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Category Archives: SEC alert

Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O.

U.S. SECURITIES AND EXCHANGE COMMISSION5
Litigation Release No. 22666 / April 5, 20135
5Securities and Exchange Commission v. Inter Reef, Ltd. dba
Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O.,
Solutions Company S.R.O. and Fortuna-K S.R.O.
, Civil Action No. 1:13-CV-1104 (U.S. District Court for the Northern District of Georgia)

SEC Obtains Temporary Restraining Order Against Uk Company
Operating Fraudulent Profitable Sunrise Internet Scheme and Names Czech Companies as Relief Defendants
On April 4, 2013, the U.S. Securities and Exchange Commission filed an enforcement action against Inter Reef Ltd., doing business as Profitable Sunrise, as a defendant

Seal of the U.S. Securities and Exchange Commi...

Seal of the U.S. Securities and Exchange Commission. (Photo credit: Wikipedia)

and Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O. as relief defendants.  The Commission’s complaint was filed in the United States District Court for the Northern District of Georgia.

The Commission’s complaint alleges that Inter Reef, located in the
United Kingdom, has operated a fraudulent securities offering over the internet under the name of “Profitable Sunrise” that has been targeted towards investors in the United States.  Through its website, promoters and social media, Profitable Sunrise promised investors returns of between 1.6% and 2.7% per business day, compounded daily, on funds invested in various programs that were purportedly to be used to provide loans to businesses at even higher rates.  Investors have been encouraged to recruit others for the scheme with promises of percentages of the amounts put in by the new investors.

Among other things, the Commission’s complaint alleges that the Profitable Sunrise has promised impossibly high rates of return and misrepresented that investments in the program were insured by a leading investment bank.

The fraud appears to have been targeted at religious investors, as Profitable Sunrise’s website contained several Bible verses and the company purported to make frequent charitable donations.

Melland, Color Shock, Solutions Company and Fortuna-K are Czech
companies that the Commission alleges have received funds from investors in the United States through transfers at the direction of Profitable Sunrise.

At present, a bank account in the name of Color Shock in
Hungary has been frozen by authorities there. The Commission has named these Czech companies as relief defendants because they have no right to retain the funds sent to their accounts by investors.

Shortly after the Commission filed its complaint, the Honorable
Thomas W. Thrash issued an order granting a temporary restraining order against Inter Reef along with an order directing an accounting, allowing expedited discovery, preventing the destruction of documents and providing for an asset freeze.

The Commission may seek additional relief, such as preliminary and permanent injunctions, disgorgement of any ill-gotten gains with prejudgment interest and civil penalties, at a later time.  The court’s order also freezes the assets of the relief defendants.


SEC Complaint

http://www.sec.gov/litigation/litreleases/2013/lr22666.htm

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SEC Sues California Man Alleging Real Estate Fund Fraud

February 28, Bloomberg News – (California; Oregon; Washington)

Seal of the U.S. Securities and Exchange Commi...
SEC sues California man California businessman Walter Ng alleging real estate fund fraud. The U.S. Securities and Exchange Commission sued a California businessman and two others for allegedly running a real estate fund fraud that cost investors more than $85 million.

Source: http://www.businessweek.com/news/2013-02-28/sec-sues-california-man-alleging-real-estate-fund-fraud

SEC Charges TheStreet, Inc. and Former Executives In Connection With Accounting Fraud

U.S. SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 22575 / December 18, 2012
Accounting and Auditing Enforcement Release No. 3432 / December 18, 2012
Securities and Exchange Commission v. TheStreet, Inc., Civil Action No. 12-CV-9187 (JGK) (S.D.N.Y. December 18, 2012)
Securities and Exchange Commission v. Eric Ashman, Civil Action No. 12-CV-9189 (S.D.N.Y. December 18, 2012); and
Securities and Exchange Commission v. Gregg Alwine and David Barnett, Civil Action No. 12-CV-9191 (S.D.N.Y. December 18, 2012)

SEC Charges TheStreet, Inc. and Former Executives In Connection With Accounting Fraud

The Securities and Exchange Commission today charged TheStreet, Inc. and three executives in connection with a 2008 accounting fraud at a former subsidiary of TheStreet, Inc. The fraud allowed TheStreet to report artificially inflated revenue and misstated operating income or loss in each period of 2008.

The SEC alleges that throughout 2008, Eric Ashman, TheStreet’s former Chief Financial Officer, aided and abetted the fraud by improperly and prematurely recognizing revenue based on several of the former subsidiary’s transactions. According to the complaint, Ashman caused TheStreet to recognize revenue when he knew or recklessly disregarded that there was no basis for revenue recognition.

Gregg Alwine and David Barnett, co-presidents of the subsidiary, are alleged to have aided and abetted the fraud by entering into sham transactions, and fabricating and backdating contracts and other documents. In addition, Barnett is charged with leading TheStreet’s auditor to believe that the subsidiary had performed services and thereby earned revenue on a specific transaction when in fact it had not performed those services.

For its part, TheStreet is charged with lacking appropriate internal controls over its subsidiary’s revenue and with violating books and records and reporting provisions of the securities laws.

The Commission alleges that (1) Ashman violated Section 13(b)(5) of the Exchange Act and Rules 13a-14 and 13b2-1 thereunder and aided and abetted violations by TheStreet.com of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5(b), 12b-20, 13a-1 and 13a-13 thereunder; and failed to comply with Section 304(a) of the Sarbanes-Oxley Act of 2002; (2) Alwine and Barnett violated Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder and aided and abetted TSC’s violations of Section 10(b)(5), 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 10b-5(b), 12b-20 and 13a-13 thereunder; and Barnett violated Rule 13b2-2; and (3) TheStreet violated Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder.

Without admitting or denying the Commission’s allegations, each of the defendants has agreed to be permanently enjoined from future violations of the federal securities laws. In addition, Ashman will pay a $125,000 penalty, reimburse TheStreet $34,240.40 pursuant to Section 304 of the Sarbanes-Oxley Act of 2002, and will be barred from acting as a director or officer of a public company for a period of three years. Alwine and Barnett will pay penalties of $120,000 and $130,000, respectively, and will be barred from serving as officers or directors of a public company for ten years.

# # #

http://www.sec.gov/litigation/litreleases/2012/lr22575.htm

SEC Charges Four Penny Stock Purchasers with Fraud

FOR IMMEDIATE RELEASE
2012-278

Washington, D.C., Dec. 21, 2012 — The Securities and Exchange Commission SECtoday charged four securities industry professionals with conducting a fraudulent penny stock scheme in which they illegally acquired more than one billion unregistered shares in microcap companies at deep discounts and then dumped them on the market for approximately $17 million in illicit profits while claiming bogus exemptions from the federal securities laws.


Additional Materials


The SEC alleges that Danny Garber, Michael Manis, Kenneth Yellin, and Jordan Feinstein acquired shares at about 30 to 60 percent off the market price by misrepresenting to the penny stock companies that they intended to hold the shares for investment purposes rather than immediately re-selling them. Instead, they immediately sold the shares without registering them by purporting to rely on an exemption for transactions that are in compliance with certain types of state law exemptions. However, no such state law exemptions were applicable to their transactions. To create the appearance that the claimed exemption was valid, they created virtual corporate presences in Minnesota, Texas, and Delaware. The SEC also charged 12 entities that they operated in connection with the scheme.

According to the SEC’s complaint filed in federal court in Manhattan, Garber, Manis, Yellin, and Feinstein all live in the New York/New Jersey area and operated the scheme from 2007 to 2010. They each have previously worked in the securities industry either as registered representatives or providers of investment management or financial advisory services.

“These penny stock purchasers had enough securities industry experience to know that their penny stock trading was not exempt from the securities laws as they claimed,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “They repeatedly violated the registration provisions and in the process also committed securities fraud. We will continue to fight microcap stock abuses that result in the unregistered distribution of shares without vital information about those companies being known to investors.”

The SEC’s complaint alleges that Garber, Manis, Yellin, Feinstein and the named entities violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933; Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC’s complaint seeks a final judgment, among other things, ordering all of the defendants to pay disgorgement, prejudgment interest and financial penalties; permanently enjoining all the defendants from future violations of the securities laws; and permanently enjoining all the defendants from participating in penny stock offerings.

The SEC’s investigation, which is continuing, has been conducted by Michael Paley, Laura Yeu, Elzbieta Wraga, Haimavathi Marlier, Yitzchok Klug and Paul Gizzi of the New York Regional Office. Mr. Gizzi and Ms. Marlier will lead the SEC’s litigation.

SEC Charges Former MediCor CEO

SEC Charges Former MediCor CEO, Chairman and COO With Concealing True Source of Company’s Funding

The Securities and Exchange Commission today charged Theodore Robert Maloney (Maloney), the former chief executive officer of MediCor, Ltd. (MediCor), with fraud and other misconduct for concealing the true and precarious source of MediCor’s funding from investors and the company’s auditor. The Commission simultaneously filed related settled civil actions against Donald K. McGhan, MediCor’s founder and former Chairman (Don McGhan), and Jimmy J. McGhan, the company’s former chief operating officer (Jim McGhan).

The SEC complaints, filed in the Nevada District Court, allege that from 2004 through 2006, MediCor filed false and misleading annual reports, quarterly reports and proxy statements that falsely stated that the company was substantially funded by Don McGhan or one of his affiliates, when in fact a significant source of MediCor’s funding was money illegally transferred from Southwest Exchange Corp. (Southwest). Southwest was a private company that held deposits for taxpayers seeking to defer capital gains taxes on like-kind exchanges of property.

According to the SEC’s complaint, Maloney and Don McGhan concealed the illegal transfer of Southwest funds by creating a paper trail designed to hide the true source of MediCor’s financing; Maloney and the McGhans also concealed information regarding the true source of MediCor’s funding from MediCor’s auditor. Maloney was the person primarily responsible for preparing MediCor’s misleading public filings; Maloney, Don McGhan and Jim McGhan each signed the filings. The complaint further alleges that by the end of 2006, Don McGhan, with Maloney’s help and Jim McGhan’s knowledge, had transferred over $54 million out of Southwest for MediCor’s benefit. Southwest collapsed in January 2007, owing approximately $97 million to its clients. MediCor declared bankruptcy in June 2007.

The SEC is charging Maloney with violating Sections 10(b), 13(b)(5) and 14(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 10b-5, 13b2-2 and 14a-9, and with aiding and abetting MediCor’s violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1 and 13-13. The SEC seeks a permanent injunction, civil penalty and a permanent officer and director bar against Maloney.

Don McGhan and Jim McGhan each has agreed to settle to charges of violating Sections 10(b) and 14(a) of the Exchange Act and Exchange Act Rules 10b-5 and 14a-9, and with aiding and abetting MediCor’s violations of Sections 13(a) of the Exchange Act and Exchange Act Rules 12b-20 and 13a-1. Don McGhan has agreed to consent to a permanent injunction and officer and director bar. Jim McGhan has agreed to consent to a permanent injunction and a 5-year officer and director bar. [SEC v. Theodore R. Maloney; Securities and Exchange Commission vs. Donald K. McGhan and Jimmy J. McGhan, Civil No. 2:11-CV-74; Civil No. 2:11-CV-75 (USDC Nevada)] (LR-21816)

Stop Order Proceedings Instituted Against Caribbean Pacific Marketing

FOR IMMEDIATE RELEASE
2012-218

Washington, D.C., Oct. 29, 2012 — The Securities and Exchange Commission today announced that it has instituted proceedings to determine whether to issue an order that would prevent sales of shares in Caribbean Pacific Marketing, Inc., based on allegations that the company’s disclosure is misleading.


Additional Materials


“The Division of Enforcement is seeking a stop order to protect investors by preventing any potential sales of stock under a materially misleading and deficient offering document,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office.

A stop order prevents a company or its shareholders from selling privately-held shares to the public under a materially misleading or deficient registration statement. If a stop order is issued, no new shares can enter the market pursuant to that registration statement until the company has corrected the deficiencies or misleading information contained in the registration statement.

In proceedings instituted against Caribbean Pacific on October 29, 2012, the SEC’s Division of Enforcement alleges that Caribbean Pacific’s registration statement is materially misleading because it omits any information about William J. Reilly and his position within the company as a de facto executive officer and control person. The Division of Enforcement alleges that Reilly is a disbarred attorney subject to a court order barring him from any penny stock offering, from serving as a corporate office and director, and from violating certain federal securities laws. In addition, Reilly was suspended from appearing or practicing before the Commission as an attorney, with a right to reapply after three years.

The Commission instituted the proceedings against Caribbean Pacific to determine whether the allegations by the Division of Enforcement are true, to give the company an opportunity to respond to the allegations, and to determine whether a stop order should be issued.

On October 23, the U.S. Attorney’s Office for the Southern District of Florida filed a criminal complaint against Reilly, alleging securities fraud.

SEC Senior Counsels Trisha D. Sindler and Michelle I. Bougdanos are conducting the SEC’s investigation under the supervision of Assistant Regional Director Chedly C. Dumornay, and Adam Schwartz and Christine Nestor will handle the litigation. All are with SEC’s Miami Regional Office. The SEC acknowledges the assistance and cooperation of the U.S. Attorney’s Office for the Southern District of Florida and the FBI’s Miami Division in this matter.

# # #

http://www.sec.gov/news/press/2012/2012-218.htm

Related Article:

Unregistered Soliciting Entities

Boiler Room Financial Investment Firms ~ Unregistered

1st New York Financial Corporation
117 West 79th Street
New York, NY 10024
Phone: 347-473-7697
Fax: 646-383-6828
Website: http://www.1stnewyorkfinancial.com

Accrescent Holdings Inc.
4350 La Jolla Village Drive, 7th Floor
San Diego, CA 92122
Phone: 213-402-0477
Website: None found.

Advance Partners LLC
1122 E Pike Street
Seattle, WA 98122
Fax: 206-299-3392
Website: http://advancepartners.us/

Affinity Group
Rockefeller Center Complex
45 Rockefeller Plaza
New York, NY 10111
Phone: 212-359-1692
Fax: 646-219-3343
Website: http://affinity-group.com/

Alexander Capital Management
155 N. Wacker Drive, Suite 3600
Chicago, IL 60606
Phone: 708-850-0116
Fax: 708-575-0375
Website: http://www.alexander-capital-management.com/

Allen Brothers M&A
2733 Vine St.
Cincinnati, OH 45219
Phone: 513-488-0508
Fax: 513-488-0509

Alliance Group, Inc.
Alliance Insurance Agency
60 Pine Street
New York, NY 10005
Phone: 646-417-6866
Fax: 646-417-6302
Website: http://www.alliance-insagt.com/

Alliance Transfer Inc.
503 Fifth Avenue
New York, NY
Website: http://www.alliancetransferinc.com/

Alter Management LLC
220 E. Delaware Avenue
Newark, DE 19711
Phone: 302-476-2620
Fax: 302-861-0649
Website: http://alter-management.com/
(Website said to be under construction, according to notice posted thereon.)

American Financial Group, Inc.
1211 N. Brand Blvd., Suite 220
Glendale, CA 91202
Phone: 818-301-4918
Fax: 818-484-2163
Website: http://www.amfgroupinc.com/

American Taxation Incorporated
Chrysler Building
Level 14 1-2EF
New York, NY 10174
Phone: 646-351-1902
Fax: 646-351-1902
Website: http://www.americantaxation.com/

Andersen Mergers
500 West Putnam Avenue
Greenwich, CT 06830
Website: http://www.andersenmergers.com/

Anoli Capital International, Inc.
5499 North Federal Hwy.
Suite 201/202
Boca Raton, Miami, FL 33431
Phone: 561-249-4447
Fax : 561-526-1447
Website: http://www.anolicap.com/

Apex Stock Transfer Inc.
6147 S. Everett Street
Littleton, CO 80123
Phone: 720-763-9199
Fax: 720-763-9210
Website: http://www.apexstinc.com/

Apex Stock Transfer Inc.
6147 S. Everett Street
Littleton, CO 80123
Phone: 720-763-9199
Fax: 720-763-9210
Website: http://www.apexstinc.com/

Ashley Partners M&A
100 Pearl Street 11th Floor
Hartford, CT 06103
Phone: 860-760-1720
Fax: 860-760-6834
Website: http://www.ashleypartners.com/

Asia Pacific Group, a.k.a. Asia Pacific Financial Management Group Inc.
45 Rockefeller Plaza, Suite 2012
New York, NY 10111
Phone: 212-359-1650
Fax: 212-954-5088
Website: http://asiapacificgroup.com/

Asprey Associates
646 W. 131st Street
New York, NY
Phone: 646-810-8627
Fax: 646 810-8692
Website: http://www.asprey-associates.com/

Asset Recovery Solutions
One Penn Plaza, Level 6
242 West 34th Street
New York, NY 10119
Phone: 212-246-5088
Fax: 646-365-3375
Website: http://www.arsu.eu/

Asset Trust Management, LLC
110 Chauncy Street
Boston, MA
Website: http://www.assettm.com/

Association of Securities Transfer Companies (ASTC)
40 Wall Street
New York, NY 10005
Email: information@astcweb.com
Website: http://www.astcweb.com/

Atlantic Capital Trust Management, LLC
1490 Arch Street, 8th Floor
Philadelphia, PA 19102
Phone: 215-583-1030
Fax: 215-405-3761
Website: http://www.atlanticct.com

Bainbridge Management
999 3rd Avenue
Suite 3800
Seattle, Washington 98101/98104
Phone: 206-774-1943
Fax: 206-374-3024

Banc De Binary
Trump Tower
40 Wall Street
New York, NY 10005
Phone: 800-656-6163
Fax: 866-779-4265
Website: http://www.bbinary.com/

Baros and Ronaldo Associates
Melbourne Tower, Suite 7061
1511 Third Avenue
Seattle, WA 98101
Phone: 206-801-0084
Fax: 206-299-9145
Website: http://barosandronaldoassociates.com/

Bayside Equity Group, Inc.
225 Franklin Street, Suite 1402
Boston, MA 02110
Phone: 617-449-0850
Fax: 617-830-0387
Website: http://baysideequitygroup.com/

Beacon Capital Management Inc.
38 Kings Highway
Hauppauge, NY 11788
Fax: 631-204-6822
Website: http://beaconcapmaninc.com/

Beacon Global Management, Inc.
Tower Executive Suites
10940 Wilshire Blvd., Suite 1500
Los Angeles, CA 90024
Phone: 866-365-0738
Fax: 213-947-4787

Berrscott, Elliott & Associates
260 Madison, East 38th Street, Suite 868 NW
Corner to East 39th Street
New York, NY 10016
Phone: 347-694-4357
Fax: 347-823-2620
Website: http://www.berrscottelliott.com/

Benchmark International Trading Group, Inc.
725 15th Street, Northwest, Suite 502
Washington DC 20005
Website: http://www.bitgi.com/ (no longer online)

Benson Hill Advisors
435 Lexington Avenue, Suite 2675
New York, NY 10170
Phone: 646-918-5135
Fax: 646-839-2930
Website: http://www.bensonhilladvisors.com

Benton Wells & Associates, LLC
1001 4th Avenue, Suite 2310
Seattle, WA 98104
Phone: 206-508-1450
Fax: 206-299-9581
Website: http://www.bentonwells.com/

Berdon Law Mergers & Acquisitions
CM Building
465 6th Avenue
New York, New York 10011
Phone: 917-591-3254
Fax: 917-591-3144
Website: http://www.berdonlaw.com/

Berger Aron Macey
1240 Peachtree Street NE, Suite 2700
Atlanta, GA 30309
Phone: 404-592-5106
Fax: 404-795-0613

Berkley Liquidation & Administration
1503 Manhattan Ave.
New York, NY 10034
Phone: 212-461-3623
Fax: 212-884-0619
Website: http://www.berkleyliquidation.com/
No US registered securities firm with this name.

