United States Public Alert List of Entities to Target at Non-US Investors: 1552 Firms Including AIA, Apollo, Berkshire, Blackstone, BNY, CitiWealth, Morgan, Reliance, Santander & Sony

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United States Public Alert List of Entities to Target at Non-US Investors: 1552 Firms Including AIA, Apollo, Berkshire, Blackstone, BNY, CitiWealth, Morgan, Reliance, Santander & Sony

8th March 2023 | Hong Kong

The United States Securities & Exchange Commission (SEC) has provided an updated public alert list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, with a total of 1552 firms including AIA, Apollo, Berkshire, Blackstone, BNY, CitiWealth, Morgan, Santander & Sony.  Selected: AIA Capital Markets, Apollo Global Securities, Berkshire Financial Management, Blackstone Royalty Corporation, BNY Trading Services, CitiWealth Asset Management, Morgan Investment Management, Reliance Capital Management Advisors, Santander Investment Securities Group, Sony Global Asset Management. The list classifies the entities under 3 groups – Unregistered Soliciting Entities, Fictitious Regulators and Impersonators of Genuine Firms.  See full 1,552 entities below.

“ United States Public Alert List of Entities to Target at Non-US Investors: 1552 Firms Including AIA, Apollo, Berkshire, Blackstone, BNY, CitiWealth, Morgan, Reliance, Santander & Sony “

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United States SEC: “The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and five bogus regulators.  The SEC’s list of soliciting entities that have been the subject of investor complaints, known as the Public Alert: Unregistered Soliciting Entities (PAUSE) list, enables investors to better inform themselves and avoid being a victim of fraud. The latest additions are firms that SEC staff found were providing inaccurate information about their affiliation, location, or registration. Under U.S. securities laws, firms that solicit investors generally are required to register with the SEC and meet minimum financial standards and disclosure, reporting, and recordkeeping requirements. The Office of Market Intelligence periodically updates the PAUSE list in coordination with the Office of Investor Education and Advocacy and the Office of International Affairs. See full 1,552 entities below. 

Jose M. Rodriguez, Chief of the SEC’s Office of Market Intelligence: “This latest update to the PAUSE list reflects the Commission’s ongoing effort to protect retail investors across all investment products – including crypto asset securities.  The PAUSE program continues to provide valuable information to aid investors in making informed investment decisions.  In addition to alerting investors to firms falsely claiming to be registered, the PAUSE list flags those impersonating registered securities firms and bogus regulators who falsely claim to be government agencies or affiliates. Inclusion on the PAUSE list does not mean the SEC has found violations of U.S. federal securities laws or made a judgment about the merits of any securities being offered.” 

United States Public Alert List of Entities to Target at Non-US Investors

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

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.

Fictitious Regulators – These are entities that falsely claim to be a regulator, governmental agency, or international organization that do not exist.  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. Where applicable, the “Note” section for each entity provides additional relevant information we have learned. The SEC will regularly update this list.

Impersonators of Genuine Firms – These are legitimate entities/firms whose information were wrongfully appropriated. This information may include legitimate entity’s name, address, registration number, and website likeness.  The information was wrongfully appropriated from publicly available databases such as EDGAR and FINRA’s BrokerCheck, and set up phony websites in order to confuse and deceive investors. In other cases, these “spoofer” entities have appropriated the registration information of legitimate firms that recently terminated their registration with the SEC and FINRA or did so years ago. Similarly, representatives of the impersonating entities who cold-call investors often claim to be licensed employees of the legitimate firms being impersonated or of other legitimate firms.  The SEC has determined that the impersonators have no connection with, and are not to be confused with, the genuine firms, whether active or defunct. The SEC will regularly update this list.

You should be aware that the PAUSE 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, submit a question or complaint to the SEC.  To view the SEC’s Data Quality Guidelines, click here.

2023 Updated List of 1,552 Firms