inc.
See also Order
34-70480 Sep. 24, 2013 AcuNetx, Inc., et al.
See also Order
34-70457 Sep. 19, 2013 Home System Group
See also Order
34-70454 Sep. 19, 2013 American Asset Development, Inc.
See also Order
34-70439 Sep. 18, 2013 Patch International, Inc., et al.
See also Order
34-70437 Sep. 18, 2013 Municipal Mortgage & Equity LLC, et al.
See also Order
34-70435 Sep. 18, 2013 A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.)
See also Order
34-70432 Sep. 18, 2013 American Energy Production, Inc., et al.
See also Order
34-70423 Sep. 17, 2013 PacWest Equities, Inc.
See also Order
34-70377 Sep. 12, 2013 Axcess International, Inc., et al.
See also Order
34-70375 Sep. 12, 2013 Carbiz, Inc., et al.
See also Order
34-70354 Sep. 10, 2013 Big Bear Mining Corp., et al.
See also Order
34-70352 Sep. 10, 2013 HydroGen Corp., et al.
See also Order
34-70350 Sep. 10, 2013 Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
See also Order
34-70334 Sep. 6, 2013 North China Horticulture, Inc.
See also Order
34-70324 Sep. 5, 2013 China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
See also Order
34-70322 Sep. 5, 2013 Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc., et al.
See also Order
34-70309 Sep. 4, 2013 K’s Media
See also Order
34-70307 Sep. 4, 2013 China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.
See also Order
34-70204 Aug. 15, 2013 Redfin Network, Inc.
See also Order
34-70186 Aug. 14, 2013 AIMS Worldwide, Inc., et al.
See also Order
34-70184 Aug. 14, 2013 Altus Pharmaceuticals, Inc., et al.
See also Order
34-70182 Aug. 14, 2013 Soil Biogenics Ltd.
See also Order
34-70180 Aug. 14, 2013 iVoice, Inc., et al.
See also Order
34-70178 Aug. 14, 2013 CNC Development, Ltd., et al.
See also Order
34-70106 Aug. 5, 2013 Hutech21 Co., Ltd.
See also Order
34-70093 Aug. 2, 2013 Bergamo Acquisition Corp.
See also Order
34-70090 Aug. 1, 2013 Zenergy International, Inc.
See also Order
34-70041 Jul. 26, 2013 Duoyuan Printing, Inc.
See also Order
34-70023 Jul. 23, 2013 Camelot Entertainment Group, Inc., et al.
See also Order
34-70021 Jul. 23, 2013 American Wenshen Steel Group, Inc., et al.
See also Order
34-70006 Jul. 19, 2013 RVPlus, Inc.
See also Order
34-70001 Jul. 18, 2013 American Technologies Group, Inc., Bonanza Oil & Gas, Inc., and Gulf Coast Oil & Gas, Inc.
See also Order
34-69999 Jul. 18, 2013 First Georgia Community Corp., FLO Corp., Florida Community Banks, Inc., In Touch Media Group, Inc., and NHS Health Solutions, Inc.
See also Order
34-69907 Jul. 2, 2013 GDT Tek, Inc., et al.
See also Order
Second Quarter
34-69859 Jun. 26, 2013 Norstra Energy Inc.
See also Order
34-69841 Jun. 25, 2013 Biozoom, Inc.
See also Order
34-69779 Jun. 18, 2013 iTrackr Systems, Inc.
See also Order
34-69721 Jun. 10, 2013 Polar Petroleum Corp.
See also Order
34-69678 Jun. 3, 2013 3CI Complete Compliance Corp., et al.
See also Order
34-69661 May 30, 2013 Lanbo Financial Group, Inc.
See also Order
34-69651 May 29, 2013 Jupiter Enterprises, Inc.
See also Order
34-69649 May 29, 2013 China Properties Developments, Inc.
See also Order
34-69647 May 29, 2013 China Environmental Protection, Inc.
See also Order
34-69625 May 23, 2013 Greatmat Technology Corp., et al.
See also Order
34-69617 May 22, 2013 Bloggerwave, Inc., et al.
See also Order
34-69581 May 15, 2013 Griffin Mining, Ltd., et al.
See also Order
34-69579 May 15, 2013 Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
See also Order
34-69577 May 15, 2013 Avani International Group, Inc. et al.
See also Order
34-69532 May 8, 2013 CoreCare Systems, Inc., et al.
See also Order
34-69446 Apr. 25, 2013 Enercorp, Inc., et al.
See also Order
34-69413 Apr. 19, 2013 The Estate Vault, Inc.
See also Order
34-69412 Apr. 19, 2013 Ewan 1, Inc. n/k/a AccessKey IP, Inc.
See also Order
34-69411 Apr. 19, 2013 UC Hub Group, Inc.
See also Order
34-69407 Apr. 19, 2013 Biopharm Asia, Inc., China Organic Agriculture, Inc., and Guilin Paper, Inc.
See also Order
34-69384 Apr. 17, 2013 Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
See also Order
34-69382 Apr. 17, 2013 NewTech Brake Corp.
See also Order
34-69349 Apr. 9, 2013 Integrity Bancshares, Inc.
See also Order
34-69293 Apr. 4, 2013 Face Up Entertainment Group, Inc.
See also Order
First Quarter
34-69073 Mar. 8, 2013 Endeavor Power Corp.
See also Order
34-69052 Mar. 6, 2013 Xytos, Inc.
See also Order
34-69010 Mar. 1, 2013 Southern USA Resources, Inc.
See also Order
34-68969 Feb. 22, 2013 Digital Video Systems, Inc., et al.
See also Order
34-68948 Feb. 19, 2013 VitaminSpice Inc.
See also Order
34-68835 Feb. 6, 2013 Advance Nanotech, Inc., et al.
See also Order
34-68821 Feb. 4, 2013 Americas Energy Company-AECo
See also Order
34-68730 Jan. 25, 2013 Largo Vista Group, Ltd., et al.
See also Order
34-68728 Jan. 25, 2013 Law Enforcement Associates Corp., et al.
See also Order
34-68726 Jan. 25, 2013 Medis Technologies Ltd., et al.
See also Order
34-68687 Jan. 18, 2013
See also Order
34-68682 Jan. 17, 2013 Medex, Inc.
See also Order
34-68663 Jan. 16, 2013 Eco Global Corporation, et al.
See also Order