Berkshire Financial Management, LLC
100-102 Post Avenue
New York, NY 10034
Phone: 646-652-0437
Fax: 646-861-4791
Website: http://bfmllc.net/
No US registered securities firm with this name.

Best Investors Group, Inc.
77 Arkay Drive
Hauppauge, NY 11788-3700
Phone: 646-360-1714
Fax: 646-390-2829
Website: http://bestinvestorsgrp.com/

Blackwell & Associates
1844 7th Avenue
New York, NY 10026
Phone: 212-898-0491
Fax: 212-658-9809
Website: http://www.blackwellassociates.us/

No US registered securities firm with this name.
Blue Bayou Prospect Management
1622 Mason Street, Houston Texas, 77019 USA
Direct: 281-220-6722
Phone: 713-490-2215
Fax: 713-513-5858
Website: http://www.bbprospect.com

No US registered securities firm with this name.
Boesch Haufmann Asset Management, Inc.
Phone: 646-918-5136
Website: http://www.boeschhaufmann.com/
No US registered securities firm with this name.

Boston Capital Management Inc.
Regus Business Center
75 Arlington Street
Boston, MA 02116
Phone: 857-207-3889
Fax: 857-559-0915
Website: http://bostoncmi.us/
No US registered securities firm with this name.

Boston Management & Research
211 Congress Street
Boston, MA
Website: http://www.bostonmgt.com

Breakthrough Incorporated
2625 Townsgate Road, Suite 330
Westlake Village, CA 91361
Phone: 805-267-1107
Fax: 805-830-0455
Website: http://www.breakthroughincorp.com
No US registered securities firm with this name.

Bremer Financial Ltd.
Howard Hughes Center
6601 Center Drive, Suite 500
Los Angeles, CA 90045
Phone: 213-403-0107
Fax: 213-403-0109
No US registered securities firm with this name.

Brentwood Capital Ventures
41 E. 11th Street, 11th Floor
New York, NY 10003
Phone: 646-502-8215
Fax: 646-786-4463
Website: http://www.brentwoodcapitalventures.com
No US registered securities firm with this name.

Brookdale West Capital Management
289 Lexington Avenue, 18th Floor
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://brookdalewest.com
No US registered securities firm with this name.

Brookstone Group Transfer Agents
48 Wall Street, Suite 1100
New York, NY 10005
Phone: 646-918-8099
Fax: 646-666-4425
Website: http://brookstoneta.com
No US registered securities firm with this name.

C&O Fund Distributor, Inc.
Commerce Bank Building, 2nd Floor
276 5th Avenue
New York, NY
Phone: 646-360-1722
Fax: 646-861-4864
Website: http://cofunddistributor.com

Cambridge Equity Corporation
1330 Avenue of the Americas
New York, NY 10019
Phone: 914-214-5310
Fax: 914-462-3734
Website: http://www.cambridgeequitycorp.com/

Cameron McDonald & Co.
625 4th Ave. S.
Minneapolis, MN 55415
Phone: 612-234-4048
Fax: 612-234-4049

Cameron Poe & Associates Inc.
800 North Shoreline Blvd.
One Shoreline Plaza – South Tower
Corpus Christi, TX 78401
Phone: 281-990-2405
Fax: 281-915-4511
Website: http://cameronpoe.com/

Capgemini Law Mergers & Acquisitions
153 East 53rd Street
New York City, NY 10011
Phone: 212-820-9736
Fax: 212-208-4651
Website: http://www.capgemini-law.com/ (Suspended)

Capital Advisory Partners New York
50 Broadway, Suite 2300
New York, NY 10004
Phone: 347-694-7981
E-mail: admin@capnyc.net
Website: http://www.capnyc.net/

Capital One Management Inc.
Maine Business Center
415 Congress Street, Suite 102
Portland, ME 04101
Phone: 212-330-9008
Fax: 212-330-9009
Website: http://www.caponemgt.com/

Capital Securities International
383 Madison Avenue
New York, NY 10179
Phone: 212-937-2235
Fax: 212-937-2293
Website: http://capsecinternational.com
No US registered securities firm with this name

Capital Transfer Consolidated
410 Park Avenue
New York, NY 10022
Phone: 212-359-1625
Fax: 212-918-3467
Website: http://capitalconsolidated.com
No US registered securities firm with this name.

Capital Trust Management, LLC
2559 Washington Road, #520
Pittsburgh, PA 15241
Website: http://www.capitaltm.us
No US registered securities firm with this name.

Cartwright & Keating, Inc.
Sun Trust Plaza, Suite 2410
230 Peachtree Street
Atlanta, GA 30303
Phone: (404) 865-1513
Fax: (404) 420-2164
Website: http://www.cartwrightandkeating.com
No US registered securities firm with this name.
The entity is also soliciting under the name Dai-ichi Securities using the clone website http://www.dai-ichi-securities.com.

Cartwright Financial
Liberty Plaza, Manhattan
New York, NY 10006
Website: http://www.cartwright-financial.com
No US registered securities firm with this name.

Caspian Trading, Inc., a.k.a. Caspian Investments
184 Fisher Avenue
Boston, MA 02120
Phone: 617-513-9550, 917-300-0430

8528 Maltby Court
Plano, TX 75024
Phone: 214-552-8528
Website: http://www.fixed-investments.com/
No US registered securities firm with this name.

Centrade Management Corp.
440 W. 33rd Street
New York, NY 10001
Phone: 646-291-8906
Fax: 646-619-4443
Website: http://centrademgt.com
No US registered securities firm with this name.

Century Management Division, Inc.
23351 Ford Rd.
Dearborn, MI 48128
Phone: 313-447-4477
Fax: 313-447-4477
No US registered securities firm with this name.

Chadwick & Co.
111 W Monroe Street
Phoenix, AZ 85003
Phone: 602-427-5953
Fax: 602-427-5954
Website: http://chadwick-co.com
No US registered securities firm with this name.

Charlton Hayfield and Company
30 E. Broad St.
Columbus, OH 43215
Phone: 614-947-0111
Fax: 614-947-0102
No US registered securities firm with this name.

CIG LLC, a.k.a. Commerce Investments Group LLC
One Liberty Plaza
165 Broadway, Suite 3601
New York, NY 10006
Phone: 646-918-5083
Fax: 646-786-4918
Website: http://www.cigllc.us
No US registered securities firm with this name.

CitiWealth Asset Management
345 Hudson Street
New York, NY 10014
Phone: 641-715-3900, x 23342
Fax: 810-974-1482
Website: http://www.cspplc.net
No US registered securities firm with this name.

City Capital Mergers & Acquisitions
6990 W. Cedar Ave.
Lakewood, CO 80226
Phone: 303-353-0736
Fax: 303-353-0737
No US registered securities firm with this name.

Clarkson Black Associates
P.O. Box 72514
Seattle, WA 97181
Phone: 206-600-3184
Fax: 206-309-9912
Website: http://www.clarksonblack.com (The website is no longer accessible.)
No US registered securities firm with this name.
Purports to have been succeeded by Maddisson Jardine Associates.

Clarus Capital Group Management
237 Park Avenue, Suite 900
New York, NY 10017
Phone: 646-652-0451
Fax: 646-224-6483
Website: http://claruscapgrp.com
No US registered securities firm with this name.

Clayton Capital Ventures, Inc.
304 Park Avenue South, 9th Floor
New York, NY 10010
Website: http://www.claytoncapventures.com
No US registered securities firm with this name.

Colby Mergers
61 Forsyth St. SW
Atlanta, GA 30303
Phone: 404-478-6381
Fax: 404-478-6382
Website: http://colbymergers.com
No US registered securities firm with this name.

Coleman Brothers
1800 Grant Street
Denver, CO 80203
Phone: 303-952-5896
Fax: 303-952-5801, 303-952-5901

Coleman, Peterson & Associates
1642 Dr. Martin Luther King Drive, Suite 1201
St. Louis, MO 63106
Phone: 314-255-1321
Fax: 314-255-1321
Website: http://www.cpa-advisory.com
No US registered securities firm with this name.

Collett Quinlan M&A
50 Hurt Plaza, SE
Atlanta, GA 30303
Phone: 404-671-8082
Fax: 404-671-8083

Colonial Square Acquisition LLC
4000 Jordan Road
Troy, NY 12180
Phone: 646-328-5071
Fax: 646-224-6182
Website: http://csacquisition.com/

Colonial Square Acquisition LLC
4000 Jordan Road
Troy, NY 12180
Phone: 646-328-5071
Fax: 646-224-6182
Website: http://csacquisition.com/

Coltin Securities LLC
415 Madison Avenue
New York, NY 10017
Website: http://coltinsecurities.com/

Connelly Peterson Ltd.
200 West Madison Street
P.O. Box 57680
Chicago, IL 60606
Phone: 312-462-4925
Fax: 312-462-4926
Website: http://connellypeterson.com
No US registered securities firm with this name.

Coreen Bradford Insurance
153 E. Wacker Drive
Chicago, IL 60601
Phone: 312-628-1287, 815-280-0375
Website: http://coreenbradfordinsurance.com/
No US registered securities firm with this name.

Continental American Group
Columbia Tower
701 Fifth Avenue, 68th Floor
Seattle, WA 98104-5119
Phone: 206-316-8315
Fax: Upon request.
Website: http://www.continental-american.com/
No US registered securities firm with this name.

Corporate Mergers & Acquisition Group
535 Madison Avenue, Suite 300
New York, NY 10022
Phone: 646-918-8126
Fax: 347-223-5234
Website: http://corporatemagroup.com/
No US registered securities firm with this name.

Crawford Clarke M&A
305 W. Washington St.
Phoenix, AZ 85003
Phone: 480-588-0844
Fax: 480-588-0854
Website: http://www.crawfordcma.com/
No US registered securities firm with this name.
Investor solicitations employ “Securities Validation Authority,”
an entity which is believed to be fictitious.

Cromwell and Goodwin
221 E 18th Street, #1
New York, NY 10003-3620
Phone: 646-755-9017
Fax: 646-403-8037
Website: http://www.cromwellgoodwin.com
No US registered securities firm with this name.

Crown Will Escrow and Clearing
1258 H Street, NW
Washington, DC 20005
Fax: 202-315-2599
Website: http://www.crownwillescrowandclearing.com
No US registered securities firm with this name.

CSA Financial Group
44 Wall Street, 4th Floor
New York, NY 10005
Website: http://csamarkets.com
No US registered securities firm with this name.

Cunningham, Austin, Wheeler & Associates
P.O. Box 78254
Seattle, WA 98381
Phone: 206-350-3366
Fax: 206-600-4361
Website: http://www.cunninghamaustinwheeler.com
No US registered securities firm with this name.

Danford Capital Group
Suite 2403
Wall Street Center
15 Wall St.
New York, NY
Phone: 347-515-2046
Fax: 347-438-3157
Website: http://www.danfordcapitalgrp.com

David W. Jones, Attorney at Law
Three Allen Center, Suite 1406
333 Clay Street
Houston, TX 77002
Phone: 713-513-5175
Fax: 713-583-8764
Website: http://davidwjoneslaw.com/

Davis & Rudell LLC
Liberty Street, Financial District
New York, NY 10006
Fax: 646-346-7472
Website: http://www.davis-rudell.com
No US registered securities firm with this name.

Delta West Financial Management
1553 4th Avenue, #600
New York, NY 10017
Phone: 646-918-5166
Fax: 646-224-9687
Website: http://www.deltawestfinancialmgt.com
No US registered securities firm with this name.

Dempsey Bingham
P.O. Box 94218
Seattle, WA 98381
Phone: 206-339-8372
Fax: 206-338-0578
Website: http://dempseybingham.com
No US registered securities firm with this name.

Diversified Portfolio Management Invest, a.k.a. DPM Invest
Carnegie Hall Tower, Unit 177
152 West 57th Street
New York City, NY 10019
Phone: 646-248-7927
Fax: 646-619-4663
Website: http://www.dpminvest.com
No US registered securities firm with this name.

Drexel Lambert Mergers and Acquisitions
1221 Avenue of the Americas
New York, NY 10020
Phone: 212-359-1634
Fax: 212-656-1226
Website: http://www.drexellambertmergersandacquisitions.com/

Duke & Bremmer Law Firm LP
1401 Sawgrass Mills, Suites 101-103
Ft. Lauderdale, FL 33323
Phone: 954-213-6982
Website: http://duke-bremmer.com/ (The website is no longer
accessible.)
No US registered securities firm with this name.

Duke Smythe Associates
P.O. Box 35178
Seattle, WA 98381
Phone: 206-666-2465
Fax: 206-338-6193
Website: http://www.dukesmythe.com
No US registered securities firm with this name.

Easton Consultancy, a.k.a. Easton Consultancy Advisory Firm
256E Broadway, Suite 654
New York, NY 10038
Phone: 646-755-9011, 646-755-4542
Fax: 646-619-4542
Website: http://www.eastonconsultancy.com
No US registered securities firm with this name.

Edison Transfer Agency
300 Madison Avenue, Suite 815
Toledo, OH 43601
Phone: 419-712-3201
Fax: 419-821-9392
Website: http://edisontransfer.com
No US registered securities firm with this name.

Empire Financial Management Incorporated
115 NW 198th Street
Miami, FL
Phone: 305-704-7306
Fax: 305-425-3340
Website: http://www.empirefinanceinc.com
No US registered securities firm with this name.

The Equity Exchange Group Portfolio Management (Limited)
1 Federal Street, Floor 28
Boston, MA 02108
Phone: 617-499-4856
Fax: 617-499-4857
No US registered securities firm with this name.

Equity Law Group
2634 NE 9th Avenue, Suite 849
Cape Coral, FL 33909
Phone: 407-574-5558
Website: http://www.equitylawgroup.net
No US registered securities firm with this name.

Equity Trust Management, LLC
1 Boylston Street
Boston, MA 02116
Phone: 617-861-4513
Website: http://www.equitytm.com
No US registered securities firm with this name.

Fairchild Holdings & Advisory Firm Corporation
245 Park Avenue , 24th Floor
New York, NY 10167
Phone: 800-781-5490
Fax: 212-214-0566
Website: http://fairchildholdings.net
No US registered securities firm with this name.

Farrel, Thornton, Lloyd & Brown
2000 Market Street, Suite 2122
Philadelphia, PA 19103
Phone: 267-546-4008
Fax: 267-569-3000
Website: http://www.ftlbpa.com/
No US registered securities firm with this name.

FCM Advisory Services, Inc.
910 Fannin Street, Suite 1529
Houston, TX 77002
Phone: 832-615-3652
Fax: 832-615-3652
Website: http://www.fcm-advisory.com/
No US registered securities firm with this name.

Federal Capital, Inc.
459 Columbus Avenue
New York, NY 10024
Phone: 914-293-1451
Fax: 914-462-3763
Website: http://www.federalcap.us
No US registered securities firm with this name.

Federal Equities Corporation
51 Madison Avenue
New York, NY 1001
Phone: 646-360-1718
Fax: 646-861-5982
Website: http://federalequitiescorp.com/
No US registered securities firm with this name.

Ferguson Hathaway Consulting, Ltd./FH Consulting
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1487
Fax: 646-224-8941

No US registered securities firm with this name.
FinAllianz
W. 50th St., Rockefeller Plaza
New York, NY 10019
Phone: 646-810-6182
Fax: 484-993-3822
No US registered securities firm with this name.

Financial Asset Management, Inc.
1269 Avenue of the Americas
New York, NY 10019
Phone: 646-328-5070
Website: http://www.finamgtinc.com (The website is no longer accessible.)

Financial Soultions (sic)
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 10006
Phone: 646-918-5152
Fax: 646-786-4911
Website: http://www.financialsoultions.com/

No US registered securities firm with this name.
This soliciting entity’s website has the same contact details as JSM Financial’s.
FinSolve Inc.
90 Park Avenue, 17th Floor
New York, NY 10016
Fax: 646-607-4654, 347-287-6716
Website: http://www.fin-solve.com/

No US registered securities firm with this name.
FinTrade Advisors Inc.
1285 6th Avenue, 32nd Floor
New York, NY 10019
Fax: 646-346-7472
Website: http://www.fintradeadvisors.com/

No US registered securities firm with this name.
First Financial Management
255 W. 36th Street
New York, NY 10018-7798
Phone: 646-351-1282
Fax: 646-961-4811
Website: http://firstfinancialmgmt.com
No US registered securities firm with this name.

