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International Regulator Alerts


These are recent alerts from the International Organisation of Securities Commissions (IOSCO).

12 April 2014

Added (13)

Company: Lloyds International S.A.
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19484
Posted by: British Columbia Securities Commission, British
Columbia
Company: Baltic Bank/Baltic Trust Bank KB/Baltic Trust KB
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: SVS Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone FCA Authorised Firm
Company: Edward Evans
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ONTIMA Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: MyPaid Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: BlackRock Offshore Bullion Investment Fund
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by Financial Conduct Authority, United Kingdom
Comments: (Non-existent Fund falsely purporting to be from an
FCA Authorised Firm)
Company: FXDealer, FX Dealer, FX Direct Dealer or Fxdealer.us and Sky Forex or Sky Forex Europe
Link: http://www.fxdealer.us/ and http://www.skyforex.org.uk/
Posted by: Malta Financial Services Authority, Malta
Company: Stanford Crown Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Alternative Markets
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=426
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: World Trade Consortium
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/world-trade-consortium.html
Posted by: Financial Market Authority, Austria
Company: Bronte Financial
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/bronte-financial.html
Posted by: Financial Market Authority, Austria
Company: www.cantormarketstrade.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1254
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

5 April 2014

Added (14)

Company: Kingston Financial Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Falsely claims to be FSA / FCA authorised
Company: Rodeler Limited
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140403_rodeler-limited.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Rodeler Limited doing business as 24option.com, 24fx.com, zoneoptions.com, grandoption.com and binaryoption-affiliate.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Alliance Capital Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Forex Options Trading Clearing
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_forex-options.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Forex Options Trading Clearing doing business as
forexoptionstraderplatform.com, mylloydstrader.com and mynctrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Delta Clearing Inc.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_delta-clearing.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Delta Clearing Inc. is not registered to engage in the
business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Lloyds International, S. A.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140401_lloyds-international.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Lloyds International, S. A. doing business as http://lloydsint.com and mylloydtrading.com is not registered to engage in the business of (i) trading in securities or (ii)
advising anyone with respect to investing in, buying or selling securities.
Company: HR Investment Group (a.k.a. High Returns Investment
Group)
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19458
Posted by: British Columbia Securities Commission, British
Columbia
Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments: Falsely claims to be FCA authorised
Company: RBC Wealth Management / Royal Bank of Canada Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of trading style of UK FCA Authorised and affiliated Genuine Firms
Company: Furlow Capital
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1253
Posted by: Securities and Futures Commission, Hong Kong
Company: Asian Acquisition Oversight Commitee
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Universe Citizen Limited (trading as FXCitizen)
Link:  http://www.sfc.hk/web/EN/alert-list/u.html#1252
Posted by: Securities and Futures Commission, Hong Kong
Company: The Woo Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1251
Posted by: Securities and Futures Commission, Hong Kong
Company:  DECLERCK - IZURO - DC - DCMI-U - ERMIS
Link:  http://www.fsma.be/en/Consumers/press/Article/press/warnfsma/2014/2014-03-26_guydeclerckizurodcdcmiuermis.aspx
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning

Deleted (2)

Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Card & Cash Solutions GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=408
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

31 March 2014

Added (8)

Company: Walters Capital Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Walters Capital Group is not authorised to provide investment services in Ireland. The firm purports to be based in USA.
Company: TJB trading
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=425
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: CFS PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Morris & Dazz Asset Evaluators Ltd.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Blue Ribbon Financial
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Ashland Mergers & Acquisitions Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Ashland Mergers & Acquisitions Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan.
Company: Vantage Capital Research
Link: http://www.sfc.hk/web/EN/alert-list/v.html#1249
Posted by: Securities and Futures Commission, Hong Kong
Company: Herrington Global
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1247
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

22 March 2014

Added (19)

Company: Ko Sin Corporation Limited
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1246
Posted by: Securities and Futures Commission, Hong Kong 
Company: Karatbars
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-karatbars.html
Posted by: Autorité des marchés financiers, Quebec
Company: Capital Strategies SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=424
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Wealth Planning Solutions Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an EEA authorised firm
Company: Devonshire Holdings
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA registered firm
Company: Southstar Holdings Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1245
Posted by: Securities and Futures Commission, Hong Kong
Company: Southstar Asset Management Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1243
Posted by: Securities and Futures Commission, Hong Kong
Company: Southstar (Asia) Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1242
Posted by: Securities and Futures Commission, Hong Kong
Company: LSE Acquisitions
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1240
Posted by: Securities and Futures Commission, Hong Kong
Company: FIndex9.com Limited
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1237
Posted by: Securities and Futures Commission, Hong Kong
Company: IGK Broker Limited
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1236
Posted by: Securities and Futures Commission, Hong Kong
Company:  
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_warning-high-yield-investment-programs19-03-2014-09-0.html
Posted by: Autorité des marchés financiers, Quebec
Company: Global Intermediate Finance / The GIF Group / The GIF Group Zurich
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pyramid scheme investment offers
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F476a38f2-a7c9-4e64-b0e6-af22f6adadb9
Posted by: Autorité des marchés financiers, France
Comments: Warning against pyramid scheme investment offers
Company: RBOptions
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140318_rboptions.htm
Posted by: Ontario Securities Commission, Ontario
Comments: RBOptions doing business as www.rboptions.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Hartford Group International
Posted by: Financial Supervisory Commission, Chinese Taipei
Comments: Hartford Group International claims to be a brokerage firm with offices at 16 F No. 89 Songren Road, Taipei Xinyi District, Taipei, Taiwan. Our records show that Hartford Group International does neither have a license in Chinese Taipei to conduct securities firm business nor have an authorization to offer investment services. Besides, Hartford Group International has not legally registered under the address mentioned above (16 F No. 89 Songren Road, Taipei Xinyi District, Taipei).