Public Alert: List of Fictitious Governmental Agencies and International Organizations associated with Soliciting Entities

copied from the SEC website

resource link:


U.S. Securities and Exchange Commission

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

This is a list of entities that claim to be registered, licensed and/or located in the United States when in fact they are not registered in the United States


  • 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.

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 or call 202-551-6551.

Name Comment


American Financial Group
Ten G Street NE, 6th Floor
Washington, DC 20002


Chicago Trading Regulatory Board
901-905 North Michigan, Suite 565
Chicago, IL 60611
Center for Securities Investigation Department
324 W. Main St.
Brighton, MI 48116
Phone: 810-852-1701
Fax: 810-852-1702
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


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
Division of Securities for the District of Columbia (DOSDC)
Phone: 202-596-3591
Fax: 202-330-5156
No website or address provided in documents.
  1. The Division of Securities for the District of Columbia (DOSDC) is impersonating the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) located at 810 First Street, N.E., Suite 622, Washington, DC 20002. The impersonator has NO connection with, and is not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia.


Equities Trading Commission
1800 K Street Northwest, #530
Washington, DC 20006
Phone: 202-249-7490
Fax: 202-318-8716


842 Vermont Avenue
Northwest, Washington, DC
Phone: 202-688-5985
Fax: 202-403-3289


Federal Division Of Securities, NY
176 Pearl Street
New York, NY 10005
Phone: 212-542-8755
Fax: 212-409-8391
Federal Recapitalization Fund
77 Water Street
New York, NY 10005
Phone: 212-381-1810
Federal Securities and Investments Regulatory Commission (FSIRC)
915 Second Avenue, Suite 2110
Seattle, WA
Website: (The website is no longer accessible.)
Federal Securities Commission
78 State Street
Albany, NY 12207-2002
Phone: 518-618-1020
Fax: 518-677-1836
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: and
(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


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


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
International Commission of Securities
600 Superior Avenue East
Fifth Third Building Suite 1300
Cleveland, OH 44114
Phone: 440-869-9952
Fax: 440-848-2305
  1. Onsite inspections conducted over the past year by the Ohio Division of Securities found that no regulatory agency was located at the address given for this entity.
International Equities Administrators
5865 Ridgeway Center Parkway, Suite 350
Memphis, TN 38120
Phone: 901-896-0327
Fax: 901-339-0522
International Exchange Commission
190 High Street
Boston, MA 02110
Phone: 617-861-4470
Fax: 617-861-4458
International Exchange Commission
545 8th Avenue, Suite 501
New York, NY 10018
Phone: 212-330-0995
Fax: 212-465-3392
International Financial Trading Commission
1091 Vermont Avenue, NW
Washington, DC 20005
Phone: 202-595-2867, 202-534-3926
Fax: 202-403-3289
International Fraud Alert
Phone: 202-455-0973
Washington D.C.
International Information Exchange
775 15th St. NW, Suite 500
Washington, DC 20005
Phone: 202-263-1950
Fax: 202-263-1951
International Investor Protection Coalition, a.k.a. IIP Coalition
Lexington Avenue and E. 54th Street
New York, NY 10010
Phone: 212-542-9171
International Organization of Registrar and Clearing Agents (IORACA)
One Post Street, Suite 1830
San Francisco, CA 94104
International Securities Accreditation Authority
30 E. Broadway
Salt Lake City, UT 84111
Phone: 801-618-2100
Fax: 801-618-2119
International Securities Administrators
312 Walnut Street, Suite 1500
Cincinnati, OH 45202
Phone: 513-297-1593
Fax: 513-672-2308
International Securities Authority
622 Pennsylvania Avenue Northwest
Washington, DC
Phone: 202-360-4613
Fax: 202-403-3289
International Securities and Equities Board
1441 L Street N.W
Washington, D.C. 20005
Phone: 202-552-1506
Fax: 202-315-3628
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