First Independent Accounting & Management Services Inc.
1100 Superior Avenue
P.O. Box 5740
Cleveland, OH 44114
Phone: 440-809-8438
Fax: 440-809-8439
Website: http://fiams.com
No US registered securities firm with this name.

First Liberty Transfer Agency, LLC
1101 Pennsylvania Avenue
Washington, DC 20004
Phone: 202-449-9593
Fax: 202-379-9299
No US registered securities firm with this name.

First National Reliance Inc.
300 Fifth Avenue
New York, NY 10001
Phone: 212-542-9166
Website: http://www.firstnationalreliance.com
No US registered securities firm with this name.

First National Stock Transfer Inc.
77 E. Missouri Avenue, Suite 71
Phoenix, AZ 85012
Mailing Address:
5555 N. 7th Street, Suite 134-238
Phoenix, AZ 85014
Phone: 602-559-1857
Fax: 602-297-6517
Website: http://www.fnsti.com/

First Prime Corporations, a.k.a. First Prime Corp.
201 Varick Street, 10th Floor
New York, NY 10014
Phone: 914-214-5306
Fax: 646-390-7429
Website: http://www.firstprimecorp.com
(This domain name is suspended.)

Frazer White Group
1600 Broadway
Denver, CO 80202
Phone: 303-353-0764
Fax: 303-353-0765
Website: http://www.fwgma.com/

Gardner Financial Trading
White Plains Plaza
445 Hamilton Avenue, Suite 1107
White Plains, NY 10601
Phone: 917-546-7315
Fax: 212-631-1008
Website: http://gfinancetrading.com

Garrett Hopkins Associates
P.O. Box 42861
Seattle, WA 98381
Website: http://garretthopkins.com
No US registered securities firm with this name.

Gemini M&A
999 Peachtree St., NE
Atlanta, GA 30309
Phone: 678-791-4032
Fax: 678-954-0595
Website: http://www.geminima.com
No US registered securities firm with this name.

Glendale Management Group
330 Madison Avenue, 6th Floor
New York, NY 10017
Phone: 646-918-5166
Fax: 646-619-4438
Website: http://www.glendalemgt.com
No US registered securities firm with this name.

Global Alliance Insurance Company
226 W. Washington Street
Chicago, IL
Phone: 773-303-4861
Fax: 773-486-8240
Website: http://www.globalallianceinsurance.us
No US registered securities firm with this name.

Global Asset Management Inc.
New York, NY 10003
Website: http://globalassetmanagementinc.net
No US registered securities firm with this name.

Global Capital Group Mergers & Acquisitions
731 Lexington Avenue
New York, NY 10022
Phone: 212-933-9154
Fax: 212-954-5011
Website: http://globalmergersacquisitions.com
No US registered securities firm with this name.

Global Capital Management, Inc.
1681 Pines Street, Corner South 17th Street
Philadelphia, PA
Phone: 646-652-0760
Fax: 646-924-3712
Website: http://globalcapmgt.com

Global Financial Corp. Worldwide, a.k.a. GFC Worldwide
100 Washington Avenue North, Suite 1319
Minneapolis, MN 55401

632 Broadway, Suite 407
New York, NY 10012
Phone: 646-461-2197
Fax: 646-219-2788, 646-619-4357
Website: http://gfcworldwide.com/

No US registered securities firm with this name.
Global Re-Insurance Services
Website: http://globalreinsuranceservices.com
No US registered securities firm with this name.

Global Direct Financial Inc.
Aura Executive Center
695 Central Avenue, Suite 110
St. Petersburg, FL 33701
Phone: 786-228-4959

Head Office
93 Pearl Street
New York, NY 10004
Phone: 212-465-3259

No US registered securities firm with this name.
Global Quest Consultancy Services, Inc.
900 11th NW, Corner New York Avenue NW
Washington D.C. 20001
Phone: 202-455-0973
Fax: 202-403-3416
Website: http://globalquestservices.com
No US registered securities firm with this name.

Global Quest Emerging Fund LP
One Whitehall Street, 15th Floor
New York, NY 10004
Phone: 646-652-0720
Fax: 646-786-4707
Website: http://www.gqemerging.com

GMA Advisory Services, Inc.
1501 South Clinton Street, Suite 506
Baltimore, MD 21244
Tel: 443-220-0140
Fax: 443-581-0057
Website: http://www.gmaadvisory.com/ (domain expired 4/2/08)
No US registered securities firm with this name.

Golden Medallion Trading
Stanford Corporate Center
14001 N. Dallas Parkway, Suite 1400
Dallas, TX 75240
Phone: 866-296-7051
Fax: 817-977-5237
No US registered securities firm with this name.

Goodwin William Inc.
44 West 32nd Street
New York, NY 10002
Phone: 212-542-8755
Fax: 212-202-7928
Website: http://www.goodwinwilliam.com/
No US registered securities firm with this name.

Gordon Group Services
129 West 29th Street, 12th Floor
New York, NY 10001
Phone: 646-502-8137
Fax: 646-786-4825
Website: http://gordongroupservices.com
No US registered securities firm with this name.

Grant Group LLC
1120 Broadway, 22nd Floor
New York, NY 10010
Phone: 646-224-8723
Fax: 646-224-8724
No US registered securities firm with this name.

Greentree Financial Advisors
2408 Richmond Road
Staten Island, NY 10306
Fax: 718-732-2047
Website: http://www.greentree-financial-advisors.us/

Greyson Consulting Group
40 Wall Street
New York, NY 10005
Phone: 646-502-8239
Fax: 646-786-4775
Website: http://www.greysonconsultinggroup.com
No US registered securities firm with this name.

Greystone Asset Management
780 Third Ave, 43rd Floor
New York, NY 10017
Fax: 212-208-2496
Website: http://www.greystoneassetmanagement.com

Griffin Mergers and Acquisitions
8th Street and Nicollet Mall, Downtown
Minneapolis, MN 55402-8773
Phone: 612-284-2417
Fax: 612-677-3711
No US registered securities firm with this name.

Gruber and Green, Inc.
311 Florence Avenue, 24th Floor, Suite 12
Evanston, Chicago, IL 60202
Phone: 224-217-9852
Fax: 225-282-1010
Website: http://www.gruberandgreeninc.com/
(The website is no longer accessible.)
No US registered securities firm with this name.

GS Global Asset Management LLC
488 Madison Avenue, 8th Floor
New York, NY 10022
Phone: 646-843-6976
Fax: 646-219-3077
Website: http://www.gsgamgt.com

Guardian Creative Tax Planners
New York Times Building
200 Park Avenue
New York, NY 10166
Phone: 212-359-1660
Website: http://www.guardian-inter.com
No US registered securities firm with this name.

Guardian International
New York Times Building
620 Eighth Avenue
New York, NY 10018
Phone: 212-359-1660
Website: http://guardian-inter.com
No US registered securities firm with this name.

Gultsara Trading Ltd.
701 Madison Street
Seattle, WA 98104
Website: http://gultsara.com
No US registered securities firm with this name.

Hampton Capital Management
71 Stevenson Street, Suite 400
San Francisco, CA 94105
Phone: 415-765-6744 (inoperative)
Fax: 415-655-6601
No US registered securities firm with this name.

Hanworth Weir Ltd.
Chicago Board of Trade Building
Suite 1497 LV14
141 West Jackson BV (sic)
Chicago, IL

Harbor Light Securities Inc.
1093 Deep Woods Drive
Marion, NC 28752
Phone: 828-527-0244
Fax: 877-426-8220
Website: http://harborlightsecinc.com

Harris James Associates
80 Broad Street
New York, NY 10004
Phone: 917-338-1687
Fax: 917-591-7329
Website: http://www.harrisjamesassociates.com
No US registered securities firm with this name.

Hedges Mergers & Acquisitions
1400 Broadway
New York, NY 10018
Phone: 315-366-4259
Fax: 718-732-2785
Website: http://www.hmaworld.com
(Not accessible)
No US registered securities firm with this name.

Heinz Hokkaido International
1585 Broadway
New York, NY 10016
Website: http://www.heinzhokkaido.net
No US registered securities firm with this name.

Hobdell and Williamson
2496 Sand Hill Road, Suite 132
Menlo Park, CA 94025
Phone: 650-963-5727
Fax: 650-240-3913
Website: http://www.hobdellwilliamson.com/hobdellwilliamson.htm
No US registered securities firm with this name.

Hogan, Case & Polk
P.O. Box 87219
Seattle, WA, 97132
Phone: 206-202-4830
Fax: 206-426-5782
Website: http://hogancasepolk.com
No US registered securities firm with this name.

Hopewood and Company
413 4th Ave. S.
Columbus, MS 39701
Phone: 662-913-0603
Fax: 662-913-0604
No US registered securities firm with this name.

Howell and Johnson Associates
1422 Euclid Ave.
Cleveland, OH 44115
Phone: 216-744-1026
Fax: 216-744-1027
No US registered securities firm with this name.
Website shows different phone numbers, with Atlanta area codes,
from those used in solicitation materials.

IDA Consultancy
199111 32nd Road
Flushing, NY 11358
Phone: 646-502-8257
Fax: 646-224-9557
Website: http://www.idaconsultancy.com
No US registered securities firm with this name.

Impact Finance
225 Franklin Street, 26th floor
Boston, MA 02110
Phone: 857-239-0450
Fax: 857-220-3000
Website: http://www.impactfinance.net
No US registered securities firm with this name.

Imperial Quest Ventures, Ltd.
The Hancock Center
875 N Michigan Avenue, Suite 2600
Chicago, IL 60611
Phone: 866-365-3685
Fax: 312-205-6421, 312-277-3321
No US registered securities firm with this name.
Claims to be recognized by the SEC and the U.S. Federal Trade Commission.
Neither the SEC nor the Federal Trade Commission has endorsed this entity.

Institutional Equity Partners
200 West Street
New York, NY 10282
Phone: 212-504-3129
Fax: 212-504-7937
Website: http://iepnet.com/
No US registered securities firm with this name.

Interactive Taxation Consultants
Samson Building
Level 8-22G
501 Fifth Avenue
New York, NY 10017
Phone: 212-359-1682
Fax: 212-954-5088
Website: http://www.taxationconsultants.com/
No US registered securities firm

Investors Advisory Services, LLC
857 3rd Avenue, 18th Floor
New York, NY 10022
Phone: 646-360-1719
Fax: 646-786-4693
Website: http://investorsadvisorysvcsllc.com/

Itaxation Corporation Ltd.
Equitable Building, Level 11
New York, NY
Phone: 646-369-1368
Fax: 646-607-4224
Website: http://www.itaxation.com/
No US registered securities firm with this name.

J. Rowan Associates
230 Peachtree St.
NW Atlanta, GA 30303
Phone: 678-954-0520
Fax: 678 954 0521
No US registered securities firm with this name.

JD Trading
1300 Connecticut Avenue NW
Suite 2010-2011
Washington, DC 20036
Phone: 202-403-3107
Fax: 202-403-3107
Website: http://www.jdtrading.us/
No US registered securities firm with this name.

Jackson Bernstein Associates
P.O. Box 39762
Seattle, WA 97126-1428
Phone: 206-337-1929
Fax: 206-203-0357
Website: http://www.jacksonbernstein.com/
No US registered securities firm with this name.

Jacob Stuart & Knight Inc.
255 West 36th Street, Suite 700
New York, NY 10018
Phone: 347-284-6232
Fax: 347-649-2097
Website: http://www.jstuart-knight.com/
No US registered securities firm with this name.

Jacobson Group
357 West 58th Street
New York, NY 10019
Phone: 646-248-7952
Fax: 646-924-3154
Website: http://www.jacobsongroup.net/
No US registered securities firm with this name.

Janco Lazard Transfer Company
30 Rockefeller Plaza, 57th Floor
New York, NY 10112-6300
Phone: 212-389-7918
Website: http://jancolazardtransfer.com/
No US registered securities firm with this name.

Jefferson Clark Associates
PO Box 58389
Seattle, WA 98138-1386
Phone: 206-973-7179
Fax: 206-984-4342
Website: http://www.jeffersonclark.com/
No US registered securities firm with this name.

JSM Financial
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 1006
Phone: 646-918-5152
Fax: 646-786-4918
Website: http://jsmfinancial.com/
No US registered securities firm with this name.
This soliciting entity’s website has the same contact details as Financial Soultions’ (sic).

Kennedy, Anderson & Lang
60 E. 42nd St., Suite 1516
New York, NY 10165
Phone: 646-290-8536
Fax: 646-290-8922
Website (now offline): http://kal-ny.com/
No US registered securities firm with this name.

Kensington Advisory & Investment Group
350 Fifth Avenue, Suite 5620
New York, NY 10118
Phone: 646-328-5070
Fax: 646-224-8433
Website: http://kensingtonaig.com/

Keswick Group
154 Exchange Boulevard, Suite 108
Rochester, NY 14614-2108
Phone: 585-935-5205
Fax: 585-935-5206
Website: http://keswickgrp.com/ (according to its Internet service provider,
this domain name expired on November 11, 2010)
No US registered securities firm with this name.

Kipling Mercer & Co. LLC
1410 Fourth Avenue
Seattle, WA 98101
Phone: 206-508-2258
Website: http://www.kiplingmercer.com/
No US registered securities firm with this name.

Kirkland Gray Acquisitions
500 North Michigan Avenue
Chicago, IL 60611
Phone: 312-379-5982
Fax: 312-827-9582
Website: http://www.kirklandgray.com/
No US registered securities firm with this name.

Kobe Asset Management
One Oxford Centre, 301 Grant Street, Suite 2100
Pittsburgh, PA 15219
Phone: 412-235-0107
Fax: 412-202-0736
No US registered securities firm with this name.

Kravitz Roth, Ltd.
347 N. Rodeo Drive
Beverly Hills, CA 90210
Phone: 366-317-6621
Fax: 267-851-5959
Website: http://www.kravitzroth.com/ (domain expired 4/16/08)
No US registered securities firm with this name.

Krust Global Financials
209 East 65th Street
New York, NY 10065-4451
Phone: 315-604-3864
Fax: 646-619-4732.
Website: http://www.krustglobalfinancials.com/
No US registered securities firm with this name.

Lambert McMillan Corporation
80 S 8th Street
Ids Center & Crystal Court Building, 8th Floor Minneapolis, MN 55402
Phone: 612-246-4553
Fax: 612-465-2241
Website: http://www.lambertmcmillan.com/
No US registered securities firm with this name.

Landmark M&A, Inc.
445 Park Avenue
New York, NY 10022
Phone: 646-530-8783
Fax: 646-417-7996
No US registered securities firm with this name.

Legal Management Consultants
1285 Avenue of the Americas, Suite 219
New York, NY 10019
Phone: 239-240-4433
Fax: 646-588-0345
Website: http://www.stocksfraud.info/
No US registered securities firm with this name.

Legal Recovery Consultants
206 NW 2nd Ave, Suite 933
Miami, FL 33130
Phone: 305-420-5667
Fax: 954-827-0503
Website: http://www.legalrecoveryconsultants.com/
No US registered securities firm with this name.

Legg and Berman Acquisitions Management
The Mercantile Exchange
30 South Wacker Drive, 22/F Suite 228-230
Chicago, IL 60611
Phone: 312-416-0890
Fax: 312-279-1279
Website: http://leggandberman.com/
No US registered securities firm with this name.

Liberty Transfer Co.
Washington, DC 20004
Phone: 202-459-0977
Website: http://www.liberty-transfer.net/

Lincoln & Rutherford Trust Management
118 East Main Street
Newark, DE 19702
Also: P.O. Box 1059
Phone: 302-565-4174
Fax: 302-861-3764
Website: http://lincolnrutherford.com/
No US registered securities firm with this name.

Lincoln Trust Transfer Agency LLC
9727 Highway 12W
Rochester, WA 98579
Phone: 360-347-1251
Fax: 360-234-5155
Website: http://www.lincolntrustta.com/
No US registered securities firm with this name.

Lindenberg Asset Management
One Market Street, Spear Tower, 33th Floor
San Francisco, CA 94105
Phone: 415-373-5248
Fax: 415-276-6023
No US registered securities firm with this name.

Litmus Capital Management Group LLC
1325 Avenue of the Americas
New York, NY 10019-6026
Phone: 646-351-8638
Fax: 646-403-4600
Website: http://litmuscmg.com/

Livingston Mergers & Acquisitions
110 West C Street, Suite 1150
San Diego, CA 92101
Phone: 619-819-0721
Fax: 619-923-3342
Website: http://www.livingstonma.com/
No US registered securities firm with this name.
Investor solicitations employ “Central Equities Administrators,” an entity which is believed to be fictitious.

Lloyd Brown Investments, Inc.
Hancock Center
875 N. Michigan Ave., Suite 3100
Chicago, IL 60611
Phone: 312-416-0876
Fax: 312-416-0877
No US registered securities firm with this name.

Lloyds & Lambert Capital Ventures Inc.
84 Chambers Street, 57th Floor
New York, NY 10007
Phone: 347-821-5339
Fax: 917-591-8609
Website: http://lloyds-lambert.com/
No US registered securities firm with this name.

Lloyd Morgan Company
44 Wall Street
New York, NY 10005
Phone: 212-461-7118
Fax: 212-461-2223
Website: http://llomor.com/
(The website is not accessible.)
No US registered securities firm with this name.

Lombard Grand Financials
53 5th Avenue, #600
New York, NY 10017
Phone: 646-558-0087
Fax: 646-365-3322
Website: http://lombardgrandfinancials.com/
No US registered securities firm with this name.

Lynx Mackenzie, Inc.
415 Madison Avenue
New York, NY 10017
Phone: 646-912-6187
Fax: 646-786-4954
Website: http://www.lynxmackenzie.com/
No US registered securities firm with this name.

Madden Group Inc. (MGI)
Rand Building
14 Lafayette Square, Suite 1408
Buffalo, NY 14203
Phone: 716-829-7233
Fax: 716-706-1442
Website: http://www.maddengroupinc.com/
No US registered securities firm with this name.

Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)

Maddisson Jardine Associates
P.O. Box 41953
Seattle, WA 98381
Phone: 206-337-1585
Fax: 206-337-5388
Website: http://www.maddissonjardinegroup.com/ (A former website used by this entity, http://www.maddissonjardine.com/, is no longer accessible.)
No US registered securities firm with this name.

Madison Avenue Mergers & Acquisitions
867 Madison Avenue
New York, NY 17404
Phone: 212-359-1682
Website: http://madison-avema.com/
No US registered securities firm with this name.

Maitland Bell & Co.
2201 E. Camelback Rd.
Phoenix, AZ 85016
Phone: 602-926-1314
Fax: 602-926-1315
No US registered securities firm with this name.

Manhasset Capital Management Group
150 East 58th Street, Floor 20
New York, NY 10022
Phone: 646-500-8691
Fax: 646-304-2831
Website: http://manhassetcmg.com

Manhattan Acquisition Corp.
126 East 56th Street, 29th Floor
New York, NY 10022
Phone: 212-461-4892
Website: http://manhattanacquisitioncorp.com/

Manning Capital Inc.
384-386 Greenwich St.
New York, NY 10013
Phone: 866-221-4081
Fax: 914-462-3529
Website: http://www.manningcap.us/

No US registered securities firm with this name.

Mannix M&A
402 W Broadway
San Diego, CA 92101
Phone: 619-331-9554
Fax: 619-331-9555
Website: http://www.mannixma.com/
No US registered securities firm with this name.
Investor solicitations employ “Securities Litigation Committee,”
an entity which is believed to be fictitious.

Marcus & Company Inc.
174 Pearl Street, 47th Floor
New York, NY 10005
Phone: 646-386-2461
Website: http://marcusandcomp.com/
(The website is no longer accessible.)
No US registered securities firm with this name.

Marshall Security & Transfer Inc.
14th floor, 50 Broad Street
New York, NY 10004
No US registered securities firm with this name.

Mathisen Financial
1 State Street
New York, NY 10004
Phone: 718-337-8931
Fax: 718-425-0379
Website: http://mathisenfinancial.com/
No US registered securities firm with this name.

MBC Finance Group
307 Broadway
New York, NY 10048
Phone: 646-918-5135
Fax: 646-514-4337
http://mbcfinancegroup.com/
No US registered securities firm with this name.

McCarthy & Bennett M&A
1645 Court Place
Denver, CO 80202
Phone: 303-353-0762
Fax: 303-353-0763
Website: http://www.mccarthyma.com/
No US registered securities firm with this name.

Mclintock Greer
117 West 57th Street
New York, NY 10019
Phone: 646-452-9376
Fax: 646-452-9376
Website: http://mclintockgreer.com/
No US registered securities firm with this name.

McMillan Consulting
575 Lexington Avenue
New York, NY 10022
Phone: 212-461-7128
Fax: 212-504-0870
Website: http://www.mcmillanconsult.com/
No US registered securities firm with this name.

Melrose & Greystone
255 West 36th Street
New York, NY 10018-7555
Phone: 212-655-5806
Fax: 718-732-2989
Website: http://www.melroseandgreystone.com/
No US registered securities firm with this name.

Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com

Miller & Parker Consulting Group
750 Third Avenue
12th Floor East 46th Street
Corner to East 47th
New York, NY
Phone: 646-502-8241
Fax: 646-786-4831
Website: http://www.millerparkergroup.com/
No US registered securities firm with this name.

Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513
No US registered securities firm with this name.

Minor Group Incorporated
15 E 57th Street
New York, NY 10022
Phone: 212-359-1620
Fax: 212-372-7406
Website: http://www.minorgroupinc.com/
No US registered securities firm with this name.

MIT Associates Incorporated
One Liberty Plaza
Columbia Center
701 Fifth Avenue
Seattle, WA 98104
Phone: 206-337-4561
Fax: 206-424-4720
Website: http://mitassociates.org/

Morgan Investment Management
12520 High Bluff Drive
San Diego, CA 92130
Phone: 858-408-3203
Fax: 858-430-3823
Website: http://morganim.com/

Morisson & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
One Liberty Plaza, Suite 3620
165 Broadway
New York, NY 1006 (sic)
Phone: 646-810-8672
Fax: 646-383-9317
Website: http://www.morrisonassociates.us/
No US registered securities firm with this name.

Morisson Ventures Inc.
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1847
Fax: 718-732-2096
Website: http://morissonventures.com/ (Not accessible)
No US registered securities firm with this name.

NBI Energy
1370 Avenue of Americas, 24th Floor
New York, NY 10019
Phone: 646-652-6222
Fax: 646-861-4617
Website: http://www.nbienergy.com/ (The website is no longer accessible.)

NT Financial Services
808 Broadway, #11
New York, NY 10003
Phone: 212-247-1708
Fax: 212-937-3669
Website: http://www.ntfinancialservices.net/ (The domain is suspended.)
No US registered securities firm with this name.

Nevada Transfer Agent
Reno, NV
Phone: 866-920-0792
Fax: 646-478-9207
Website: http://www.nevadatransferagent.com/
No US registered securities firm with this name.

New Alliance Securities, Inc.
(No address provided.)
Phone: 646-360-1715
Fax: 646-224-9826
Website: http://www.newalliancesecurities.com/

New York Finance Company
405 Lexington Avenue
Chrysler Building
New York, NY 10174
Website: http://newyorkfinanceco.com/
No US registered securities firm with this name.

New York Global Group, Inc.
14 Wall Street, Suite 1225
New York, NY 10005
Phone: 646-381-1596
Fax: 646-390-8637
Website: http://newyorkggi.com/

Norsk Financial
402 W. Broadway, Suite 300
San Diego, CA 92101
Phone: 619-342-0176
Fax: 619-923-2975
Website: http://www.norskfinancial.com/
No US registered securities firm with this name.

North Pacific Mergers & Acquisitions
1511 6th Avenue Suite 211
Seattle, WA 98101
Phone: 206-451-5155
Fax: 206-338-7140
Website: http://www.northpacificmergers.com/
No US registered securities firm with this name.

Northern Alliance Group
56 6th St E
Saint Paul, MN 55101
Phone: 651-212-7093
Fax: 651-212-7094
Website: http://www.nalliance-group.com/
No US registered securities firm with this name.
nvestor solicitations employ “International Securities Validation Division,”
an entity which is believed to be fictitious.

NorthPoint M&A Advisors
NorthPoint M&A Advisors LLC
1522E Perkins Ave., Suite D
Sandusky OH, 44870
Phone: 419-464-9054
Fax: 419-821-9392
Website: http://northpointma.com/
No US registered securities firm with this name.

Northwest Mergers and Acquisitions, Inc.
210 SW Morrisson, Suite 601
Portland, OR 97204
Phone: 503-298-4850
Fax: 503-961-8527
Website: http://www.northwestmanda.com/
No US registered securities firm with this name.

Nortia Account Management
Suite 610, One Park Plaza
Irvine, CA 92614
Phone: 949-666-5396
Fax: 949-666-5426
Website: http://www.nortiaam.com/
No US registered securities firm with this name.

NY Finance Ltd.
307 7th Avenue, Suite 306
New York, NY 11215
Phone: 212-247-1721
Fax: 212-656-1877
Website: http://www.nyfinanceltd.com (resolves to: http://wpress.nyfinanceltd.com/)
No US registered securities firm with this name.

O’Coone, McCormack & Button Ltd.
138 Lexington Avenue
New York, NY 10016
Phone: 646-360-1721
Fax: 646-861-4609
Website: http://www.ocmbuttonltd.com/

Obrien & Shepard Inc.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.

PDH Transfers LLC
48 Wall Street, 11th Floor
New York, NY 10005
Phone: 212-901-5211, 800-796-7437
Fax: 917-677-8252
Website: http://www.pdhtrans.com
No US registered securities firm with this name.

Pacific American Securities
9191 Town Centre Drive, Suite 406
San Diego, CA 92122
Phone: 213-325-3256
Fax: 213-652-1447
Website: http://www.pacificamericans.net

Paragon Capital Group, Inc.
450 Park Avenue, Suite 2512
New York, NY 10022
Phone: 347-329-3096
Fax: 347-402-0226
Website: http://www.paragoncapitalgrp.com/

Peter Hamilton Law Firm & Consultancy
2219 8th Avenue
Seattle, WA 98121
Phone: NYC 646-416-9031
Fax: 646-224-9569
Website: http://peterhamiltonconsultancy.com/
No US registered securities firm with this name.

Pinicle Registry
163 Third Avenue, Suite 184
New York, NY 10004
Phone: 917-470-9153
Fax: 678-693-7467
Website: http://pinicleregistry.com/
No US registered securities firm with this name.

Platinum Group International
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-727-4436
Fax: 718-732-2350
Website: http://www.platinumgi.com/
No US registered securities firm with this name.

Pointe Atlantic
1431 S. Howard Avenue
Tampa, FL
Phone: 813-434-4297 and 813-387-3305
Website: http://www.pointe-atlantic.com

Premier Consultancy Group (PCG)
1210 Commerce Street, Suite 408
Dallas, TX 75202
Phone: 214-453-1444
Fax: 214-602-1969
Website: http://www.premierconsultancygroup.com/
No US registered securities firm with this name.

Prime Group of Companies
125 Westchester Ave.
White Plains, NY 10601
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://www.primegroupofcompanies.com/
No US registered securities firm with this name.

Prime Solutions, Inc.
100 West 57th Street
New York, NY
Phone: 646-810-3935 Fax: 646-224-4191
Fax: 646-365-3422 (from website)
Website: http://primesolutions.us
No US registered securities firm with this name.

Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com

Qatalyst Partners, L.P.
155 Hamilton Place
New York, NY 10031
Phone: 646-843-6975
Fax: 646-924-3948
Website: http://www.qatalystpartnerslp.com

Quantum Global Equities Inc.
19th Street NW
Washington, DC 20036
Phone: 202-391-0955
Website: http://quantumglobalequitiesinc.com
No US registered securities firm with this name.

Quantum Partners International
Manhattan Business Center, 23rd Floor
410 Park Avenue
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://www.quantumpartnersintl.com
No US registered securities firm with this name.

Quantum Reliance Group
12450 East Imperial Highway, Suite 140
Norwalk, CA 90650
Phone: 562-645-5529
Website: http://qrgonline.com
No US registered securities firm with this name.

Rayburn Watson & Associates
601 Union Street, Floor 15
Seattle, WA 98101
Phone: 206-445-0530
Website: http://rayburnwatson.com
No US registered securities firm with this name.

Ridley Steed & Cabot
Two Liberty Place
2312/1601 Chestnut Street
Philadelphia, PA 19102
Phone: 215-554-6122
Fax: 267-535-2865
Website: http://rsc-global.com/
No US registered securities firm with this name.

Robbins, McCaully, Appleby LLC
100 North Stone Avenue, Suite 402
Tucson, AZ 85701
Phone: 520-979-3454
Fax: 520-979-3453
Website: http://rmappleby.com/

 

International Mergers
City Spire Center, Level 4, 150 & 156
West 56th Street
New York, NY
Phone: 212-401-0689
Fax: 646-619-4166
Website: http://mergers-intl.com/

No US registered securities firm with this name.

Investors Advisory Services, LLC
857 3rd Avenue, 18th Floor
New York, NY 10022
Phone: 646-360-1719
Fax: 646-786-4693
Website: http://investorsadvisorysvcsllc.com/

Investor Advisory Services, LLC, New York, NY is impersonating a genuine entity with the same name located in Brentwood, Tennessee.
The impersonator has NO connection with, and is not to be confused with, the genuine entity Investors Advisory Services, LLC (CRD Number: 47083; SEC Number: 8-51662), which has the following mailing address: 100 Winners Circle, Suite 400, Brentwood, TN 37027. The SEC’s EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

Itaxation Corporation Ltd.
Equitable Building, Level 11
New York, NY
Phone: 646-369-1368
Fax: 646-607-4224
Website: http://www.itaxation.com/

No US registered securities firm with this name.

J. Rowan Associates
230 Peachtree St.
NW Atlanta, GA 30303
Phone: 678-954-0520
Fax: 678 954 0521

No US registered securities firm with this name.

JD Trading
1300 Connecticut Avenue NW
Suite 2010-2011
Washington, DC 20036
Phone: 202-403-3107
Fax: 202-403-3107
Website: http://www.jdtrading.us/

No US registered securities firm with this name.

Jackson Bernstein Associates
P.O. Box 39762
Seattle, WA 97126-1428
Phone: 206-337-1929
Fax: 206-203-0357
Website: http://www.jacksonbernstein.com/

No US registered securities firm with this name.

Jacob Stuart & Knight Inc.
255 West 36th Street, Suite 700
New York, NY 10018
Phone: 347-284-6232
Fax: 347-649-2097
Website: http://www.jstuart-knight.com/

No US registered securities firm with this name.

Jacobson Group
357 West 58th Street
New York, NY 10019
Phone: 646-248-7952
Fax: 646-924-3154
Website: http://www.jacobsongroup.net/

No US registered securities firm with this name.

Janco Lazard Transfer Company
30 Rockefeller Plaza, 57th Floor
New York, NY 10112-6300
Phone: 212-389-7918
Website: http://jancolazardtransfer.com/

No US registered securities firm with this name.

Jefferson Clark Associates
PO Box 58389
Seattle, WA 98138-1386
Phone: 206-973-7179
Fax: 206-984-4342
Website: http://www.jeffersonclark.com/

No US registered securities firm with this name.

JSM Financial
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 1006
Phone: 646-918-5152
Fax: 646-786-4918
Website: http://jsmfinancial.com/

No US registered securities firm with this name.
This soliciting entity’s website has the same contact details as Financial Soultions’ (sic).

Kennedy, Anderson & Lang
60 E. 42nd St., Suite 1516
New York, NY 10165
Phone: 646-290-8536
Fax: 646-290-8922
Website (now offline): http://kal-ny.com/

No US registered securities firm with this name.

Kensington Advisory & Investment Group
350 Fifth Avenue, Suite 5620
New York, NY 10118
Phone: 646-328-5070
Fax: 646-224-8433
Website: http://kensingtonaig.com/

No US registered securities firm with this name.
Kensington Advisory & Investment Group is impersonating a formerly registered broker-dealer firm named Kensington Advisory and Investment Group LLC (CRD Number: 47739; SEC Number: 8-51888). The genuine Kensington Advisory and Investment Group LLC had its registration with the SEC terminated on February 18, 2003 and is defunct.

Keswick Group
154 Exchange Boulevard, Suite 108
Rochester, NY 14614-2108
Phone: 585-935-5205
Fax: 585-935-5206
Website: http://keswickgrp.com/ (according to its Internet service provider, this domain name expired on November 11, 2010)

No US registered securities firm with this name.

Kipling Mercer & Co. LLC
1410 Fourth Avenue
Seattle, WA 98101
Phone: 206-508-2258
Website: http://www.kiplingmercer.com/

No US registered securities firm with this name.

Kirkland Gray Acquisitions
500 North Michigan Avenue
Chicago, IL 60611
Phone: 312-379-5982
Fax: 312-827-9582
Website: http://www.kirklandgray.com/

No US registered securities firm with this name.

Kobe Asset Management
One Oxford Centre, 301 Grant Street, Suite 2100
Pittsburgh, PA 15219
Phone: 412-235-0107
Fax: 412-202-0736

No US registered securities firm with this name.

Kravitz Roth, Ltd.
347 N. Rodeo Drive
Beverly Hills, CA 90210
Phone: 366-317-6621
Fax: 267-851-5959
Website: http://www.kravitzroth.com/ (domain expired 4/16/08)

No US registered securities firm with this name.

Krust Global Financials
209 East 65th Street
New York, NY 10065-4451
Phone: 315-604-3864
Fax: 646-619-4732.
Website: http://www.krustglobalfinancials.com/

No US registered securities firm with this name.

Lambert McMillan Corporation
80 S 8th Street
Ids Center & Crystal Court Building, 8th Floor Minneapolis, MN 55402
Phone: 612-246-4553
Fax: 612-465-2241
Website: http://www.lambertmcmillan.com/

No US registered securities firm with this name.

Landmark M&A, Inc.
445 Park Avenue
New York, NY 10022
Phone: 646-530-8783
Fax: 646-417-7996

No US registered securities firm with this name.

Legal Management Consultants
1285 Avenue of the Americas, Suite 219
New York, NY 10019
Phone: 239-240-4433
Fax: 646-588-0345
Website: http://www.stocksfraud.info/

No US registered securities firm with this name.

Legal Recovery Consultants
206 NW 2nd Ave, Suite 933
Miami, FL 33130
Phone: 305-420-5667
Fax: 954-827-0503
Website: http://www.legalrecoveryconsultants.com/

No US registered securities firm with this name.

Legg and Berman Acquisitions Management
The Mercantile Exchange
30 South Wacker Drive, 22/F Suite 228-230
Chicago, IL 60611
Phone: 312-416-0890
Fax: 312-279-1279
Website: http://leggandberman.com/

No US registered securities firm with this name.

Liberty Transfer Co.
Washington, DC 20004
Phone: 202-459-0977
Website: http://www.liberty-transfer.net/

No US registered securities firm with this name.
Liberty Transfer Co. may be impersonating a former genuine transfer agent firm having the same name – Liberty Transfer Co. (CIK Number: 0000912887; SEC Number: 084-05474), which had the following mailing address: 191 New York Avenue, Huntington, NY 11743. The impersonator has NO connection with, and is not to be confused with, the former genuine Liberty Transfer Co. The legitimate Liberty Transfer Co. last filed with the SEC on January 8, 2007, had its registration cancelled by the SEC on March 21, 2011, and is defunct.

Lincoln & Rutherford Trust Management
118 East Main Street
Newark, DE 19702
Also: P.O. Box 1059
Phone: 302-565-4174
Fax: 302-861-3764
Website: http://lincolnrutherford.com/

No US registered securities firm with this name.

Lincoln Trust Transfer Agency LLC
9727 Highway 12W
Rochester, WA 98579
Phone: 360-347-1251
Fax: 360-234-5155
Website: http://www.lincolntrustta.com/

No US registered securities firm with this name.

