Alpha Investment Management LLC (clone)
- Waarschuwing SEC USA
Public Alert: Unregistered Soliciting Entities (PAUSE)
List of Unregistered Soliciting Entities Impersonating Genuine and Former US Registered Securities Firms
The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities using a name that is the same as, or similar to, the name of a US registered securities firm, investment advisor, transfer agent, issuer, hedge fund, institutional investor, and other filers.
In many cases, SEC investigation reveals that these entities have wrongfully appropriated the registration numbers and address information of the legitimate firms from publicly available databases such as EDGAR and FINRA’s BrokerCheck, and set up phony websites in order to confuse and deceive investors. In other cases, these "spoofer" entities have appropriated the registration information of legitimate firms that recently terminated their registration with the SEC and FINRA or did so years ago. Similarly, representatives of the impersonating entities who cold call investors often claim to be licensed employees of the legitimate firms being impersonated or of other legitimate firms.
The SEC has determined that the impersonators on the list below have no connection with, and are not to be confused with, the genuine firms, whether active or defunct.
The SEC will regularly update this list.
You should also check with the Financial Industry Regulatory Authority (FINRA [formerly, the National Association of Securities Dealers (NASD)]), which maintains BrokerCheck, a public registry of its broker-dealer members and their sales personnel. You can use BrokerCheck to verify both the registration and address of any FINRA-registered US broker-dealer and any individual US securities broker. Distinguishing the genuine firm from the impersonator entity may be difficult at times, but you should always use the phone number listed on BrokerCheck to call back a financial services firm that contacts you. Checking the PAUSE list below is not a substitute for checking BrokerCheck.