“Impersonators of Genuine Firms or Spoofers” added to the PAUSE List.
summary
On August 6, 2018, the SEC added 16 unregistered soliciting entities and four impersonators of legitimate firms—such as fake entities mimicking Alpha Investment Management and Provident Capital Management—to its PAUSE list, warning the public that these fraudulent operations used deceptive websites and contact details to mimic defunct or registered firms, though no specific fraud amounts or charges were disclosed.
paragraph
The SEC’s August 6, 2018 PAUSE list identified 16 unregistered entities and four impersonators posing as legitimate financial firms, including fraudulent entities mimicking Alpha Investment Management LLC, Provident Capital Management, and Steve Pearson Capital Management LLC. These impostors used websites, phone numbers, and email addresses nearly identical to those of genuine but terminated or defunct firms, often with New York-based addresses to appear credible. Although no specific dollar losses or criminal charges were detailed in the alert, the SEC explicitly warned investors to avoid all listed entities and verify registrations through official FINRA or SEC channels.
narrative
On August 6, 2018, the SEC issued a public alert adding 16 unregistered soliciting entities and four impersonators of legitimate firms to its PAUSE list, warning investors of widespread fraud using deceptive names and contact details. Among the impersonators were entities mimicking Alpha Investment Management LLC, Provident Capital Management, and Steve Pearson Capital Management LLC—each falsely using addresses and web domains similar to those of genuine but terminated or defunct registered firms. The unregistered entities included firms like 247 Options Trade, Cadwell Capital Partners, and Transfer Securities, all operating without SEC or FINRA registration and using New York-based contact information to appear legitimate. The alert also exposed fake regulatory bodies such as the 'United States Bureau of Securities Registration' and 'Department of Financial Regulators,' which falsely claimed government authority with fabricated websites and phone numbers. Although no specific financial losses or criminal charges were cited, the SEC emphasized that these entities had no affiliation with any real regulatory or financial institutions. Investors were strongly advised to verify any firm’s registration status through official SEC or FINRA databases before engaging. The sophistication of the scams, including near-identical domain names and professional-looking websites, underscored the growing threat of impersonation fraud in financial services.
Classified unregistered-securities(confidence 100%). EDGAR detection: forms Form D/S-1· recall 41% / precision 30%. detection rule →
Parties
Securities and Exchange Commission247 Options TradeBinary Market Arbitration RefundCadwell Capital PartnersCrawford Stanley Advisors LLCKingsley Capital Partners Inc.Law Experts of New YorkLevine & Levine Law SpecialistMaxwell Financial ServicesMendelson & AssociatesMiller & CohenMorgan Consultancy GroupNew York Law SpecialistThomas, Lloyd, Cohen & Anderson LLPTotal International CPA LTDTransfer SecuritiesUnited Tax Consulting LimitedAlpha Investment Management LLCProvident Capital ManagementSteve Pearson Capital ManagementWelsh Securities LLC
Keywords
comwebsitephonefaxnone emailwwwemail infogenuine entityemailnewnonegenuinestreetcapital managemententity
Extracted insights
Entities 14
- company alpha investment management inc.
- company alpha investment management llc
- person binary market arbitration refund
- company cadwell capital partners
- company crawford stanley advisors llc
- company kingsley capital partners inc.
- person maxwell financial services
- company mendelson & associates
- company morgan consultancy group
- person pause list
- company thomas, lloyd, cohen & anderson llp
- company total international cpa ltd
- company transfer securities
- company united tax consulting limited
Triples 20
- 247 Options Trade added to PAUSE List
- Binary Market Arbitration Refund added to PAUSE List
- Cadwell Capital Partners added to PAUSE List
- Crawford Stanley Advisors LLC added to PAUSE List
- Kingsley Capital Partners Inc. added to PAUSE List
- Law Experts of New York added to PAUSE List
- Levine & Levine Law Specialist added to PAUSE List
- Maxwell Financial Services added to PAUSE List
- Mendelson & Associates added to PAUSE List
- Miller & Cohen added to PAUSE List
- Morgan Consultancy Group added to PAUSE List
- New York Law Specialist added to PAUSE List
- Thomas, Lloyd, Cohen & Anderson LLP added to PAUSE List
- Total International CPA LTD added to PAUSE List
- Transfer Securities added to PAUSE List
- United Tax Consulting Limited added to PAUSE List
- Alpha Investment Management LLC added to PAUSE List
- Alpha Investment Management LLC impersonating Alpha Investment Management Inc.
