US Public Alert: Unregistered Soliciting Entities (PAUSE)

Entities that falsely claim to be registered, licensed, and/or located in the United States, to be regulators, or impersonate genuine firms.

The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.

You should be aware that the PAUSE lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities.

You can view the official SEC release describing and providing more details about this list. If you have information, questions or comments about the entities on this list, submit a question or complaint to the SEC.

Data overview

Entity types:
Legal entities231
Publisher:US Securities and Exchange Commission (SEC) (United States)

The federal securities laws empower the Securities and Exchange Commission (SEC) with broad authority over all aspects of the securities industry. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

Collections:in OpenSanctions Default · Warrants and Criminal Entities
Source data:www.sec.gov · HTML
Last changed:
Date added:
Last checked: · updated daily

Bulk download

Downloads contain the full set of entities contained in this dataset. You can fetch a simplified tabular form, or detailed, structured data in JSON format. Updated files will be provided once a day at the same location.

File nameExport typeSize
entities.ftm.jsonFollowTheMoney entities1.72 MB
names.txtTarget names text file40.92 KB
senzing.jsonSenzing entity format1.05 MB
statistics.jsonDataset statistics774 B
targets.nested.jsonTargets as nested JSON1.75 MB
targets.simple.csvTargets as simplified CSV524.11 KB

Help: Using the data · format reference · get support · commercial licensing

Using the API

You can query the data in this dataset via the application programming interface (API) endpoints below. Please read the introduction for documentation and terms of service.

Use the Reconciliation API in OpenRefine:
For full-text search, use the /search endpoint:
For entity matching, use the /match endpoint:

Recent additions

The following targeted entities have been added to this data source most recently:

Welborn Capital & Partners LLC, a.k.a. Welborn Capital (sic) LLC, a.k.a. Welborn Capital Partners Inc.Company
United States Securities Regulatory Commission (sic)Legal entity
SWFinvestguide Financial Services Inc.CompanySwitzerland
Global Asset Registration and Transfer CorporationCompany
Corporate Finance Solutions Inc.Company
IDA ConsultancyCompany
Stamford Niles Equities, LLCCompany
Turner, Silverman and Cohen LLCCompany
Department of Financial RegulatorsLegal entity
TMRTrust Ltd.Company
U.S. International Bureau for TradingLegal entity
International Organization of Registrar and Clearing Agents (IORACA)Legal entity
Wellington Mergers and AcquisitionsCompany
Elite TradePlusCompany
Rixe TradeCompany