Lindenberg Asset Management
One Market Street, Spear Tower, 33th Floor
San Francisco, CA 94105
Phone: 415-373-5248
Fax: 415-276-6023

No US registered securities firm with this name.

Litmus Capital Management Group LLC
1325 Avenue of the Americas
New York, NY 10019-6026
Phone: 646-351-8638
Fax: 646-403-4600
Website: http://litmuscmg.com/

No US registered securities firm with this name.
Litmus Capital Management Group LLC is impersonating a formerly registered investment adviser firm with a similar name – Litmus Capital Management LLC (CRD Number: 138130; SEC Number: 801-65501), which had the following mailing address: 1325 Avenue of the Americas, 28th Floor, New York, NY 10019. The impersonator has NO connection with, and is not to be confused with, the former genuine Litmus Capital Management LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Litmus Capital Management LLC, which had its registration with the SEC terminated on December 11, 2008 and is defunct as an investment adviser firm, now operates as a hedge fund. The SEC’s EDGAR database contains filing information for offerings made in connection with this entity.

Livingston Mergers & Acquisitions
110 West C Street, Suite 1150
San Diego, CA 92101
Phone: 619-819-0721
Fax: 619-923-3342
Website: http://www.livingstonma.com/

No US registered securities firm with this name.
Investor solicitations employ “Central Equities Administrators,” an entity which is believed to be fictitious.

Lloyd Brown Investments, Inc.
Hancock Center
875 N. Michigan Ave., Suite 3100
Chicago, IL 60611
Phone: 312-416-0876
Fax: 312-416-0877

No US registered securities firm with this name.

Lloyds & Lambert Capital Ventures Inc.
84 Chambers Street, 57th Floor
New York, NY 10007
Phone: 347-821-5339
Fax: 917-591-8609
Website: http://lloyds-lambert.com/

No US registered securities firm with this name.

Lloyd Morgan Company
44 Wall Street
New York, NY 10005
Phone: 212-461-7118
Fax: 212-461-2223
Website: http://llomor.com/
(The website is not accessible.)

No US registered securities firm with this name.

Lombard Grand Financials
53 5th Avenue, #600
New York, NY 10017
Phone: 646-558-0087
Fax: 646-365-3322
Website: http://lombardgrandfinancials.com/

No US registered securities firm with this name.

Lynx Mackenzie, Inc.
415 Madison Avenue
New York, NY 10017
Phone: 646-912-6187
Fax: 646-786-4954
Website: http://www.lynxmackenzie.com/

No US registered securities firm with this name.

Madden Group Inc. (MGI)
Rand Building
14 Lafayette Square, Suite 1408
Buffalo, NY 14203
Phone: 716-829-7233
Fax: 716-706-1442
Website: http://www.maddengroupinc.com/

No US registered securities firm with this name.

Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)

Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name – Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number: 8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

Maddisson Jardine Associates
P.O. Box 41953
Seattle, WA 98381
Phone: 206-337-1585
Fax: 206-337-5388
Website: http://www.maddissonjardinegroup.com/ (A former website used by this entity, http://www.maddissonjardine.com/, is no longer accessible.)

No US registered securities firm with this name.

Madison Avenue Mergers & Acquisitions
867 Madison Avenue
New York, NY 17404
Phone: 212-359-1682
Website: http://madison-avema.com/

No US registered securities firm with this name.

Maitland Bell & Co.
2201 E. Camelback Rd.
Phoenix, AZ 85016
Phone: 602-926-1314
Fax: 602-926-1315

No US registered securities firm with this name.

Manhasset Capital Management Group
150 East 58th Street, Floor 20
New York, NY 10022
Phone: 646-500-8691
Fax: 646-304-2831
Website: http://manhassetcmg.com

No US registered securities firm with this name.
Manhasset Capital Management Group is impersonating a formerly registered investment adviser firm with a similar name – Manhasset Capital Management, LLC (CRD Number: 138739; SEC Number: 801-65748), which had the following mailing address: 6 Pheasant Way, 20th Floor, Manalapan, NJ 07726. The impersonator has NO connection with, and is not to be confused with, the former genuine Manhasset Capital Management, LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Manhasset Capital Management, LLC had its registration with the SEC terminated on December 10, 2008 and is defunct.

Manhattan Acquisition Corp.
126 East 56th Street, 29th Floor
New York, NY 10022
Phone: 212-461-4892
Website: http://manhattanacquisitioncorp.com/

No US registered securities firm with this name.
Manhattan Acquisition Corp. is impersonating a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Manhattan Acquisition Corp., a Schedule 13D (“beneficial ownership report”) filer (CIK Number: 0001128718) and Delaware corporation formed by BRS L.P. for the sole purpose of effecting the proposed transactions of merging with and into a single other company, as described in its filing of November 27, 2000 and amended filing of January 18, 2001. The SEC’s EDGAR database contains information for the genuine entity.

Manning Capital Inc.
384-386 Greenwich St.
New York, NY 10013
Phone: 866-221-4081
Fax: 914-462-3529
Website: http://www.manningcap.us/

No US registered securities firm with this name.

Mannix M&A
402 W Broadway
San Diego, CA 92101
Phone: 619-331-9554
Fax: 619-331-9555
Website: http://www.mannixma.com/

No US registered securities firm with this name.
Investor solicitations employ “Securities Litigation Committee,” an entity which is believed to be fictitious.

Marcus & Company Inc.
174 Pearl Street, 47th Floor
New York, NY 10005
Phone: 646-386-2461
Website: http://marcusandcomp.com/
(The website is no longer accessible.)

No US registered securities firm with this name.

Marshall Security & Transfer Inc.
14th floor, 50 Broad Street
New York, NY 10004

No US registered securities firm with this name.

Mathisen Financial
1 State Street
New York, NY 10004
Phone: 718-337-8931
Fax: 718-425-0379
Website: http://mathisenfinancial.com/

No US registered securities firm with this name.

MBC Finance Group
307 Broadway
New York, NY 10048
Phone: 646-918-5135
Fax: 646-514-4337
http://mbcfinancegroup.com/

No US registered securities firm with this name.

McCarthy & Bennett M&A
1645 Court Place
Denver, CO 80202
Phone: 303-353-0762
Fax: 303-353-0763
Website: http://www.mccarthyma.com/

No US registered securities firm with this name.

Mclintock Greer
117 West 57th Street
New York, NY 10019
Phone: 646-452-9376
Fax: 646-452-9376
Website: http://mclintockgreer.com/

No US registered securities firm with this name.

McMillan Consulting
575 Lexington Avenue
New York, NY 10022
Phone: 212-461-7128
Fax: 212-504-0870
Website: http://www.mcmillanconsult.com/

No US registered securities firm with this name.

Melrose & Greystone
255 West 36th Street
New York, NY 10018-7555
Phone: 212-655-5806
Fax: 718-732-2989
Website: http://www.melroseandgreystone.com/

No US registered securities firm with this name.

Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com

No US registered securities firm with this name.
Metcap Securities is impersonating a genuine broker-dealer firm with a similar name – Metcap Securities, LLC (CRD Number: 30418; SEC Number: 8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC’s EDGAR database contains registration information for the genuine entity.

Miller & Parker Consulting Group
750 Third Avenue
12th Floor East 46th Street
Corner to East 47th
New York, NY
Phone: 646-502-8241
Fax: 646-786-4831
Website: http://www.millerparkergroup.com/

No US registered securities firm with this name.

Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513

No US registered securities firm with this name.

Minor Group Incorporated
15 E 57th Street
New York, NY 10022
Phone: 212-359-1620
Fax: 212-372-7406
Website: http://www.minorgroupinc.com/

No US registered securities firm with this name.

MIT Associates Incorporated
One Liberty Plaza
Columbia Center
701 Fifth Avenue
Seattle, WA 98104
Phone: 206-337-4561
Fax: 206-424-4720
Website: http://mitassociates.org/

MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
The impersonator has NO connection with, and is not to be confused with, the genuine entity MIT Associates, LLC d/b/a Liability Solutions (CRD Number: 121171; SEC Number: 8-65386), which has the following mailing address: One Landmark Square, Suite 620, Stamford, CT 06901. The SEC’s EDGAR database contains registration information for the genuine entity.

Morgan Investment Management
12520 High Bluff Drive
San Diego, CA 92130
Phone: 858-408-3203
Fax: 858-430-3823
Website: http://morganim.com/

No US registered securities firm with this name.
Morgan Investment Management is impersonating a genuine broker-dealer firm with a similar name – Morgan Investment Management, Inc. (CRD Number: 45487; SEC Number: 8-51049), which has the following mailing address: 12520 High Bluff Drive, Suite 360, San Diego, CA 92130-2041. The impersonator has NO connection with, and is not to be confused with, the genuine Morgan Investment Management, Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

Morisson & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
One Liberty Plaza, Suite 3620
165 Broadway
New York, NY 1006 (sic)
Phone: 646-810-8672
Fax: 646-383-9317
Website: http://www.morrisonassociates.us/

No US registered securities firm with this name.

Morisson Ventures Inc.
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1847
Fax: 718-732-2096
Website: http://morissonventures.com/ (Not accessible)

No US registered securities firm with this name.

NBI Energy
1370 Avenue of Americas, 24th Floor
New York, NY 10019
Phone: 646-652-6222
Fax: 646-861-4617
Website: http://www.nbienergy.com/ (The website is no longer accessible.)

No US registered securities firm with this name.
NBI Energy is impersonating a genuine entity with a similar name at the same address – NBI Energy Fund LP, a Regulation D exempt filer (SEC file no. 021-89655, received 05-04-06). The impersonator has NO connection with, and is not to be confused with, the genuine NBI Energy Fund LP. The SEC’s EDGAR database contains registration information for the genuine entity.

NT Financial Services
808 Broadway, #11
New York, NY 10003
Phone: 212-247-1708
Fax: 212-937-3669
Website: http://www.ntfinancialservices.net/ (The domain is suspended.)

No US registered securities firm with this name.

Nevada Transfer Agent
Reno, NV
Phone: 866-920-0792
Fax: 646-478-9207
Website: http://www.nevadatransferagent.com/

No US registered securities firm with this name.

New Alliance Securities, Inc.
(No address provided.)
Phone: 646-360-1715
Fax: 646-224-9826
Website: http://www.newalliancesecurities.com/

No US registered securities firm with this name.
New Alliance Securities, Inc. may be impersonating a formerly registered broker-dealer firm named New Alliance Securities, Inc. (CRD Number: 10212; SEC Number: 8-26767), which had the following mailing address: 3030 Bridgeway, Suite 330, Sausalito, CA 94965. The genuine New Alliance Securities, Inc. was expelled from FINRA on May 2, 1986 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

New York Finance Company
405 Lexington Avenue
Chrysler Building
New York, NY 10174
Website: http://newyorkfinanceco.com/

No US registered securities firm with this name.

New York Global Group, Inc.
14 Wall Street, Suite 1225
New York, NY 10005
Phone: 646-381-1596
Fax: 646-390-8637
Website: http://newyorkggi.com/

No US registered securities firm with this name.
New York Global Group, Inc. is impersonating a genuine entity with the same name but different address – New York Global Group, Inc., a Regulation D exempt filer (SEC file no. 021-79407, received 07-20-07), which has the following mailing address: 40 Wall Street, 38th Floor, New York, NY 10005. The impersonator has NO connection with, and is not to be confused with, the genuine New York Global Group, Inc. The SEC’s EDGAR database contains registration information for an offering made by the genuine entity that was not completed.

Norsk Financial
402 W. Broadway, Suite 300
San Diego, CA 92101
Phone: 619-342-0176
Fax: 619-923-2975
Website: http://www.norskfinancial.com/

No US registered securities firm with this name.

North Pacific Mergers & Acquisitions
1511 6th Avenue Suite 211
Seattle, WA 98101
Phone: 206-451-5155
Fax: 206-338-7140
Website: http://www.northpacificmergers.com/

No US registered securities firm with this name.

Northern Alliance Group
56 6th St E
Saint Paul, MN 55101
Phone: 651-212-7093
Fax: 651-212-7094
Website: http://www.nalliance-group.com/

No US registered securities firm with this name.
Investor solicitations employ “International Securities Validation Division,” an entity which is believed to be fictitious.

NorthPoint M&A Advisors
NorthPoint M&A Advisors LLC
1522E Perkins Ave., Suite D
Sandusky OH, 44870
Phone: 419-464-9054
Fax: 419-821-9392
Website: http://northpointma.com/

No US registered securities firm with this name.

Northwest Mergers and Acquisitions, Inc.
210 SW Morrisson, Suite 601
Portland, OR 97204
Phone: 503-298-4850
Fax: 503-961-8527
Website: http://www.northwestmanda.com/

No US registered securities firm with this name.

Nortia Account Management
Suite 610, One Park Plaza
Irvine, CA 92614
Phone: 949-666-5396
Fax: 949-666-5426
Website: http://www.nortiaam.com/

No US registered securities firm with this name.

NY Finance Ltd.
307 7th Avenue, Suite 306
New York, NY 11215
Phone: 212-247-1721
Fax: 212-656-1877
Website: http://www.nyfinanceltd.com (resolves to: http://wpress.nyfinanceltd.com/)

No US registered securities firm with this name.

O’Coone, McCormack & Button Ltd.
138 Lexington Avenue
New York, NY 10016
Phone: 646-360-1721
Fax: 646-861-4609
Website: http://www.ocmbuttonltd.com/

No US registered securities firm with this name.
O’Coone, McCormack & Button Ltd. is impersonating a formerly registered broker-dealer firm named OCM Distributors, Inc. (CRD Number: 23204; SEC Number: 8-40276). The genuine OCM Distributors, Inc. had its registration with FINRA terminated on December 9, 1992 and is defunct.

Obrien & Shepard Inc.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)

No US registered securities firm with this name.
Obrien & Shepard Inc. is impersonating a genuine broker-dealer firm with a similar name – O’Brien & Shepard, Inc. (CRD Number: 7152; SEC Number: 8-19348), which has the following mailing address: 75 Montgomery Street, Suite 602, Jersey City, NJ 07302. The impersonator has NO connection with, and is not to be confused with, the genuine O’Brien & Shepard, Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

PDH Transfers LLC
48 Wall Street, 11th Floor
New York, NY 10005
Phone: 212-901-5211, 800-796-7437
Fax: 917-677-8252
Website: http://www.pdhtrans.com

No US registered securities firm with this name.

Pacific American Securities
9191 Town Centre Drive, Suite 406
San Diego, CA 92122
Phone: 213-325-3256
Fax: 213-652-1447
Website: http://www.pacificamericans.net

No US registered securities firm with this name.
Pacific American Securities is impersonating a genuine broker-dealer and state-registered investment adviser firm with a similar name – Pacific American Securities, LLC (CRD Number: 42999; SEC Number: 8-50093 [for the broker-dealer]), which has the following mailing address: 9191 Towne Centre Drive, Suite 406, San Diego, CA 92122. The impersonator has NO connection with, and is not to be confused with, the genuine Pacific American Securities, LLC. The SEC’s EDGAR database contains registration information for the genuine broker-dealer entity. WEBCRD (Central Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA)]) and WebIARD (Investment Adviser Registration Depository [operated by FINRA on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) also contain registration information for the genuine state-registered investment adviser firm, Pacific American Securities, LLC.

Paragon Capital Group, Inc.
450 Park Avenue, Suite 2512
New York, NY 10022
Phone: 347-329-3096
Fax: 347-402-0226
Website: http://www.paragoncapitalgrp.com/

No US registered securities firm with this name.
Paragon Capital Group, Inc is impersonating a genuine entity with a similar name – Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number: 8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC’s EDGAR database contains registration information for the genuine entity.
The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, http://www.paragoncapitalonline.com. The SEC’s EDGAR database contains registration information for the genuine entity.
The impersonator claims to be commissioned by the “Federal Depository Commission.” This is a fictitious entity.

Peter Hamilton Law Firm & Consultancy
2219 8th Avenue
Seattle, WA 98121
Phone: NYC 646-416-9031
Fax: 646-224-9569
Website: http://peterhamiltonconsultancy.com/

No US registered securities firm with this name.

Pinicle Registry
163 Third Avenue, Suite 184
New York, NY 10004
Phone: 917-470-9153
Fax: 678-693-7467
Website: http://pinicleregistry.com/

No US registered securities firm with this name.

Platinum Group International
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-727-4436
Fax: 718-732-2350
Website: http://www.platinumgi.com/

No US registered securities firm with this name.

Pointe Atlantic
1431 S. Howard Avenue
Tampa, FL
Phone: 813-434-4297 and 813-387-3305
Website: http://www.pointe-atlantic.com

No US registered securities firm with this name.
Pointe Atlantic is impersonating a formerly registered broker-dealer firm with the same name – Pointe Atlantic, Inc. (CRD Number: 46599; SEC Number: 8-51486). The genuine Pointe Atlantic, Inc. last filed with FINRA on July 22, 1999 and is defunct.
The impersonator is also soliciting under the name Schnell and Company using the clone website schnellcompany.com.

Premier Consultancy Group (PCG)
1210 Commerce Street, Suite 408
Dallas, TX 75202
Phone: 214-453-1444
Fax: 214-602-1969
Website: http://www.premierconsultancygroup.com/

No US registered securities firm with this name.

Prime Group of Companies
125 Westchester Ave.
White Plains, NY 10601
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://www.primegroupofcompanies.com/

No US registered securities firm with this name.

Prime Solutions, Inc.
100 West 57th Street
New York, NY
Phone: 646-810-3935 Fax: 646-224-4191
Fax: 646-365-3422 (from website)
Website: http://primesolutions.us/

No US registered securities firm with this name.

Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com/

1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name – Progress Investments LLC (CRD Number: 139981; SEC Number: 8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC’s EDGAR database contains registration information for the genuine entity.

Qatalyst Partners, L.P.
155 Hamilton Place
New York, NY 10031
Phone: 646-843-6975
Fax: 646-924-3948
Website: http://www.qatalystpartnerslp.com/

No US registered securities firm with this name.
The impersonator Qatalyst Partners, L.P. has NO connection with, and is not to be confused with, the genuine broker-dealer firm with the same name – Qatalyst Partners LP (CRD Number: 147251; SEC Number: 8-67887), which has the following mailing address: Three Embarcadero Center, Sixth Floor, San Francisco, CA 94111. The SEC’s EDGAR database contains registration information for the genuine entity.

