Regulatory Warning

PACIFIC ALLIANCE ASSOCIATES (Clone of US SEC/FINRA registered firm)

Flagged by Financial Conduct Authority · United Kingdom (GBR)

Official Warnings (1)

Financial Conduct Authority United Kingdom
Unregistered/Unlicensed entity offering financi...

The unauthorised firm detailed in the alert has used the name and address of a US registered broker-dealer, Pacific Alliance Associates LLC. The unauthorised firm has no association whatsoever with Pacific Alliance Associates LLC which is registered with the Financial Industry Regulatory Authority (CRD: 148938) and with the Securities & Exchange Commission (SEC Number: 8-68088).

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This information is sourced from IOSCO I-SCAN and official financial regulators. Inclusion in this database does not necessarily mean the firm has committed fraud - it may indicate they are not authorized to operate in a specific jurisdiction. Always verify directly with the relevant regulator before making investment decisions.

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