New York Securities Division
Federal Office Building
205 Varick Street
New York, NY 10014


Offshore Securities Commission
295 Greenwich Street (Wall Street)
New York, NY 10007
Phone: 212-918-8572


Pennsylvania Division of Securities
1 South Broad Street, #552-A
Philadelphia, PA 19107
Phone: 484-748-0028
Fax: 484-223-3044


Securities Administration
605 University Street
Seattle, WA 98101-4112
Phone: 206-395-2023
Fax: 206-299-9916
Website: (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
Securities and Investments Disputes Agency
2 Prudential Plaza
180 Stetson Avenue
Chicago, Illinois
Phone: 312-465-1131
Securities Regulation, Protection and Litigation Agency
101 Madison Avenue
New York, NY 10016
Phone: 646-918-5136
Fax: 206-299-3723
Securities Trading Board
842 Vermont Avenue NW
Washington, DC 20005
Phone: 202-688-5985
Fax: 202-403-3289
Securities Trading Commission
1110 Connecticut Avenue NW
Washington, DC 20036
Phone: 202-204-2310
Fax: 202-330-5349
State Securities Commission
1300 Connecticut Avenue, NW, #520
Washington, DC 20036-1709
Phone: 202-600-2944
Fax: 202-315-3692, 206-238-6266


U.S. District Court of Arbitration
Federal Office Building
90 Church Street
New York, NY 10007
Phone: 917-546-7307
Fax: 917-591-8309
U.S. International Bureau for Trading
1101 30th Street, NW, Suite 500
Washington, DC 20007
Phone: 202-470-4047
U.S. Regulatory Securities Agency
1025 Connecticut Avenue, NW, Suite 1000
Washington, DC 20036
Phone: 202-470-5470
US Shareholders Registry Department
240 Woodrow Street
Chester, PA 19013
Phone: 484-694-9433
Fax: 484-694-9433
United States Federal Court of Arbitration
Federal Office Building
201 Varick Street
New York, NY 10014
Phone: 646-616-7551
Fax: 646-514-0670
United States Investment Dealers Organization (USIDO)
1644 Murfreesboro
Nashville, TN 37217
Phone/Fax: 615-528-7875


United States Investment Dealers
1311 S. Burnside Avenue
Gonzales, LA 70737
Phone/Fax: 225-410-9219

United States Regulators and Administration Commission
72 Mt. Vernon Street
Boston, MA


160 Cambridge Street
Boston, MA
Fax: 617-830-8864

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
United States Securities and Investments Commission
United States Securities Regulatory Commision (sic)
2001 L Street NW
Washington, DC 20036
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
(The former website is no longer accessible. However, the current website is accessible.)

To view the SEC’s Data Quality Guidelines, click [].


Investor Alerts and Bulletins by Date (Main Page)/(Topical)


2013  2012  2011  2010  2006-2009


Understanding Margin Accounts (August 2013)

Ponzi Schemes Using Virtual Currencies (July 2013)

Interest Rate Risk — When Interest Rates Go Up, Prices of Fixed-Rate Bonds Fall (June 2013)

Beware Investment Offers Implying SEC Endorsement (June 2013)

Don’t Trade on Pump-And-Dump Stock Emails (June 2013)

Binary Options and Fraud (June 2013)

What Are High-yield Corporate Bonds? (June 2013)

What Are Corporate Bonds? (June 2013)

SEC Warns of Bogus Securities Regulators Soliciting Investors (May 2013)

Pension or Settlement Income Streams (May 2013)

Private Oil and Gas Offerings (May 2013)

SEC Warns of Government Impersonators (Updated) (April 2013)

How to Read a Mutual Fund Shareholder Report (April 2013)

Custody of Your Investment Assets (March 2013)

Insider Transactions and Forms 3, 4, and 5 (February 2013)

Investing in an IPO (February 2013)

Municipal Bonds – Understanding Credit Risk (December 2012)

13 Things Everyone Should Know About Investing (December 2012)

Year-End Investment Considerations for Individual Investors (December 2012)

