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Securities Fraud Alerts

Below you will find alerts from the Division of Securities.

Public Alert: Unregistered Soliciting Entities (PAUSE)
The Securities and Exchange Commission is maintaining a list of unregistered soliciting entities that have been the subject of investor complaints. View unregistered soliciting entities.
Web Based "Brokerage Identity Theft" Scams Targeting Investors
Securities Investor Protection Corporation (SIPC) Issues Warning of web-based "Brokerage Identity Theft" Scams targeting investors. Read the warning here.

Companies That Claim To Be Located In Washington

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. In the United States, the Securities & Exchange Commission (www.sec.gov) is the only governmental securities regulator and each of the states has a comparable regulatory agency. To contact a specific state regulator, go to: http://www.nasaa.org/QuickLinks/ContactYourRegulator.cfm

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.

Allied Asset Management Inc.
2033 6th Avenue
Seattle, WA 98121
Phone: 1-206-299-3560
Fax: 1-206-299-3487
www.allassmanagement.com

Note: The entity named above should not be confused with Allied Asset Management, Inc, a Washington State based securities broker-dealer, established in 1985, which is a FINRA member firm (CRD # 16403). The true Allied Asset Management, Inc. was a victim of corporate identity theft in the fall of 2007. Identity thieves, in their communications with potential scam victims, used the address (as listed above) of true Allied Asset Management Inc. but used phone and fax numbers (also as listed above) not affiliated with the true Allied Asset Management, Inc. The identity thieves set up a fraudulent web-site, at the web-address shown above, which was later shut down by authorities.

Alpha Management
13 Camile Richardson Street
Philipsburg, St. Maarten, Netherlands
Antilles
599-543-1086
599-543-1097 (fax)

Anderson Tate
4107 Emerald Street
Boise, Idaho 83706
208-575-2890
208-575-2777

Atlantis Holdings Ltd.
Redmond, Washington 98052
206-965-9914

Becker, Finch & Waldman
531 Western Avenue
Seattle, WA 98101
206-781-4497

Central Registration Department
14720 56^th Avenue South, Suite 23
Seattle, Washington 98168
206-903-1399
206-903-1458 (fax)
And
Denver, Colorado
720-932-9420

Chartwell Asset Management
18 Camile Richardson Street
St. Maarten, Netherlands
Antilles
599-542-1435
599-542-1417 (fax)
And
#2120 S. 72^ndStreet
Omaha, Nebraska 68124
402-571-3034
402-571-3063 (fax)

Chicago Board of Acquisitions Inc.
5801 South Ellis Avenue
Chicago, IL 60637
312-616-9999
312-616-3575 (fax)

Crest International Investment, Inc.
First West Building
200 First Avenue West, Suite 400
Seattle, Washington 98119
206-802-1023

Federal Regulatory & Compliance Department
900 Fourth Avenue, #2888
Seattle, Washington 98164

Federal Securities Registry
Seattle, Washington
206-624-8899
206-621-8876

Gaylord & Finch
21200 Broadway East
Seattle, Washington 98122
And
400 Broadway
Seattle, Washington 98122
206-888-0329
206-339-2813 (fax)

Halyard Securities, LLC
1325 Avenue of the Americas, Suite 2800 New York, NY 10019
Phone: 866-220-8961
Fax: 914-462-3529
www.halyardsecuritiesllc.com

Note: The entity named above should not be confused with Halyard Securities, LLC of the same New York, NY address (but different telephone and fax numbers). Halyard Securities, LLC is the apparent victim of identity theft.

Innovative Consulting Inc.
13140 Coit Road, #219
Dallas, Texas 75240
888-237-4762
888-830-8004

InterGlobal Registry and Acquisitions
55 Park Plaza Drive - Daly City
San Francisco, CA 94015
650-491-8756, 800-571-4453
650-491-8701(fax)

International Asset Registry
1122 3^rd Avenue, Room 318
Seattle, WA 98101
206-624-8899
206-621-8876 (fax)

International Exchange Regulatory Commission
2690 Fairlawn Drive
Winston-Salem, North Carolina 27106
336-499-6186
336-499-6187 (fax)

International Fraud Assessment Agency
1001 Fourth Avenue
Seattle, WA 98154
206-274-0077

International Shareholder Protection Department
602 Washington Street
Iowa City, Iowa 52240
319-341-9400
319-341-9401 (fax)

International Stock Commission
Seattle, Washington 98164

Marlborough Acquisitions Inc.
4600 South Ulster Street
Denver, Colorado 80237
303-370-9056
303-370 9056 (fax)