Quantum Global Equities Inc.
19th Street NW
Washington, DC 20036
Phone: 202-391-0955
Website: http://quantumglobalequitiesinc.com/

No US registered securities firm with this name.

Quantum Partners International
Manhattan Business Center, 23rd Floor
410 Park Avenue
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://www.quantumpartnersintl.com/

No US registered securities firm with this name.

Quantum Reliance Group
12450 East Imperial Highway, Suite 140
Norwalk, CA 90650
Phone: 562-645-5529
Website: http://qrgonline.com/

No US registered securities firm with this name.

Rayburn Watson & Associates
601 Union Street, Floor 15
Seattle, WA 98101
Phone: 206-445-0530
Website: http://rayburnwatson.com/

No US registered securities firm with this name.

Ridley Steed & Cabot
Two Liberty Place
2312/1601 Chestnut Street
Philadelphia, PA 19102
Phone: 215-554-6122
Fax: 267-535-2865
Website: http://rsc-global.com/

No US registered securities firm with this name.

Robbins, McCaully, Appleby LLC
100 North Stone Avenue, Suite 402
Tucson, AZ 85701
Phone: 520-979-3454
Fax: 520-979-3453
Website: http://rmappleby.com/
No US registered securities firm with this name.
Claims to work with, or makes other reference in its solicitations to,
Apex Stock Transfer Inc, an impersonator of a former genuine entity having the same name.

Robertson Ellis
P.O. Box 44011
Seattle, WA 98381
Phone: 206-202-0698
Fax: 206-309-4424
Website: http://robertsonellis.com/
No US registered securities firm with this name.

Robinson Hurst M&A
185 Park Ave,
San Jose, CA 95113
Phone: 408-889-4373
Fax: 408-889-4374
Website: http://www.robinsonhurst.com/
No US registered securities firm with this name.

Rose & Cranfield
100 Park Avenue
New York, NY 10016
Website: http://www.rose-cranfield.com/ (Website page under maintenance)
No US registered securities firm with this name.

Rothman Securities
Parkwood Building, Suite 201
Street Road
Southampton, PA
http://rothmanoffshore.com/

SB Registry
200 S Virginia Street
Reno, NV 89501
Phone: 702-789-0461
Fax: 415-449-9792
Website: http://sbregistry.com and
http://www.rsbta.com/ (Access Forbidden)
No US registered securities firm with this name.

SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
2880 Lakeside Drive
Santa Clara, CA 95054
Phone: 909-634-2116
Website: http://sbvlaw.org/

Salvora Invest and Trade, Inc.
3500 South DuPont Highway
Dover, DE
No US registered securities firm with this name.

Schiller Gates, Inc.
1695 Broadway
New York, NY 10018-5009
Phone: 646-912-6185
Fax: 646-861-4847
Website: http://schiller-gates.com/
No US registered securities firm with this name.

Schwartz Leiberman Associates
P.O. Box 16425
Seattle, WA 97271
Phone: 206-350-4019 (from soliciting documents)
Fax: 206-299-9239
Phone: 206-202-6202 (from website)
Fax: 206-339-4812
Website: http://www.schwartzleiberman.com/
No US registered securities firm with this name.

Seago South Mergers & Acquisitions, LLP
One Harbour Place
1901 S Harbor City Blvd.
Melbourne, FL 32901
Phone: 321-473-6953
Fax: 321-238-2700
Website: http://www.seagosouth.com/
No US registered securities firm with this name.

Seale Capital Inc.
950 N. Glebe Road, Suite 950
Arlington, VA 22203
Website: http://sealecapitalinc.com/

Select American Transfer Co.
118 Finch Avenue West, Suite B11
Toronto, ON M2N 2H7
Phone: 416-907-6545
Fax: 905-963-7879
Website: http://selectatc.com/

Seward, Groves, Richard and Wells
479 State Highway No.17
Mahwah, NJ 07430
Phone: 646-257-4052
Fax: 646-500-8649
Website: http://www.sgrw-inc.com and http://www.sgrw-llc.com
(The websites are no longer accessible.)

Sharp Courage Global
255 West 36th Street
New York, NY 10018
Phone: 646-666-6086
Website: http://sharpcourageglobal.com/
No US registered securities firm with this name.

Shearer Sampson & Associates
200 West Madison Street
P.O. Box 57680
Chicago, IL 60606
Phone: 312-462-4925
Fax: 312-462-4926
Website: http://shearersampson.com/
No US registered securities firm with this name.

Sidstone, Gray & Partners
1 Cedar Street at Pearl Street, Suite 42 NW
Corner 100 Maiden Lane
New York, NY 10038
Phone: 347-410-6231
Fax: 347-823-2444
Website: http://www.sidstonegray.com/
No US registered securities firm with this name.

Smith Kearney M&A
1780 Kettner Boulevard
San Diego, CA 92101
Phone: 619-331-9556
Fax: 619-331-9557
Website: http://www.smithma.com/
No US registered securities firm with this name.

Soloman Mckinley Associates
P.O. Box 62889
Seattle, WA 98381-1296
Phone: 206-202-5135
Fax: 206-376-1936
Website: http://www.solomanmckinley.com/
No US registered securities firm with this name.

Sony Global Asset Management, Ltd.
24 Washington Avenue, Suite 805A
Albany, NY 12210-2822
Phone: 213-250-2610
Website: http://www.sonygloba.com/

Southampton Investment Services Inc.
33 Whitehall Street
New York, New York
Website: http://www.southamptoninternational.com/

Sovereign Marketing
10 G Street NE
Washington, DC 20002
Phone: 202-580-8136
No US registered securities firm with this name.

Sovereign Pacific Inc.
1440 Broadway, 22nd Floor
New York, NY 10018
Phone: 646-912-6203
Fax: 646-607-4654
Website: http://www.sovereignpacinc.com/ (no longer online)
No US registered securities firm with this name.

Spartan Capital Asset Management
412 Park Avenue, 18th Floor
New York, NY 10022
Phone: 646-861-7887
Fax: 646-224-4890
Website: http://spartancam.com/
No US registered securities firm with this name.

Standard Hokori Group
64-76 Liberty Street, 12th Floor
New York, NY
Phone: 917-932-2021
Website: http://www.standardhokori.com/
No US registered securities firm with this name.

Stanley Capital Group Mergers and Acquisitions
1221 Avenue of the Americas
New York, NY 10020
Phone: 212-372-7388
Fax: 212-202-5220
Website: http://stanleycapitalgroup.com/

J. Rowan Associates
230 Peachtree St.
NW Atlanta, GA 30303
Phone: 678-954-0520
Fax: 678 954 0521

No US registered securities firm with this name.

JD Trading
1300 Connecticut Avenue NW
Suite 2010-2011
Washington, DC 20036
Phone: 202-403-3107
Fax: 202-403-3107
Website: http://www.jdtrading.us/

No US registered securities firm with this name.

Jackson Bernstein Associates
P.O. Box 39762
Seattle, WA 97126-1428
Phone: 206-337-1929
Fax: 206-203-0357
Website: http://www.jacksonbernstein.com/

No US registered securities firm with this name.

Jacob Stuart & Knight Inc.
255 West 36th Street, Suite 700
New York, NY 10018
Phone: 347-284-6232
Fax: 347-649-2097
Website: http://www.jstuart-knight.com/

No US registered securities firm with this name.

Jacobson Group
357 West 58th Street
New York, NY 10019
Phone: 646-248-7952
Fax: 646-924-3154
Website: http://www.jacobsongroup.net/

No US registered securities firm with this name.

Janco Lazard Transfer Company
30 Rockefeller Plaza, 57th Floor
New York, NY 10112-6300
Phone: 212-389-7918
Website: http://jancolazardtransfer.com/

No US registered securities firm with this name.

Jefferson Clark Associates
PO Box 58389
Seattle, WA 98138-1386
Phone: 206-973-7179
Fax: 206-984-4342
Website: http://www.jeffersonclark.com/

No US registered securities firm with this name.

JSM Financial
One Liberty Plaza
165 Broadway, Suite 3625
New York, NY 1006
Phone: 646-918-5152
Fax: 646-786-4918
Website: http://jsmfinancial.com/

No US registered securities firm with this name.
This soliciting entity’s website has the same contact details as Financial Soultions’ (sic).

Kennedy, Anderson & Lang
60 E. 42nd St., Suite 1516
New York, NY 10165
Phone: 646-290-8536
Fax: 646-290-8922
Website (now offline): http://kal-ny.com/

No US registered securities firm with this name.

Kensington Advisory & Investment Group
350 Fifth Avenue, Suite 5620
New York, NY 10118
Phone: 646-328-5070
Fax: 646-224-8433
Website: http://kensingtonaig.com/

No US registered securities firm with this name.
Kensington Advisory & Investment Group is impersonating a formerly registered broker-dealer firm named Kensington Advisory and Investment Group LLC (CRD Number: 47739; SEC Number: 8-51888). The genuine Kensington Advisory and Investment Group LLC had its registration with the SEC terminated on February 18, 2003 and is defunct.

Keswick Group
154 Exchange Boulevard, Suite 108
Rochester, NY 14614-2108
Phone: 585-935-5205
Fax: 585-935-5206
Website: http://keswickgrp.com/ (according to its Internet service provider, this domain name expired on November 11, 2010)

No US registered securities firm with this name.

Kipling Mercer & Co. LLC
1410 Fourth Avenue
Seattle, WA 98101
Phone: 206-508-2258
Website: http://www.kiplingmercer.com/

No US registered securities firm with this name.

Kirkland Gray Acquisitions
500 North Michigan Avenue
Chicago, IL 60611
Phone: 312-379-5982
Fax: 312-827-9582
Website: http://www.kirklandgray.com/

No US registered securities firm with this name.

Kobe Asset Management
One Oxford Centre, 301 Grant Street, Suite 2100
Pittsburgh, PA 15219
Phone: 412-235-0107
Fax: 412-202-0736

No US registered securities firm with this name.

Kravitz Roth, Ltd.
347 N. Rodeo Drive
Beverly Hills, CA 90210
Phone: 366-317-6621
Fax: 267-851-5959
Website: http://www.kravitzroth.com/ (domain expired 4/16/08)

No US registered securities firm with this name.

Krust Global Financials
209 East 65th Street
New York, NY 10065-4451
Phone: 315-604-3864
Fax: 646-619-4732.
Website: http://www.krustglobalfinancials.com/

No US registered securities firm with this name.

Lambert McMillan Corporation
80 S 8th Street
Ids Center & Crystal Court Building, 8th Floor Minneapolis, MN 55402
Phone: 612-246-4553
Fax: 612-465-2241
Website: http://www.lambertmcmillan.com/

No US registered securities firm with this name.

Landmark M&A, Inc.
445 Park Avenue
New York, NY 10022
Phone: 646-530-8783
Fax: 646-417-7996

No US registered securities firm with this name.

Legal Management Consultants
1285 Avenue of the Americas, Suite 219
New York, NY 10019
Phone: 239-240-4433
Fax: 646-588-0345
Website: http://www.stocksfraud.info/

No US registered securities firm with this name.

Legal Recovery Consultants
206 NW 2nd Ave, Suite 933
Miami, FL 33130
Phone: 305-420-5667
Fax: 954-827-0503
Website: http://www.legalrecoveryconsultants.com/

No US registered securities firm with this name.

Legg and Berman Acquisitions Management
The Mercantile Exchange
30 South Wacker Drive, 22/F Suite 228-230
Chicago, IL 60611
Phone: 312-416-0890
Fax: 312-279-1279
Website: http://leggandberman.com/

No US registered securities firm with this name.

Liberty Transfer Co.
Washington, DC 20004
Phone: 202-459-0977
Website: http://www.liberty-transfer.net/

No US registered securities firm with this name.
Liberty Transfer Co. may be impersonating a former genuine transfer agent firm having the same name – Liberty Transfer Co. (CIK Number: 0000912887; SEC Number: 084-05474), which had the following mailing address: 191 New York Avenue, Huntington, NY 11743. The impersonator has NO connection with, and is not to be confused with, the former genuine Liberty Transfer Co. The legitimate Liberty Transfer Co. last filed with the SEC on January 8, 2007, had its registration cancelled by the SEC on March 21, 2011, and is defunct.

Lincoln & Rutherford Trust Management
118 East Main Street
Newark, DE 19702
Also: P.O. Box 1059
Phone: 302-565-4174
Fax: 302-861-3764
Website: http://lincolnrutherford.com/

No US registered securities firm with this name.

Lincoln Trust Transfer Agency LLC
9727 Highway 12W
Rochester, WA 98579
Phone: 360-347-1251
Fax: 360-234-5155
Website: http://www.lincolntrustta.com/

No US registered securities firm with this name.

Lindenberg Asset Management
One Market Street, Spear Tower, 33th Floor
San Francisco, CA 94105
Phone: 415-373-5248
Fax: 415-276-6023

No US registered securities firm with this name.

Litmus Capital Management Group LLC
1325 Avenue of the Americas
New York, NY 10019-6026
Phone: 646-351-8638
Fax: 646-403-4600
Website: http://litmuscmg.com/

No US registered securities firm with this name.
Litmus Capital Management Group LLC is impersonating a formerly registered investment adviser firm with a similar name – Litmus Capital Management LLC (CRD Number: 138130; SEC Number: 801-65501), which had the following mailing address: 1325 Avenue of the Americas, 28th Floor, New York, NY 10019. The impersonator has NO connection with, and is not to be confused with, the former genuine Litmus Capital Management LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Litmus Capital Management LLC, which had its registration with the SEC terminated on December 11, 2008 and is defunct as an investment adviser firm, now operates as a hedge fund. The SEC’s EDGAR database contains filing information for offerings made in connection with this entity.

Livingston Mergers & Acquisitions
110 West C Street, Suite 1150
San Diego, CA 92101
Phone: 619-819-0721
Fax: 619-923-3342
Website: http://www.livingstonma.com/

No US registered securities firm with this name.
Investor solicitations employ “Central Equities Administrators,” an entity which is believed to be fictitious.

Lloyd Brown Investments, Inc.
Hancock Center
875 N. Michigan Ave., Suite 3100
Chicago, IL 60611
Phone: 312-416-0876
Fax: 312-416-0877

No US registered securities firm with this name.

Lloyds & Lambert Capital Ventures Inc.
84 Chambers Street, 57th Floor
New York, NY 10007
Phone: 347-821-5339
Fax: 917-591-8609
Website: http://lloyds-lambert.com/

No US registered securities firm with this name.

Lloyd Morgan Company
44 Wall Street
New York, NY 10005
Phone: 212-461-7118
Fax: 212-461-2223
Website: http://llomor.com/
(The website is not accessible.)

No US registered securities firm with this name.

Lombard Grand Financials
53 5th Avenue, #600
New York, NY 10017
Phone: 646-558-0087
Fax: 646-365-3322
Website: http://lombardgrandfinancials.com/

No US registered securities firm with this name.

Lynx Mackenzie, Inc.
415 Madison Avenue
New York, NY 10017
Phone: 646-912-6187
Fax: 646-786-4954
Website: http://www.lynxmackenzie.com/

No US registered securities firm with this name.

Madden Group Inc. (MGI)
Rand Building
14 Lafayette Square, Suite 1408
Buffalo, NY 14203
Phone: 716-829-7233
Fax: 716-706-1442
Website: http://www.maddengroupinc.com/

No US registered securities firm with this name.

Macallaster Pitfield Mackay Inc.
30 Broad Street
New York, NY 10004
Phone: 716-676-1121
Fax: 716-200-1693
Website: http://www.malpminc.com/ (The website is no longer accessible.)

Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name – Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number: 8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

Maddisson Jardine Associates
P.O. Box 41953
Seattle, WA 98381
Phone: 206-337-1585
Fax: 206-337-5388
Website: http://www.maddissonjardinegroup.com/ (A former website used by this entity, http://www.maddissonjardine.com/, is no longer accessible.)

No US registered securities firm with this name.

Madison Avenue Mergers & Acquisitions
867 Madison Avenue
New York, NY 17404
Phone: 212-359-1682
Website: http://madison-avema.com/

No US registered securities firm with this name.

Maitland Bell & Co.
2201 E. Camelback Rd.
Phoenix, AZ 85016
Phone: 602-926-1314
Fax: 602-926-1315

No US registered securities firm with this name.

Manhasset Capital Management Group
150 East 58th Street, Floor 20
New York, NY 10022
Phone: 646-500-8691
Fax: 646-304-2831
Website: http://manhassetcmg.com

No US registered securities firm with this name.
Manhasset Capital Management Group is impersonating a formerly registered investment adviser firm with a similar name – Manhasset Capital Management, LLC (CRD Number: 138739; SEC Number: 801-65748), which had the following mailing address: 6 Pheasant Way, 20th Floor, Manalapan, NJ 07726. The impersonator has NO connection with, and is not to be confused with, the former genuine Manhasset Capital Management, LLC. WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity. The genuine Manhasset Capital Management, LLC had its registration with the SEC terminated on December 10, 2008 and is defunct.

Manhattan Acquisition Corp.
126 East 56th Street, 29th Floor
New York, NY 10022
Phone: 212-461-4892
Website: http://manhattanacquisitioncorp.com/

No US registered securities firm with this name.
Manhattan Acquisition Corp. is impersonating a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Manhattan Acquisition Corp., a Schedule 13D (“beneficial ownership report”) filer (CIK Number: 0001128718) and Delaware corporation formed by BRS L.P. for the sole purpose of effecting the proposed transactions of merging with and into a single other company, as described in its filing of November 27, 2000 and amended filing of January 18, 2001. The SEC’s EDGAR database contains information for the genuine entity.

Manning Capital Inc.
384-386 Greenwich St.
New York, NY 10013
Phone: 866-221-4081
Fax: 914-462-3529
Website: http://www.manningcap.us/

No US registered securities firm with this name.