Be on the Lookout for Investment Scams Related to Hurricane Sandy (November 2012)

Hedge Funds (October 2012)

How to Read Confirmation Statements (September 2012)

Lost and Stolen Securities (September 2012)

Affinity Fraud (September 2012)

Top Tips for Selecting a Financial Professional (September 2012)

American Depositary Receipts (August 2012)

ETFs (August 2012)

International Investing (July 2012)

New Measures to Address Market Volatility (July 2012)

Municipal Bonds (June 2012)

DTC Chills and Freezes (May 2012)

How to Read an 8-K (May 2012)

Trading Suspensions (Updated) (May 2012)

Social Media and Investing-Tips for Seniors (May 2012)

CMKM Diamonds Investors (April 2012 – Updated)

Pre-IPO Investment Scams (April 2012)

Voting in Annual Shareholder Meetings – What’s New in 2012 (March 2012)

SEC Warns of Government Impersonators (February 2012)

Social Media and Investing – Avoiding Fraud (January 2012)

Social Media and Investing – Understanding Your Accounts (January 2012)

12 Saving and Investing Tips for 2012 (December 2011)

Transition of Mid-Sized Investment Advisers from Federal to State Registration (December 2011)

Real Estate Investment Trusts (REITs) (December 2011)

Investment Seminars – Trading Seminar Fraud (October 2011)

The Foreign Corrupt Practices Act – Prohibition of the Payment of Bribes to Foreign Officials (October 2011)

How to Read a 10-K (September 2011)

Self-Directed IRAs and the Risk of Fraud (September 2011)

Investor Warning Regarding Possible Advance Fee Fraud Targeting Deaf Investors (August 2011 – Updated)

New Stock-by-Stock Circuit Breakers (August 2011 – Updated)

Foreign Currency Exchange (Forex) Trading for Individual Investors (July 2011)

Auction Rate Securities (July 2011 – Updated)

Cobell Indian Trust Settlement Payout Recipients – Be on the Lookout for Investment Scams (July 2011)

Early Retirement Seminars: Smart Tips for Spotting Retirement Scams (June 2011)

Structured Notes with Principal Protection: Note the Terms of Your Investment (June 2011)

Reverse Mergers (June 2011)

Indexed Annuities (April 2011)

Information for Stanford Investors (June 2011 – Updated)

Spotlight on Proxy Matters (June 2011 – Updated)

Trading Suspensions (June 2011)

After-Hours Trading (May 2011)

Say on Pay and Golden Parachute Votes (March 2011)

Trading Basics (March 2011)

Pre-IPO Investment Scams (March 2011)

Margin Rules for Day Trading (February 2011)

New Rules Give Customers Option of All Public Arbitration Panels (February 2011)

Money Market Funds: Staff Responses to Questions about Information Filed on Form N-MFP (January 2011)

Trading in Cash Accounts (January 2011)

Life Settlements (January 2011)

Top 11 Tips for 2011 (January 2011)

Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors (October 2010)

BP Payout Recipients: Be on the Lookout for Investment Scams (October 2010)

Investors Beware of Government Impersonators (October 2010)

Focus on Municipal Bonds (September 2010)

Trading in Stock After an SEC Trading Suspension — Be Aware of the Risks (August 2010)

Analyzing Analyst Recommendations (August 2010)

Amendments to Form ADV – New Disclosure Requirements for Investment Advisers (July 2010)

New Rule to Curb “Pay to Play” Practices (July 2010)

New Rules Improving Municipal Disclosure (June 2010)

Oil Spill Stock Scams—Don’t Get Cleaned Out by False Cleanup Claims (May 2010)

Investors Beware of Entity Calling Itself “U.S. Securities and Equities Administration” (May 2010)

Target Date Retirement Funds (May 2010)

Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC (April 2010)

Focus on Money Market Funds (April 2010)

Keeping Track of Your Investments – New Rules on Custody (April 2010)

SEC Investor Alert on Phony SIPC “Look-Alike” Website Targeting Madoff Victims (March 2010)

Information for Reserve Primary Fund Investors (January 2010 – Updated)

Information Concerning Malaysian Restitution Fund for SwissCash Investors (December 2009)

SIPC Exposes Phony “Look-Alike” Web Site (December 2009)

SEC-FINRA Investor Alert on Leveraged and Inverse ETFs (August 2009)

Prime Bank Fraud Information Center (June 2009)

Investor Alert for Stanford Investors (April 2009)

Financial Navigating in the Current Economy (December 2008)

Hedge Funds: Investor Alert from FINRA (October 2008)

Subordination Agreements — Understand the Risks (FINRA Alert) (October 2008)

Affinity Fraud: How To Avoid Investment Scams That Target Groups (September 2006)