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.
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