Rosen and Associates
U.S. financial regulators have flagged this entity for soliciting investors without required registration or under false claims. Do not send money, and treat any communication from it as high risk.
SEC PAUSE List
Listed Jul 30, 2019The U.S. Securities and Exchange Commission's PAUSE program lists entities that falsely claim to be U.S.-registered when soliciting investors, impersonate genuine registered firms, or pose as fictitious regulators.
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Other companies on the SEC PAUSE List
Company warning data is sourced from the CFTC's RED (Registration Deficient) List and the SEC's PAUSE (Public Alert: Unregistered Soliciting Entities) program — official U.S. government lists published to warn the public. Per both regulators, inclusion on these lists does not mean a court or the regulator has concluded that a violation of law has occurred. Entities with similar names may be unrelated; verify registration at NFA BASIC and FINRA BrokerCheck. Data is updated daily.
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