- subject terminated 2001
- Provident Capital Management added to PAUSE List
Text layers
Extracted body text (7,210c)
Public Alert: Unregistered Soliciting Entities (PAUSE) August 06, 2018 1. 247 Options Trade 22/121 Apple Street New York, NY 10012 Phone: 510-379-7129 Fax: None Email: [email protected] Website: 247optionstrade.com 2. Binary Market Arbitration Refund 77 Wall Street Suite 1011 New York, NY 10005 Phone: 929-800-2080 Fax: None Email: [email protected] Website: www.bmaar.com 3. Cadwell Capital Partners 460 Lexington Ave New York, NY 10017 Phone: 1-646-757-1323 Fax: 1-646-390-1383 Email: [email protected] Website: www.cadwellcapital.com 4. Crawford Stanley Advisors LLC 124 W. 30 th Street New York, NY 10001 Phone: 1-646-583-0658 Fax: 1-646-224-9679 Email: [email protected] Website: www.crawfordstanleyadvisors.com 5. Kingsley Capital Partners Inc. 4242 Six Forks Road Suite 1550 Raleigh, NC 27609 Phone: 1-919-480-2740 Fax: 1-919-882-1867 Email: [email protected] Website: www.kingsleycp.com 6. Law Experts of New York 277 Canal Street New York, NY 10013 Phone: 1-646-905-0559 Fax: None Email: [email protected] Website: www.lawexpertsofny.com 7. Levine & Levine Law Specialist 1 West Street New York, NY 10004 & 290-2912 Oits Ave Bronx, NY 10465 Phone: 646-905-0558 Fax: None Email: [email protected] Website: www.levineandlevinelaws.com 8. Maxwell Financial Services 100 Broadway, Suite 405-406 New York, NY 10005 Phone: 1-646-213-2842 Ext: 2042 Fax: 1-646-390-3213 www.maxwellfs.com 9. Mendelson & Associates 2051 Marengo Street Los Angeles, CA 90033 Phone: None Fax: None Website: www.mendelsonassoc.com 10. Miller & Cohen 701 Brickell Ave Miami, FL 33131 Phone: 1-786-485-0444 Fax: None Email: [email protected] Website: www.millerandcohen.com 11. Morgan Consultancy Group 544 W. 27th Street New York, NY 10001 Phone: 1-914-373-7818 Fax: 1-914-462-3418 Email: [email protected] Website: www.morganconsultancylgrp.com 12. New York Law Specialist 1101 6th Avenue New York, NY 10036 Phone: 1-646-968-0389 Fax: None Email: [email protected] Website: www.newyorklawspecialists.com 13. Thomas, Lloyd, Cohen & Anderson LLP 3000 Town Centre #2500 Southfield, MI 48075 Phone: 248-621-2204 Fax: None Email: [email protected] Website: www.tlca-law.com 14. Total International CPA LTD 1375 Broadway New York, NY 10018 Phone: 1-212-461-3131 Fax: None Email: [email protected] Website: www.totalinternationalgroup.com 15. Transfer Securities 410 Park Avenue New York, NY 10022 Phone: 646-123-1234 Fax: None Email: [email protected] Website: www.transfersecurities.com 16. United Tax Consulting Limited 15th Floor 25 Broadway New York, NY Phone: 347-619-3214 Fax: 347-626-2680 Website: http://unitedtaxconsultingltd.com 1. Alpha Investment Management LLC 499 Park Avenue New York, NY 10022 Phone: 1-212-461-1848 Fax: 1-212-916-1531 Email: [email protected] Website: www.alphainvestmentllc.com ● The above listed entity is impersonating a genuine entity having a similar name: Alpha Investment Management Inc. – CRD #107190. The genuine entity’s registration status terminated in 2001. ● The genuine entity had the following mailing address – 499 Park Avenue, 24th Floor, New York, NY 10022 – it does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 2. Provident Capital Management 39 Broadway, Suite 310 New York, NY 10006 Phone: 347-778-2574 Fax: None Email: [email protected] Website: www.provident-trading.com ● The