The FSC thus advises the investors against responding to any offers of investment services made in the name of Hartford Group International and against transferring money to any account number they might mention.
Company: Frontiers Group Global Investment or Frontiers Group Investment Ltd
Link: http://frontierforex.com/
Posted by: Malta Financial Services Authority, Malta
Company: EZ Trader
Posted by: Financial Services and Markets Authority, Belgium
Coments: warning
Company: BlackRock Fund Managers Limited
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

 

15 March 2014

Added (26)

Company: Lin Warwick
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Herrington Global / Shenzhen Commodity Exchange
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/
Posted by: Finansinspektionen, Sweden
Company: Wealth Builder FX Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1235
Posted by: Securities and Futures Commission, Hong Kong
Company: HKOTC
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1234
Posted by: Securities and Futures Commission, Hong Kong
Company: WBlake
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_WBlake_120314_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Financial Conduct Authority
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised UCITS Fund
Company: KTC Capital Management
Link: http://www.sc.com.my/list-of-unauthorised-websites-investment-products-companies-individuals/#k
Posted by: Securities Commission, Malaysia
Company: Hong Kong Global Exchange Co. Ltd.
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1233
Posted by: Securities and Futures Commission, Hong Kong
Company: TREBOL TRADING LLC
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: WCM777
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-wcm777.html
Posted by: Autorité des marchés financiers, Quebec
Company: Token Financial
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by:  Central Bank of Ireland, Ireland
Comments:  Token Financial is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: TL Mallen, LLC.
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Wentworth Worldwide Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=423
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: FxGcmi, Global Capital Markets FX LLC or Global Capital Markets FX Ltd
Link: http://www.fxgcmi.com/
Posted by: Malta Financial Services Authority, Malta
Company: Investment Assurance Corporation
Posted by: Finansinspektionen, Sweden
Company: China International Capital Corporation Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom  
Comments: Clone of the parent company of an FCA Authorised Firm
Company: Doyle Hutton Associates
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1231
Posted by: Securities and Futures Commission, Hong Kong
Company: Armada Markets AS
Posted by: Polish Financial Supervision Authority, Poland
Company: Knox Securities Corp
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: The Corliss Group
Posted by: Finansinspektionen, Sweden
Company: World Gold GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=422
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Spencer and Richardson Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: HZ Capital
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_HZ_Capital_280214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Brevan Howard Asset Management Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1228
Posted by: Securities and Futures Commission, Hong Kong
Company: Triumph Financial Advisors Inc.
Link:  https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=421
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: The Platinum Capital Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1227
Posted by: Securities and Futures Commission, Hong Kong

Deleted (1)

Company: China Interntational Corporation Capital Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of the parent company of an FCA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 March 2014

Added (19)

Company: Toyo Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of Parent Company of Former FCA Authorised Firm
Company: Marklin Investment Group
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19202
Posted by: British Columbia Securities Commission, British
Columbia
Company: Hoover Bright Independent Finance Advisory
Posted by: Finansinspektionen, Sweden
Company: Global Brokers Asia
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hoover Bright Independent Finance Advisory
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European
Passport.
Company: SMO Fitzgerald Global
Posted by: Finansinspektionen, Sweden
Company: China Interntational Corporation Capital Limited (CICC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of the parent company of an FCA Authorised Firm
Company: DFM Asset Management
Link: http://www.dfsa.dk/Nyhedscenter/Pressemeddelelser/2014/Advarsel-mod-DMF-Asse-Management.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that DFM Asset Management unsolicited has offered to carry out financial services in Denmark. The company's address is 1 Robinson road; Singapore 039190. The company's homepage is http://www.dfmasset.com/

DFM Asset Management does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Abney Associates
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/2014/Advarsel-mod-Abney-associates.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Abney Associates unsolicited has offered to carry out financial services in Denmark. The company's address is 49/F Hopewell Centre, 183 Queen’s Road East, Hong Kong. The company's homepage is http://abneyassociates.com/

