Public Alert: Unregistered Soliciting Entities

Home Forums PUBLIC UNITED STATES RESEARCH TIPS Public Alert: Unregistered Soliciting Entities

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      Robert
      Keymaster

      Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.

      Unregistered Soliciting Entities

      These are entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors.

      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 listed, 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.

      https://www.sec.gov/enforce/public-alerts?fbclid=IwAR0S2-Lw_IL2Y_7Q_sjG0GHxm-h1Q8RWJvWyV0lZQzlZom2XDzECUBquj1E

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