Mannix M&A
402 W Broadway
San Diego, CA 92101
Phone: 619-331-9554
Fax: 619-331-9555
Website: http://www.mannixma.com/

No US registered securities firm with this name.
Investor solicitations employ “Securities Litigation Committee,” an entity which is believed to be fictitious.

Marcus & Company Inc.
174 Pearl Street, 47th Floor
New York, NY 10005
Phone: 646-386-2461
Website: http://marcusandcomp.com/
(The website is no longer accessible.)

No US registered securities firm with this name.

Marshall Security & Transfer Inc.
14th floor, 50 Broad Street
New York, NY 10004

No US registered securities firm with this name.

Mathisen Financial
1 State Street
New York, NY 10004
Phone: 718-337-8931
Fax: 718-425-0379
Website: http://mathisenfinancial.com/

No US registered securities firm with this name.

MBC Finance Group
307 Broadway
New York, NY 10048
Phone: 646-918-5135
Fax: 646-514-4337
http://mbcfinancegroup.com/

No US registered securities firm with this name.

McCarthy & Bennett M&A
1645 Court Place
Denver, CO 80202
Phone: 303-353-0762
Fax: 303-353-0763
Website: http://www.mccarthyma.com/

No US registered securities firm with this name.

Mclintock Greer
117 West 57th Street
New York, NY 10019
Phone: 646-452-9376
Fax: 646-452-9376
Website: http://mclintockgreer.com/

No US registered securities firm with this name.

McMillan Consulting
575 Lexington Avenue
New York, NY 10022
Phone: 212-461-7128
Fax: 212-504-0870
Website: http://www.mcmillanconsult.com/

No US registered securities firm with this name.

Melrose & Greystone
255 West 36th Street
New York, NY 10018-7555
Phone: 212-655-5806
Fax: 718-732-2989
Website: http://www.melroseandgreystone.com/

No US registered securities firm with this name.

Metcap Securities
405 Lexington Avenue, 39th Floor
New York, NY 10174
Phone: 716-676-1121 (documents), 646-701-7095 (website)
Fax: 716-200-1693
Website: http://www.metcapsecurities.com

No US registered securities firm with this name.
Metcap Securities is impersonating a genuine broker-dealer firm with a similar name – Metcap Securities, LLC (CRD Number: 30418; SEC Number: 8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC’s EDGAR database contains registration information for the genuine entity.

Miller & Parker Consulting Group
750 Third Avenue
12th Floor East 46th Street
Corner to East 47th
New York, NY
Phone: 646-502-8241
Fax: 646-786-4831
Website: http://www.millerparkergroup.com/

No US registered securities firm with this name.

Miller & Ross
Lexington Avenue, Manhattan-Midtown
Turtle Bay, NY 10107
Fax: 646-478-9513

No US registered securities firm with this name.

Minor Group Incorporated
15 E 57th Street
New York, NY 10022
Phone: 212-359-1620
Fax: 212-372-7406
Website: http://www.minorgroupinc.com/

No US registered securities firm with this name.

MIT Associates Incorporated
One Liberty Plaza
Columbia Center
701 Fifth Avenue
Seattle, WA 98104
Phone: 206-337-4561
Fax: 206-424-4720
Website: http://mitassociates.org/

MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.
The impersonator has NO connection with, and is not to be confused with, the genuine entity MIT Associates, LLC d/b/a Liability Solutions (CRD Number: 121171; SEC Number: 8-65386), which has the following mailing address: One Landmark Square, Suite 620, Stamford, CT 06901. The SEC’s EDGAR database contains registration information for the genuine entity.

Morgan Investment Management
12520 High Bluff Drive
San Diego, CA 92130
Phone: 858-408-3203
Fax: 858-430-3823
Website: http://morganim.com/

No US registered securities firm with this name.
Morgan Investment Management is impersonating a genuine broker-dealer firm with a similar name – Morgan Investment Management, Inc. (CRD Number: 45487; SEC Number: 8-51049), which has the following mailing address: 12520 High Bluff Drive, Suite 360, San Diego, CA 92130-2041. The impersonator has NO connection with, and is not to be confused with, the genuine Morgan Investment Management, Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

Morisson & Associates a.k.a. Morisson & Associates Law Firm & Consultancy
One Liberty Plaza, Suite 3620
165 Broadway
New York, NY 1006 (sic)
Phone: 646-810-8672
Fax: 646-383-9317
Website: http://www.morrisonassociates.us/

No US registered securities firm with this name.

Morisson Ventures Inc.
2101 Wall Street Center
14 Wall Street
New York, NY 10005
Phone: 212-461-1847
Fax: 718-732-2096
Website: http://morissonventures.com/ (Not accessible)

No US registered securities firm with this name.

NBI Energy
1370 Avenue of Americas, 24th Floor
New York, NY 10019
Phone: 646-652-6222
Fax: 646-861-4617
Website: http://www.nbienergy.com/ (The website is no longer accessible.)

No US registered securities firm with this name.
NBI Energy is impersonating a genuine entity with a similar name at the same address – NBI Energy Fund LP, a Regulation D exempt filer (SEC file no. 021-89655, received 05-04-06). The impersonator has NO connection with, and is not to be confused with, the genuine NBI Energy Fund LP. The SEC’s EDGAR database contains registration information for the genuine entity.

NT Financial Services
808 Broadway, #11
New York, NY 10003
Phone: 212-247-1708
Fax: 212-937-3669
Website: http://www.ntfinancialservices.net/ (The domain is suspended.)

No US registered securities firm with this name.

Nevada Transfer Agent
Reno, NV
Phone: 866-920-0792
Fax: 646-478-9207
Website: http://www.nevadatransferagent.com/

No US registered securities firm with this name.

New Alliance Securities, Inc.
(No address provided.)
Phone: 646-360-1715
Fax: 646-224-9826
Website: http://www.newalliancesecurities.com/

No US registered securities firm with this name.
New Alliance Securities, Inc. may be impersonating a formerly registered broker-dealer firm named New Alliance Securities, Inc. (CRD Number: 10212; SEC Number: 8-26767), which had the following mailing address: 3030 Bridgeway, Suite 330, Sausalito, CA 94965. The genuine New Alliance Securities, Inc. was expelled from FINRA on May 2, 1986 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

New York Finance Company
405 Lexington Avenue
Chrysler Building
New York, NY 10174
Website: http://newyorkfinanceco.com/

No US registered securities firm with this name.

New York Global Group, Inc.
14 Wall Street, Suite 1225
New York, NY 10005
Phone: 646-381-1596
Fax: 646-390-8637
Website: http://newyorkggi.com/

No US registered securities firm with this name.
New York Global Group, Inc. is impersonating a genuine entity with the same name but different address – New York Global Group, Inc., a Regulation D exempt filer (SEC file no. 021-79407, received 07-20-07), which has the following mailing address: 40 Wall Street, 38th Floor, New York, NY 10005. The impersonator has NO connection with, and is not to be confused with, the genuine New York Global Group, Inc. The SEC’s EDGAR database contains registration information for an offering made by the genuine entity that was not completed.

Norsk Financial
402 W. Broadway, Suite 300
San Diego, CA 92101
Phone: 619-342-0176
Fax: 619-923-2975
Website: http://www.norskfinancial.com/

No US registered securities firm with this name.

North Pacific Mergers & Acquisitions
1511 6th Avenue Suite 211
Seattle, WA 98101
Phone: 206-451-5155
Fax: 206-338-7140
Website: http://www.northpacificmergers.com/

No US registered securities firm with this name.

Northern Alliance Group
56 6th St E
Saint Paul, MN 55101
Phone: 651-212-7093
Fax: 651-212-7094
Website: http://www.nalliance-group.com/

No US registered securities firm with this name.
Investor solicitations employ “International Securities Validation Division,” an entity which is believed to be fictitious.

NorthPoint M&A Advisors
NorthPoint M&A Advisors LLC
1522E Perkins Ave., Suite D
Sandusky OH, 44870
Phone: 419-464-9054
Fax: 419-821-9392
Website: http://northpointma.com/

No US registered securities firm with this name.

Northwest Mergers and Acquisitions, Inc.
210 SW Morrisson, Suite 601
Portland, OR 97204
Phone: 503-298-4850
Fax: 503-961-8527
Website: http://www.northwestmanda.com/

No US registered securities firm with this name.

Nortia Account Management
Suite 610, One Park Plaza
Irvine, CA 92614
Phone: 949-666-5396
Fax: 949-666-5426
Website: http://www.nortiaam.com/

No US registered securities firm with this name.

NY Finance Ltd.
307 7th Avenue, Suite 306
New York, NY 11215
Phone: 212-247-1721
Fax: 212-656-1877
Website: http://www.nyfinanceltd.com (resolves to: http://wpress.nyfinanceltd.com/)

No US registered securities firm with this name.

O’Coone, McCormack & Button Ltd.
138 Lexington Avenue
New York, NY 10016
Phone: 646-360-1721
Fax: 646-861-4609
Website: http://www.ocmbuttonltd.com/

No US registered securities firm with this name.
O’Coone, McCormack & Button Ltd. is impersonating a formerly registered broker-dealer firm named OCM Distributors, Inc. (CRD Number: 23204; SEC Number: 8-40276). The genuine OCM Distributors, Inc. had its registration with FINRA terminated on December 9, 1992 and is defunct.

Obrien & Shepard Inc.
276 North Virginia Avenue,
Unit 803, 8th Floor
Atlantic City, NJ 08401
Phone: 914-214-5302
Fax: 914-462-3728
Website: http://obrienandshepard.com/ (The website is no longer accessible.)

No US registered securities firm with this name.
Obrien & Shepard Inc. is impersonating a genuine broker-dealer firm with a similar name – O’Brien & Shepard, Inc. (CRD Number: 7152; SEC Number: 8-19348), which has the following mailing address: 75 Montgomery Street, Suite 602, Jersey City, NJ 07302. The impersonator has NO connection with, and is not to be confused with, the genuine O’Brien & Shepard, Inc. The SEC’s EDGAR database contains registration information for the genuine entity.

PDH Transfers LLC
48 Wall Street, 11th Floor
New York, NY 10005
Phone: 212-901-5211, 800-796-7437
Fax: 917-677-8252
Website: http://www.pdhtrans.com

No US registered securities firm with this name.

Pacific American Securities
9191 Town Centre Drive, Suite 406
San Diego, CA 92122
Phone: 213-325-3256
Fax: 213-652-1447
Website: http://www.pacificamericans.net

No US registered securities firm with this name.
Pacific American Securities is impersonating a genuine broker-dealer and state-registered investment adviser firm with a similar name – Pacific American Securities, LLC (CRD Number: 42999; SEC Number: 8-50093 [for the broker-dealer]), which has the following mailing address: 9191 Towne Centre Drive, Suite 406, San Diego, CA 92122. The impersonator has NO connection with, and is not to be confused with, the genuine Pacific American Securities, LLC. The SEC’s EDGAR database contains registration information for the genuine broker-dealer entity. WEBCRD (Central Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA)]) and WebIARD (Investment Adviser Registration Depository [operated by FINRA on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) also contain registration information for the genuine state-registered investment adviser firm, Pacific American Securities, LLC.

Paragon Capital Group, Inc.
450 Park Avenue, Suite 2512
New York, NY 10022
Phone: 347-329-3096
Fax: 347-402-0226
Website: http://www.paragoncapitalgrp.com/

No US registered securities firm with this name.
Paragon Capital Group, Inc is impersonating a genuine entity with a similar name – Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number: 8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC’s EDGAR database contains registration information for the genuine entity.
The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, http://www.paragoncapitalonline.com. The SEC’s EDGAR database contains registration information for the genuine entity.
The impersonator claims to be commissioned by the “Federal Depository Commission.” This is a fictitious entity.

Peter Hamilton Law Firm & Consultancy
2219 8th Avenue
Seattle, WA 98121
Phone: NYC 646-416-9031
Fax: 646-224-9569
Website: http://peterhamiltonconsultancy.com/

No US registered securities firm with this name.

Pinicle Registry
163 Third Avenue, Suite 184
New York, NY 10004
Phone: 917-470-9153
Fax: 678-693-7467
Website: http://pinicleregistry.com/

No US registered securities firm with this name.

Platinum Group International
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-727-4436
Fax: 718-732-2350
Website: http://www.platinumgi.com/

No US registered securities firm with this name.

Pointe Atlantic
1431 S. Howard Avenue
Tampa, FL
Phone: 813-434-4297 and 813-387-3305
Website: http://www.pointe-atlantic.com

No US registered securities firm with this name.
Pointe Atlantic is impersonating a formerly registered broker-dealer firm with the same name – Pointe Atlantic, Inc. (CRD Number: 46599; SEC Number: 8-51486). The genuine Pointe Atlantic, Inc. last filed with FINRA on July 22, 1999 and is defunct.
The impersonator is also soliciting under the name Schnell and Company using the clone website schnellcompany.com.

Premier Consultancy Group (PCG)
1210 Commerce Street, Suite 408
Dallas, TX 75202
Phone: 214-453-1444
Fax: 214-602-1969
Website: http://www.premierconsultancygroup.com/

No US registered securities firm with this name.

Prime Group of Companies
125 Westchester Ave.
White Plains, NY 10601
Phone: 914-214-5308
Fax: 914-462-3435
Website: http://www.primegroupofcompanies.com/

No US registered securities firm with this name.

Prime Solutions, Inc.
100 West 57th Street
New York, NY
Phone: 646-810-3935 Fax: 646-224-4191
Fax: 646-365-3422 (from website)
Website: http://primesolutions.us/

No US registered securities firm with this name.

Progress Investments LLC
701 Brickell Avenue, Suite 2550
Miami, FL
Phone: 305-834-4053
Fax: 305-675-2497
Website: http://progress-investments.com/
1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name – Progress Investments LLC (CRD Number: 139981; SEC Number: 8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC’s EDGAR database contains registration information for the genuine entity.

Qatalyst Partners, L.P.
155 Hamilton Place
New York, NY 10031
Phone: 646-843-6975
Fax: 646-924-3948
Website: http://www.qatalystpartnerslp.com/
No US registered securities firm with this name.
The impersonator Qatalyst Partners, L.P. has NO connection with,
and is not to be confused with, the genuine broker-dealer firm with the same name – Qatalyst Partners LP (CRD Number: 147251; SEC Number: 8-67887), which has the following mailing address: Three Embarcadero Center, Sixth Floor, San Francisco, CA 94111. The SEC’s EDGAR database contains registration information for the genuine entity.

Quantum Global Equities Inc.
19th Street NW
Washington, DC 20036
Phone: 202-391-0955
Website: http://quantumglobalequitiesinc.com/
No US registered securities firm with this name.

Quantum Partners International
Manhattan Business Center, 23rd Floor
410 Park Avenue
New York, NY 10022
Phone: 800-644-3928
Fax: 917-832-1479
Website: http://www.quantumpartnersintl.com/
No US registered securities firm with this name.

Quantum Reliance Group
12450 East Imperial Highway, Suite 140
Norwalk, CA 90650
Phone: 562-645-5529
Website: http://qrgonline.com/
No US registered securities firm with this name.

Rayburn Watson & Associates
601 Union Street, Floor 15
Seattle, WA 98101
Phone: 206-445-0530
Website: http://rayburnwatson.com/
No US registered securities firm with this name.

Ridley Steed & Cabot
Two Liberty Place
2312/1601 Chestnut Street
Philadelphia, PA 19102
Phone: 215-554-6122
Fax: 267-535-2865
Website: http://rsc-global.com/
No US registered securities firm with this name.

Robbins, McCaully, Appleby LLC
100 North Stone Avenue, Suite 402
Tucson, AZ 85701
Phone: 520-979-3454
Fax: 520-979-3453
Website: http://rmappleby.com/
No US registered securities firm with this name.
Claims to work with, or makes other reference in its
solicitations to, Apex Stock Transfer Inc, an impersonator
of a former genuine entity having the same name.

Robertson Ellis
P.O. Box 44011
Seattle, WA 98381
Phone: 206-202-0698
Fax: 206-309-4424
Website: http://robertsonellis.com/
No US registered securities firm with this name.

Robinson Hurst M&A
185 Park Ave,
San Jose, CA 95113
Phone: 408-889-4373
Fax: 408-889-4374
Website: http://www.robinsonhurst.com/
No US registered securities firm with this name.

Rose & Cranfield
100 Park Avenue
New York, NY 10016
Website: http://www.rose-cranfield.com/ (Website page under maintenance)
No US registered securities firm with this name.

Rothman Securities
Parkwood Building, Suite 201
Street Road
Southampton, PA
http://rothmanoffshore.com/
No US registered securities firm with this name.
Rothman Securities is impersonating a genuine broker-dealer
firm with a similar name – Rothman Securities, Inc. (CRD Number: 13907; SEC Number: 8-30469),
which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966.
The impersonator has NO connection with, and is not to be confused with, the genuine
Rothman Securities, Inc. The SEC’s EDGAR database contains registration information
for the genuine entity

SB Registry
200 S Virginia Street
Reno, NV 89501
Phone: 702-789-0461
Fax: 415-449-9792
Website: http://sbregistry.com and http://www.rsbta.com/ (Access Forbidden)
No US registered securities firm with this name.

SBV Venture Partners, a.k.a. SBV Venture Partners Law Services
2880 Lakeside Drive
Santa Clara, CA 95054
Phone: 909-634-2116
Website: http://sbvlaw.org/
No US registered securities firm with this name.
SBV Venture Partners, a.k.a. SBV Venture Partners Law Services, i
s impersonating a genuine venture capital firm with a similar name – SBV Venture Partners,
which has the following mailing address: 454 Ruthven Avenue, Palo Alto, CA 94301. T
the impersonator has NO connection with, and is not to be confused with, the genuine SBV Venture Partners.

Salvora Invest and Trade, Inc.
3500 South DuPont Highway
Dover, DE
No US registered securities firm with this name.

Schiller Gates, Inc.
1695 Broadway
New York, NY 10018-5009
Phone: 646-912-6185
Fax: 646-861-4847
Website: http://schiller-gates.com/
No US registered securities firm with this name.

