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Alpha Management

Alpha Management - Waarschuwing USA WA DFI - 2015-Dec-31



Securities Fraud Alerts

The following is a list of companies that have come to the Securities Division’s attention as companies that claim to be located in Washington State, or associated with a company that claims to be located in Washington State, some of whom are reportedly offering securities products or related services.

These companies may be involved in various securities-related frauds. None of the entities are licensed by the Securities Division as broker-dealers or investment advisors and there is no indication that they are authorized to do business in this state.

Please note that these companies have names that are similar and sometimes identical to those of reputable companies that are licensed to conduct securities activities in Washington State. Some of the entities’ names imply that they are government agencies. None of these entities are federal or state government agencies, nor are they regulators of the securities markets.

For a list of organizations soliciting investments fraudulently using Government organization endorsements, visit the SEC's unregistered soliciting entities list (link is external).

This list is not intended to be all-inclusive and should not be an indicator that you are dealing with a reputable company if the name of the company is not on the list.