Oakmont Financial Mergers
130 Bellevue Avenue
Newport, Rhode Island 02840
401-608-2008
401-608-2009 (fax)

Pan Euro Financial SA
10, Cours de Rive
CP 3237 – CH 1211
Geneva, Switzerland
41 22 747-7920
41 22 747-7923 (fax)

Parker & Cramer Asset Management, Inc.
First West Building
200 First Avenue West, Suite 400
Seattle, Washington 98119
206-802-1024 (fax)

Rutherford Acquisitions
7400 Metro Boulevard
Minneapolis, Minnesota 55439

Smith Fairchild
1050 Connecticut Avenue NW, 10^thFloor
Washington DC 20036
And
Zurich World Trade Centre
Leutschenbachstrasse 95
Zurich, Switzerland 8050
41 1 308 3910
41 1 308 3500

Smith Klein Venture S.A.
Redmond, Washington 98052
206-802-1022

Southwest Private Equity
3401 East McDowell Road, Suite B
Phoenix, Arizona 85008
602-220-1338
623-321-1593 (fax)

Stillman Roth
1711 Broadway
Seattle, Washington 98122
800-863-8908
206-984-1784
206-984-1785 (fax)
And
735 Pike Street, 11-13
Seattle, Washington 98101

Stuartt Reed Kammer
175 N Harbor #2212
Chicago, Illinois 60601
Phone: 312-896-5633
Fax: 312-896-5633
www.stuarttreedkammer.com
www.srkinternational.com

NOTE: The entity named above should not be confused with
Stuartt Kammer of the same Chicago, Illinois address (but different telephone number). Mr. Kammer is the apparent victim of identity theft.

Sun Biometrics
601 Union Street, 42^nd Floor
Seattle, Washington 98101
206-652-3303

ThompsonADV
Redmond, Washington 98052
425-882-7555
Note: The entity named above should not be confused with Thompson Advisors of Southfield, Michigan.

Universal Mergers and Acquisitions
1501 Fourth Avenue
2600 Century Square
Seattle, Washington 98101
206-332-0550
206-332-0660 (fax)

Warning signs for certain foreign stock scams:

If it sounds too good to be true, it is too good to be true.
Scammers may not be registered with the Washington State Securities Division and the Washington Secretary of State - Check it out!
The Washington State or Seattle address given does not exist, is a false address or is a mailbox service.
The Washington State or Seattle telephone number given is a phone message machine or answering service, so that investors can never call the scammers directly, but must always receive return calls from the scammer.
The Washington State or Seattle telephone given is always an "unlisted" number.
And it's worth repeating -- If it SOUNDS too good to be true, it IS too good to be true!

Beware of Reload or Recovery Room Scams:

Investors who have purchased U.S. stock, whose price can be easily manipulated, often find themselves the victims of secondary scams based on scam artists’ representations that they will help the victim recover all or some of their losses.
The scammers realize that many investors are desperate to recoup their losses and are vulnerable to yet another fraud. They tell the investor that they can help recover the losses by purchasing the stock or exchanging the stock for better quality securities, but only after the investor pays a fee (perhaps 30% of the investment) for taxes, deposits or a bond to facilitate the transaction.
If an investor falls for the second scheme, he or she may be hit for yet a third time by scam artists posing as law enforcement officials or a legal firm that tells the victim that they are trying to apprehend or sue the crooks, but in order to do so will require the investor to advance additional funds (5 to 15% of the original investment) to a third party or the fictitious law firm.
See the following website for how these types of scams operate:http://www.sec.gov/investor/pubs/fleecing.htm

Tips:

Investigate before you invest.
Before investing in a foreign company or with a foreign broker-dealer/investment advisor, contact the local and national securities regulatory authorities (such as the Securities and Exchange Commission) of the jurisdiction in which the company is located.
Before investing in a foreign company or with a foreign broker-dealer/investment advisor, contact a reputable local broker to assist you in evaluating the merits and risks involved with a proposed transaction.
Contact your own securities regulators for information about the company or the investment in question.
Check with organizations such as the Better Business Bureau or the National Fraud Information Center.

Our mission is to protect investors and to make sure the investment markets are fair and honest by enforcing the securities, commodity investment, franchise, and business opportunity laws of Washington. You can assist us in our mission by filing a complaint to alert us to possible violations of the laws that we administer. By alerting us to potential violations, we may be able to prevent others from losing their savings. For more information on how to file a complaint and to access the complaint form, see the Investor Complaint page. If you want to check on entities that have filed applications with the Securities Division, check out the Licensee Database. Information on individuals and entities who have been the subject of recent enforcement action by the Securities Division may be found by searching the Orders. You may also contact the Enforcement Section via email with your questions.