above listed entity is impersonating three genuine entities having similar names: Provident Capital Management Inc. – CRD #133898 (registration status terminated in 2017); Provident Capital Management, Inc. – CRD #111262 (registration status terminated in 2005); Provident Capital Management, Inc. – CRD #114550. ● The genuine entities have the following mailing address’ : Provident Capital Management Inc. – CRD #133898 ● 11595 N. Meridian St, Suite 140, Carmel, IN 46032 ● www.pcminvestment.com Provident Capital Management, Inc. – CRD #111262 ● 11595 N. Meridian, Ste 140, Carmel, IN 46032 ● www.providentcapitalmanagement.com Provident Capital Management, Inc. – CRD #114550 ● Does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, these genuine entities. 3. Steve Pearson Capital Management 285 Fulton Street New York, NY 10007 Phone: 1-646-604-7806 Fax: 1-646-607-5196 Email: [email protected] Website: www.stevepearsonmanagement.com ● The above listed entity is impersonating a genuine entity having a similar name: Steve Pearson Capital Management LLC – CRD #165927. ● The genuine entity has the following mailing address – 2590 SW Kalama Court, Redmond, OR 97756 – it does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 4. Welsh Securities LLC 28 Liberty Street 48 th Floor New York, NY 10005 Phone: 1-347-670-4095 Fax: None Website: http://welshsecuritiesllc.com ● The above listed entity is impersonating a genuine entity having a similar name: Welsh Securities LLC – CIK #0001443000 / CRD #148203. The genuine entity’s registration status terminated in 2017. ● The genuine entity has the following mailing addresses: 4350 Baker Road, Minnetonka, MN 55343 3033 Excelsior Blvd, Suite 330, Minneapolois, MN 55416 ● The genuine entity does not appear to maintain a website. The SEC’s EDGAR database contains historical registration information for the genuine entity. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 5--- page 6 --- 1. Department of Financial Regulators 441 2nd Street, SW Washington, DC 20006 Phone: 1-202-455-6918 Fax: None Email: [email protected] Website: www.depfreg.org 2. Financial Protection Intelligence Unit Pearl Street New York, NY 10038 Phone: 212-918-2082 Fax: 212-916-1531 Email: [email protected] Website: www.fpiugov.org 3. Global Financial Protection Commission 225 Franklin Street, 26th Floor Boston, MA 02110 Phone: 1-617-963-7290 Website: www.globalfpc.net 4. International Financial & Regulatory Commission 400 S. 4 th Street Suite 400 Las Vegas, NV 89101 Phone: 1-702-583-7574 Fax: None Website: www.internationalfrc.org 5. New York Regulatory Division 20 Broad Street New York, NY 10005 Phone: 1-646-975-9208 Fax: None Email: [email protected] Website: www.nyregdiv.org 6. Overseas Financial Authority 111 S.W. Fifth Avenue Suite 2150 Portland, OR 97204 Phone: 1-720-450-3597 Fax: 1-720-533-6590 Email: [email protected] Website: www.overseasfa.org 6 --- page 7 --- 7. U.S. Board of Mergers & Acquisition 1 Ashburton Place Boston, MA 02108 Phone: 857-208-7293 Fax: None Email: [email protected] Website: www.usbma.org 8. United States Bureau of Securities Registration The Westory 607 14 th Street Washington, DC 20005 Phone: 202-899-9519 Fax: None Email: [email protected] Website: www.usbsr.org 9. US Registration Authority 2145 California Street, NW Washington, DC 20008 Phone: None Fax: None Email: [email protected] Website: http://gov.us.regauthority.org/ 7
