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Capital One Management Inc.

Fraud
TypeCompany[sources]
NameCapital One Management Inc.[sources]
Incorporation datenot available[sources]
Jurisdictionnot available[sources]
Phone212-330-9008[sources]
Registration numbernot available[sources]
Websitewww.caponemgt.com[sources]
AddressMaine Business Center, 415 Congress Street, Suite 102, Portland, ME 04101[sources]
Source linkwww.sec.gov[sources]
Last changeLast processedFirst seen

Descriptions

Fax: 212-330-9009

US Public Alert: Unregistered Soliciting Entities (PAUSE),

There is a U.S.-registered company named Capital One Financial Corporation ("Capital One") with U.S.-registered broker-dealer affiliates named Capital One Securities, LLC ("COSL") d/b/a Capital One Investment, LLC, Capital One Southcoast, Inc. ("COSCI"), and Capital One Investment Services LLC, f/k/a NFB Investment Services Corporation (collectively, the "Capital One Brokers"). The staff's review of complaints indicates that persons not affiliated with Capital One or the Capital One Brokers have been using the name Capital One Management, Inc. ("COMI") in solicitations of investors. In particular, complaints to us have stated that persons using the phone number (1-212-330-9008) and/or the website address (www.caponemgt.com) and/or the business address 415 Congress Street, Suite 102, Portland, ME 04101 have either claimed to be affiliated with Capital One or the Capital One Brokers, or implied such affiliation by the use of the COMI name in investor solicitations; however, neither this phone number, website nor address are used by Capital One or the Capital One Brokers. To verify the registration and address of a U.S. securities broker, see http://www.finra.org/ InvestorInformation/ InvestorProtection/ ChecktheBackgroundof YourInvestmentProfessional/ index.htm As part of its solicitations, COMI makes claims that a third party is entitled to FDIC payments for "non profitable securities." The Federal Deposit Insurance Corporation has confirmed to us that no such program exists and that these purported obligations are fictitious.

US Public Alert: Unregistered Soliciting Entities (PAUSE),

Relationships

Data sources

US Public Alert: Unregistered Soliciting Entities (PAUSE)1,628

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

United States · SEC


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