Schwartz Leiberman Associates
P.O. Box 16425
Seattle, WA 97271
Phone: 206-350-4019 (from soliciting documents)
Fax: 206-299-9239
Phone: 206-202-6202 (from website)
Fax: 206-339-4812
Website: http://www.schwartzleiberman.com/
No US registered securities firm with this name.

Seago South Mergers & Acquisitions, LLP
One Harbour Place
1901 S Harbor City Blvd.
Melbourne, FL 32901
Phone: 321-473-6953
Fax: 321-238-2700
Website: http://www.seagosouth.com/
No US registered securities firm with this name.

Seale Capital Inc.
950 N. Glebe Road, Suite 950
Arlington, VA 22203
Website: http://sealecapitalinc.com/
Seale Capital Inc. is impersonating a genuine broker-dealer firm with the same name
Seale Capital, Inc. (CRD Number: 148420; SEC Number: 8-68022), which has the following mailing address:
950 N. Glebe Road, Suite 950, Arlington, VA 22203.
The impersonator has NO connection with, and is not to be
confused with, the genuine Seale Capital, Inc.
The SEC’s EDGAR database contains registration
information for the genuine entity.

Select American Transfer Co.
118 Finch Avenue West, Suite B11
Toronto, ON M2N 2H7
Phone: 416-907-6545
Fax: 905-963-7879
Website: http://selectatc.com/
No US registered securities firm with this name.
Select American Transfer Co. is impersonating a former genuine entity
having the same name (CIK Number: 0001324472; SEC Number: 084-06152).
The legitimate Select American Transfer Co. last filed with the
SEC on September 5, 2006 and is defunct. Claims to work, or makes other
reference in its solicitations to, Madden Group, Inc., a purported
financial advisory services firm.

Seward, Groves, Richard and Wells
479 State Highway No.17
Mahwah, NJ 07430
Phone: 646-257-4052
Fax: 646-500-8649
Website: http://www.sgrw-inc.com and http://www.sgrw-llc.com
(The websites are no longer accessible.)
No US registered securities firm with this name.
Seward, Groves, Richard and Wells is impersonating a formerly registered broker-dealer with the same name – Seward, Groves, Richard & Wells, Inc. (CRD Number: 17963; SEC Number: 8-35871). The genuine Seward, Groves, Richard & Wells, Inc. had its registration with the SEC cancelled, effective August 27, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Sharp Courage Global
255 West 36th Street
New York, NY 10018
Phone: 646-666-6086
Website: http://sharpcourageglobal.com/
No US registered securities firm with this name.

Shearer Sampson & Associates
200 West Madison Street
P.O. Box 57680
Chicago, IL 60606
Phone: 312-462-4925
Fax: 312-462-4926
Website: http://shearersampson.com/
No US registered securities firm with this name.

Sidstone, Gray & Partners
1 Cedar Street at Pearl Street, Suite 42 NW
Corner 100 Maiden Lane
New York, NY 10038
Phone: 347-410-6231
Fax: 347-823-2444
Website: http://www.sidstonegray.com/
No US registered securities firm with this name.

Smith Kearney M&A
1780 Kettner Boulevard
San Diego, CA 92101
Phone: 619-331-9556
Fax: 619-331-9557
Website: http://www.smithma.com/
No US registered securities firm with this name.

Soloman Mckinley Associates
P.O. Box 62889
Seattle, WA 98381-1296
Phone: 206-202-5135
Fax: 206-376-1936
Website: http://www.solomanmckinley.com/
No US registered securities firm with this name.

Sony Global Asset Management, Ltd.
24 Washington Avenue, Suite 805A
Albany, NY 12210-2822
Phone: 213-250-2610
Website: http://www.sonygloba.com/
No US registered securities firm with this name.

Southampton Investment Services Inc.
33 Whitehall Street
New York, New York
Website: http://www.southamptoninternational.com/
No US registered securities firm with this name.
Southampton Investment Services Inc. is impersonating a
genuine broker-dealer firm with a similar name – Southampton Investment Services Inc.
(CRD Number: 8246; SEC Number: 8-24841), which has the following mailing
address: 33 Whitehall Street, 6th Floor, New York, NY 10004.
The impersonator has NO connection with, and is not to be confused with, the genuine
Southampton Investment Services Inc. The SEC’s EDGAR database contains
registration information for the genuine entity.

Sovereign Marketing
10 G Street NE
Washington, DC 20002
Phone: 202-580-8136
No US registered securities firm with this name.

Sovereign Pacific Inc.
1440 Broadway, 22nd Floor
New York, NY 10018
Phone: 646-912-6203
Fax: 646-607-4654
Website: http://www.sovereignpacinc.com/ (no longer online)
No US registered securities firm with this name.

Spartan Capital Asset Management
412 Park Avenue, 18th Floor
New York, NY 10022
Phone: 646-861-7887
Fax: 646-224-4890
Website: http://spartancam.com/
No US registered securities firm with this name.

Standard Hokori Group
64-76 Liberty Street, 12th Floor
New York, NY
Phone: 917-932-2021
Website: http://www.standardhokori.com/
No US registered securities firm with this name.

Stanley Capital Group Mergers and Acquisitions
1221 Avenue of the Americas
New York, NY 10020
Phone: 212-372-7388
Fax: 212-202-5220
Website: http://stanleycapitalgroup.com/
No US registered securities firm with this name.
This entity’s website is an otherwise identical
clone of MIT Associates Incorporated’s.

Steed and Associates
352 Green Meadows, Suite 102
Pflugerville, TX 78660
Phone: 512-692-7644
Fax: 512-519-1556
Website: http://www.steedandassociates.com/
No US registered securities firm with this name.

Steinberg & Ashley Corp.
21 Wall Street
New York City, NY 10005
Phone: 646-808-0223
Fax: 646-219-8045
Website: http://www.steinberg-usa.com/
No US registered securities firm with this name.

Sterling Equity Corp.
3411 Silverside Road
Rodney Building
New Castle, DE 19810
Phone: 349-026-36112 (sic)
Website: http://www.sterlingequity.se/
No US registered securities firm with this name.

Strategic Private Equity Group
Madison Avenue Center
590 Madison Avenue
New York, NY 10022
Phone: 212-656-1419
Fax: 212-409-8937
Website: http://www.strategicpeg.com/
No US registered securities firm with this name.

Strike Commodities
Chicago Board of Trade Building
141 West Jackson Blvd.
Chicago, IL 60604
Phone: 773-346-3075
Fax: 815-713-3933
Website: http://www.strikecommodities.com
(The website is no longer accessible.)
No US registered securities firm with this name.
Claims to work with, or makes other reference in
its solicitations to, Hanworth Weir Ltd.

Swiftsure Securities Limited
Third Avenue, Suite 1601
Seattle, WA
Phone: 206-408-1462
Fax: 206-299-7597
Website: http://swiftsuresecuritiesltd.com/
(The website is no longer accessible.)

Summit M&A Inc.
845 Third Avenue
New York, NY 10022
Phone: 646-706-7540
Fax: 646-706-7541
Website: http://www.summitmainc.com/ (Not accessible)
No US registered securities firm with this name.

Synergy Capital, LLC
62 Broadway, Suite 1110
New York, NY 10006
Phone: 212-784-6708
Fax: 212-208-2480
Website: http://synergycap.net/

TCM Financial
56 Liberty Street, Suite 1249
New York, NY 10005
Phone: 646-328-1096, ext. 719

805 Marion Street
Seattle, WA 98104
Phone: 206-299-0763, ext. 643
Fax: 206-338-0979
Website: http://tcmfinancial.us/
No US registered securities firm with this name.

Taft MacKenzie Ventures
1 Riverside Plaza, 18th Floor, West Wing
Columbus, OH 43215
Website: http://www.taftmackenzie.com/
No US registered securities firm with this name.

Tanner-White PLLC
3101 Terry Ave North
Seattle, WA 98121
Phone: 206-420-6747
Fax: 206-202-2420
Website: http://tannerwhite.com/
No US registered securities firm with this name.

Taylor and Grant Associates
243 E 25th Street, Suite 18
2nd Floor, Manhattan Tower
New York, NY 10010
Phone: 914-885-0102
Fax: 646-843-4739/646-514-4337
Website: http://taylorandgrantassociates.com/
No US registered securities firm with this name.

The Crowne Registry
51 Madison Avenue
New York, NY 10010
Phone: 646-397-8907
Fax: 646-397-8907
Website: http://thecrowneregistry.com/
No US registered securities firm with this name.

Thomas & Hyde Consulting
Tower Executive Suites
10940 Wilshire Blvd., Suite 1600
Los Angeles, CA 90024
Phone: 213-488-0222
Fax: 213-403-6503
Website: http://www.thomasandhyde.com/
No US registered securities firm with this name.

Thomas Anderson Advisory
91 Hudson Street, 5th Floor
New York, NY 10013
Phone: 646-248-7965
Fax: 646-619-4663
Website: http://www.thomasandersonadvisory.com/
No US registered securities firm with this name.

Total Research Group, Inc.
420 Mercer Street
Seattle, WA 98109
Phone: 111-12345678 (sic), 206-202-2420
Fax: 206-309-7348
Website: http://totalresearch.us/
No US registered securities firm with this name.
Total Research Group, Inc. and Tanner-White PLLC
share an identical phone and/or fax number.

Transatlantic Alliance Inc.
299 Park Avenue, 22nd Floor
New York, NY 10171
Phone: 646-837-7192
Fax: 646-219-5979
Website: http://www.trans-atlanticalliance.com/
No US registered securities firm with this name.

Trident Capital Management, LLC
1111 Castalia Street
Bellevue, OH 44811
Phone: 419-701-4591
Fax: 419-715-2592
Website: http://www.tridentcapmgt.com/

Total Research Group, Inc.
420 Mercer Street
Seattle, WA 98109
Phone: 111-12345678 (sic), 206-202-2420
Fax: 206-309-7348
Website: http://totalresearch.us/
No US registered securities firm with this name.
Total Research Group, Inc. and Tanner-White PLLC
share an identical phone and/or fax number.

Transatlantic Alliance Inc.
299 Park Avenue, 22nd Floor
New York, NY 10171
Phone: 646-837-7192
Fax: 646-219-5979
Website: http://www.trans-atlanticalliance.com/
No US registered securities firm with this name.

Trident Capital Management, LLC
1111 Castalia Street
Bellevue, OH 44811
Phone: 419-701-4591
Fax: 419-715-2592
Website: http://www.tridentcapmgt.com/

Trident Transfer Services Ltd.
270 West 57th Street, #1216
New York, NY 10107
Phone: 800-769-3254, 212-884-0524
Fax: 800-645-6781
Website: http://www.trident-ts.com/
No US registered securities firm with this name.

Triumph Capital Management
33 W 19th Street
New York, NY 10011
Phone: 646-313-3798
Fax: 646-370-2997
Website: http://triumphcapitalmgmt.com/
No US registered securities firm with this name.

United Consultants Fiduciary Services (UCFS)
148 Dogwood Drive
Fulton
Atlanta, GA 30354
Phone: 404-585-4267
E-mail: info@ucfs.biz
Website: http://www.ucfs.biz/

100 W. 33rd Street
New York, NY 10100
Phone: 212-851-3750
Fax: 206-339-4502
E-mail: ucfs.biz@accountant.com

Uniteds Investment Global Corp.
23 Wall Street, Suite 809
New York, NY 10005
Phone: 877-826-5224
Fax: 877-239-3608
Website: http://uniteds.com/
No US registered securities firm with this name.

Universal Consolidated
55 Wall Street
New York, NY 10005
Phone: 212-401-6180
Fax: 212-401-6181
Website: http://universalcsld.com/
No US registered securities firm with this name.

Universal Partners Mergers & Acquisitions
300 Main Street
Lafayette, IN 47901
Phone: 765-637-0102
Fax: 765-637-0103

U.S. Financial Management Service
401 14th Street S.W., # 548
Washington D.C. 20024
Phone: 866-221-4075
Fax: 206-299-9499
Website: http://www.usfinancialmgt.com/

Verity Transfer Inc.
676 9th Avenue, Suite #218
New York, NY 10036
Phone: 917-546-9116
Fax: 917-677-8898
Website: http://www.veritytransfer.com/ (Not accessible)
No US registered securities firm with this name.

Wall Street Systems Holdings, Inc.
30 Broad Street
New York, NY 10004
Phone: 917-484-5005
Fax: 917-677-8192
Website: http://www.wsshi.com
(According to whois, the domain has been suspended.)

Wallstreet M & A Group
721 5th Avenue
New York, NY 10022
Phone: 516-833-3358
Fax: 516-570-3941
Website: http://www.wstreetgrp.com/
No US registered securities firm with this name.

Walter Parker Group
100 Church Street
New York, NY 10007
Phone: 646-248-7930
Fax: 646-224-9557
Website: http://www.walterparkergroup.com/
No US registered securities firm with this name.

Walton Mergers & Acquisitions
1025 Arch Street, Suite 481
Phildelphia, PA 19107
Phone: 215-825-8523
Fax: 215-754-4218
Website: http://www.walton-ma.com/

Warren & Massey Asset Management Ltd., Inc.
400 Chesterfield Center, Suite 400
St. Louis, MO 63017
Phone: 314-361-3380
Fax: 866-523-5365
Website: http://www.warren-massey.net/
No US registered securities firm with this name.

Warren Hill, LLC
2401 4th Avenue
Seattle, WA 98121
Phone: 206-445-0930
Website: http://www.warren-hill.com
No US registered securities firm with this name.

Warren Sitco & Company
919 North Market Street
Wilmington, DE 19801
Phone: 302-391-0803
Fax: 302-391-0804

Watson Sandy Holding Co.
P.O. Box 446
Townsend DE 19734
Phone: 302-261-3578
E-mail: watsonholding@delaware.usa.com
No website provided.

Weiss Rifkin & Partners
710 West 14th Street
Austin, TX 78701
Phone: 512-696-1547
Fax: 512-532-6552
Website: http://weissrifkinpartners.com/
No US registered securities firm with this name.

Wellington Mergers and Acquisitions
3340 Peachtree Road NE, Buckhead Area
Atlanta, GA 30326-1081
Phone: 404-592-4540
Fax: 404-759-2088

Werner Group
40 Wall Street, 22th Floor
New York, NY 10005
Phone: 646-313-3786
Website: http://www.werner-international.com/
No US registered securities firm with this name.

West Coast Stock Transfer Inc.
2010 Hancock Street, Suite A
San Diego, CA 92110
Phone: 619-313-4499
Fax: 619-313-4498
Website: http://www.wcsti.com/

Western Capital, Inc.
Empire State Building
350 5th Avenue, Suite 2108
New York, NY 10118
Phone: 866-365-0736
Fax: 646-224-8765
No US registered securities firm with this name.

Western Equities Corporation
Manhattan Business Center
410 Park Avenue, 15th Floor
New York, NY 10022
Phone: 646-360-1663
Fax: 914-462-3791
Website: http://westernequitiescorp.com

Western Global Capital Management
583 5th Avenue
New York, NY 10022
Phone: 214-310-5460
Fax: 212-247-1384
Website: http://westernglobalcapmgt.com/
No US registered securities firm with this name.

Western Pacific Advisors Inc., a.k.a. Westpac Inc.
One Stamford Plaza
Suite 420, Tresser Boulevard
Stamford, CT 06901
Phone: 202-595-0002
Fax: 202-595-2209
Website: http://www.westpacificadvisors.com/
No US registered securities firm with this name.

Whalberg and Kaplan Agency Inc.
2377 Connecticut Avenue NW, Suite 405
Washington, DC 20036
Phone: 202-552-1095
No US registered securities firm with this name.

Whittman Simmons Inc.
1560 Broadway
New York, NY 10035
Phone: 646-912-6187
Fax: 646-786-4618
Website: http://www.whittmansimmons.com/
No US registered securities firm with this name.

Wiess & Associates Ltd.
203 North LaSalle Center
Suite 1800
Chicago, IL 60601
Phone: 800-578-8365
Fax: 312-277-7553
No US registered securities firm with this name.

Willkinson Capital Group
499 Park Avenue, 9th Floor
New York, NY 10020
Phone: 917-338-1690
Fax: 917-591-8918
Website: http://willkinsoncapital.com/
No US registered securities firm with this name.

William Campbell Company
41 Madison Avenue, 31st Floor
New York, NY 10010-2202
Phone: 917-338-1692
Fax: 917-591-3186
Website: http://williamcampbellcompany.com/
No US registered securities firm with this name.

Williams Mckenna Associates
P.O. Box 40601
Seattle, WA 97615
Phone: 206-426-2174
Fax: 206-299-9239
Website: http://www.williamsmckenna.com
No US registered securities firm with this name.

Williams Royale Associates
P.O. Box 29437
Seattle, WA 98381
Website: http://williamsroyale.com/

Windcrest Management Solution, Ltd.
Two Court Square Building, 15th Floor
#99 44th Drive
Long Island, NY
Phone: 914-214-5304
Fax: 914-462-3358
Website: http://windcrestmgtsolution.com/
No US registered securities firm with this name.

Windgate Security Management
1335 Yale Street
Lexington Avenue
New York, NY 10019
Phone: 646-360-1665
Fax: 646-839-2811
Website: http://www.windgatesecuritymgt.com/
No US registered securities firm with this name.

Woodbridge Escrow and Clearing
1258 H Street, NW
Washington, DC 20005
Fax: 202-330-5558
Website: http://woodbridgeescrowandclearing.com/
No US registered securities firm with this name.

Wyatt M & A Advisory
John Hancock Center
875 North Michigan Avenue
Chicago, IL 60611
Phone: 312-646-7665
Website: http://wyattmaadvisors.com/
No US registered securities firm with this name.

York & Williamson
3 Center Plaza
Boston, MA 02110
Phone: 413-252-0988
Fax: 977-786-4695
Website: http://www.yorkandwilliamson.com/#
No US registered securities firm with this name.

Zenith Research Group
20 South Wacker Drive
Chicago IL 60606
Phone: 773-831-4614
Fax: 773-304-3127
Website: http://www.zenithresearchgroup.com/

http://www.sec.gov/investor/oiepauselist.htm