OCR text (7,210c · gpumon-ocr-api · 90% conf)
Public Alert: Unregistered Soliciting Entities (PAUSE) August 06, 2018 1. 247 Options Trade 22/121 Apple Street New York, NY 10012 Phone: 510-379-7129 Fax: None Email: [email protected] Website: 247optionstrade.com 2. Binary Market Arbitration Refund 77 Wall Street Suite 1011 New York, NY 10005 Phone: 929-800-2080 Fax: None Email: [email protected] Website: www.bmaar.com 3. Cadwell Capital Partners 460 Lexington Ave New York, NY 10017 Phone: 1-646-757-1323 Fax: 1-646-390-1383 Email: [email protected] Website: www.cadwellcapital.com 4. Crawford Stanley Advisors LLC 124 W. 30 th Street New York, NY 10001 Phone: 1-646-583-0658 Fax: 1-646-224-9679 Email: [email protected] Website: www.crawfordstanleyadvisors.com 5. Kingsley Capital Partners Inc. 4242 Six Forks Road Suite 1550 Raleigh, NC 27609 Phone: 1-919-480-2740 Fax: 1-919-882-1867 Email: [email protected] Website: www.kingsleycp.com 6. Law Experts of New York 277 Canal Street New York, NY 10013 Phone: 1-646-905-0559 Fax: None Email: [email protected] Website: www.lawexpertsofny.com 7. Levine & Levine Law Specialist 1 West Street New York, NY 10004 & 290-2912 Oits Ave Bronx, NY 10465 Phone: 646-905-0558 Fax: None Email: [email protected] Website: www.levineandlevinelaws.com 8. Maxwell Financial Services 100 Broadway, Suite 405-406 New York, NY 10005 Phone: 1-646-213-2842 Ext: 2042 Fax: 1-646-390-3213 www.maxwellfs.com 9. Mendelson & Associates 2051 Marengo Street Los Angeles, CA 90033 Phone: None Fax: None Website: www.mendelsonassoc.com 10. Miller & Cohen 701 Brickell Ave Miami, FL 33131 Phone: 1-786-485-0444 Fax: None Email: [email protected] Website: www.millerandcohen.com 11. Morgan Consultancy Group 544 W. 27th Street New York, NY 10001 Phone: 1-914-373-7818 Fax: 1-914-462-3418 Email: [email protected] Website: www.morganconsultancylgrp.com 12. New York Law Specialist 1101 6th Avenue New York, NY 10036 Phone: 1-646-968-0389 Fax: None Email: [email protected] Website: www.newyorklawspecialists.com 13. Thomas, Lloyd, Cohen & Anderson LLP 3000 Town Centre #2500 Southfield, MI 48075 Phone: 248-621-2204 Fax: None Email: [email protected] Website: www.tlca-law.com 14. Total International CPA LTD 1375 Broadway New York, NY 10018 Phone: 1-212-461-3131 Fax: None Email: [email protected] Website: www.totalinternationalgroup.com 15. Transfer Securities 410 Park Avenue New York, NY 10022 Phone: 646-123-1234 Fax: None Email: [email protected] Website: www.transfersecurities.com 16. United Tax Consulting Limited 15th Floor 25 Broadway New York, NY Phone: 347-619-3214 Fax: 347-626-2680 Website: http://unitedtaxconsultingltd.com 1. Alpha Investment Management LLC 499 Park Avenue New York, NY 10022 Phone: 1-212-461-1848 Fax: 1-212-916-1531 Email: [email protected] Website: www.alphainvestmentllc.com ● The above listed entity is impersonating a genuine entity having a similar name: Alpha Investment Management Inc. – CRD #107190. The genuine entity’s registration status terminated in 2001. ● The genuine entity had the following mailing address – 499 Park Avenue, 24th Floor, New York, NY 10022 – it does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 2. Provident Capital Management 39 Broadway, Suite 310 New York, NY 10006 Phone: 347-778-2574 Fax: None Email: [email protected] Website: www.provident-trading.com ● The above listed entity is impersonating three genuine entities having similar names: Provident Capital Management Inc. – CRD #133898 (registration status terminated in 2017); Provident Capital Management, Inc. – CRD #111262 (registration status terminated in 2005); Provident Capital Management, Inc. – CRD #114550. ● The genuine entities have the following mailing address’ : Provident Capital Management Inc. – CRD #133898 ● 11595 N. Meridian St, Suite 140, Carmel, IN 46032 ● www.pcminvestment.com Provident Capital Management, Inc. – CRD #111262 ● 11595 N. Meridian, Ste 140, Carmel, IN 46032 ● www.providentcapitalmanagement.com Provident Capital Management, Inc. – CRD #114550 ● Does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, these genuine entities. 3. Steve Pearson Capital Management 285 Fulton Street New York, NY 10007 Phone: 1-646-604-7806 Fax: 1-646-607-5196 Email: [email protected] Website: www.stevepearsonmanagement.com ● The above listed entity is impersonating a genuine entity having a similar name: Steve Pearson Capital Management LLC – CRD #165927. ● The genuine entity has the following mailing address – 2590 SW Kalama Court, Redmond, OR 97756 – it does not appear to maintain a website. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 4. Welsh Securities LLC 28 Liberty Street 48 th Floor New York, NY 10005 Phone: 1-347-670-4095 Fax: None Website: http://welshsecuritiesllc.com ● The above listed entity is impersonating a genuine entity having a similar name: Welsh Securities LLC – CIK #0001443000 / CRD #148203. The genuine entity’s registration status terminated in 2017. ● The genuine entity has the following mailing addresses: 4350 Baker Road, Minnetonka, MN 55343 3033 Excelsior Blvd, Suite 330, Minneapolois, MN 55416 ● The genuine entity does not appear to maintain a website. The SEC’s EDGAR database contains historical registration information for the genuine entity. ● The impersonator has no connection with, and is not to be confused with, the genuine entity. 5--- page 6 --- 1. Department of Financial Regulators 441 2nd Street, SW Washington, DC 20006 Phone: 1-202-455-6918 Fax: None Email: [email protected] Website: www.depfreg.org 2. Financial Protection Intelligence Unit Pearl Street New York, NY 10038 Phone: 212-918-2082 Fax: 212-916-1531 Email: [email protected] Website: www.fpiugov.org 3. Global Financial Protection Commission 225 Franklin Street, 26th Floor Boston, MA 02110 Phone: 1-617-963-7290 Website: www.globalfpc.net 4. International Financial & Regulatory Commission 400 S. 4 th Street Suite 400 Las Vegas, NV 89101 Phone: 1-702-583-7574 Fax: None Website: www.internationalfrc.org 5. New York Regulatory Division 20 Broad Street New York, NY 10005 Phone: 1-646-975-9208 Fax: None Email: [email protected] Website: www.nyregdiv.org 6. Overseas Financial Authority 111 S.W. Fifth Avenue Suite 2150 Portland, OR 97204 Phone: 1-720-450-3597 Fax: 1-720-533-6590 Email: [email protected] Website: www.overseasfa.org 6 --- page 7 --- 7. U.S. Board of Mergers & Acquisition 1 Ashburton Place Boston, MA 02108 Phone: 857-208-7293 Fax: None Email: [email protected] Website: www.usbma.org 8. United States Bureau of Securities Registration The Westory 607 14 th Street Washington, DC 20005 Phone: 202-899-9519 Fax: None Email: [email protected] Website: www.usbsr.org 9. US Registration Authority 2145 California Street, NW Washington, DC 20008 Phone: None Fax: None Email: [email protected] Website: http://gov.us.regauthority.org/ 7