Abney Associates does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Trust Fund.pl
Posted by: Polish Financial Supervision Authority, Poland
Company: ADESA sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Capital Action Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1226
Posted by: Securities and Futures Commission, Hong Kong
Company: Mondiaen Banker
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_MondiaenBanker_210214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Forex
Link: http://www.lautorite.qc.ca/fr/communiques-2014-corpo.html_2014_meg-marche-devises.html
Posted by: Autorité des marchés financiers, Quebec
Company: Update - websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F65454d61-09d1-4269-a923-c7175cb1539a
Posted by: Autorité des marchés financiers, France
Comments: Update of previous warnings regarding unauthorised websites offering binary options
Company: Private Capital
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fc0d279fb-c07d-4c95-946e-88cfcc900a0e
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding Private Capital
Company: Triple A Consulting
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/triple-a-consulting.html
Posted by: Financial Market Authority, Austria
Company: Fanrong Capital
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/fanrong-capital.html
Posted by: Financial Market Authority, Austria
Company: Affluential Group Corp.
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_caution-affluential-group-corp.html
Posted by: Autorité des marchés financiers, Quebec
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

22 February 2014

Added (14)

Company: PRESTIGE BANQ
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Goldenschild Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=420
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Adlisberg Financial Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=419
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: CNB Acquisitions Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ABFX Ltd or ABFX Inc.
Link: http://www.alphabetafx.com/
Posted by: Malta Financial Services Authority, Malta
Company: Frost Capital Partners
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/frost-capital-partners.html
Posted by: Financial Market Authority, Austria
Company: Global-Consulting
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/global-consulting.html
Posted by: Financial Market Authority, Austria
Company: Eurokasse New Zealand Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/eurokasse-new-zealand-limited.html
Posted by: Financial Market Authority, Austria
Company: MilleCapitaux - Private & Investment Bankers
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_MilleCapitaux_180214_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Solomon-Layb
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Solomon-Layb.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Solomon-Layb unsolicited has offered to carry out financial services in Denmark. The company's address is Roppongi-Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan. The company's homepage is www.solomon-layb.com

Solomon-Layb does not have authorisation from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Newport International Group
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Newport-International-Group.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Newport International Group unsolicited has offered to carry out financial services in Denmark. The company's address is Level 7, Toranomon 40 MT Building 5-13-1, Toranomon, Minato-ku, Tokyo, Japan. The company's homepage is http://www.newportinternationalgroup.com/

Newport International Group does not have authorisation from the Danish
Financial Supervisory Authority in accordance with the Financial Business Act
to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Koyal Group
Link: http://www.dfsa.dk/en/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Koyal-Group.aspx
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments:

The Danish Financial Supervisory Authority has been informed that Koyal Group unsolicited has offered to carry out financial services in Denmark. The company's address is Arca Central Building 14F 1-2-1 Kinshi Sumida-Ku, Tokyo Japan. The company's homepage is http://www.koyalgroup.com/contact.php

Koyal Group does not have authorisation from the Danish Financial Supervisory
Authority in accordance with the Financial Business Act to carry out such
services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.

Company: Kirayaka International
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/Arkiv-PM/Presse-2013/Advarsel-Kirayaka-International.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Kirayaka International unsolicited has offered to carry out financial services in Denmark. The company's address is 17 th. Fl., Hibiya kokusai Building. 2-3, Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011 Japan. The company's homepage is www.kirayakainternational.com

Kirayaka International does not have authorisation from the Danish Financial
Supervisory Authority in accordance with the Financial Business Act to carry
out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Banque Privée Wehren & Cie
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=418
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

15 February 2014

Added (19)

Company: Palmer Smith Advisors
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Palmer_Smith_Advisors_140214EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Helvetia Wealth AG
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Helvetia Wealth AG is not authorised to provide
investment services in Ireland. The firm purports to be based in Switzerland.
Company: Schott-OFT
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1220
Posted by: Securities and Futures Commission, Hong Kong
Company: Cedar Finance / T.B.S.F. Best Strategy Finance Limited
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=19152
Posted by: British Columbia Securities Commission, British
Columbia
Company: Wine Street Investment Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Wine Street Investment Management is not authorised to
provide investment services in Ireland
Company: Shearin Group
Link: http://www.finanstilsynet.dk/
Posted by: Finanstilsynet (Denmark Financial Supervisory
Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been
informed that Shearin Group unsolicited has offered to carry out financial
services in Denmark. The company's addresses are Level 3, 17 Square Edouard
VII, Paris 75009, France and 15/F Millennium City 5, 418 Kwun Tong Rd., Kwun
Tong, Hong Kong. The company's homepage is http://shearingroup.com/

Shearin Group does not have authorisation from the Danish Financial Supervisory
Authority in accordance with the Financial Business Act to carry out such
services in Denmark.

The company has not been notified in Denmark from any foreign Financial
Supervisory Authority.
Company: Investec Capital Coporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Company: Braun & Bach Finanzdienstleistungen
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=417
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bitcoin
Link: http://www.lautorite.qc.ca/en/press-releases-2014-corpo.html_2014_alert-bitcoin.html
Posted by: Autorité des marchés financiers, Quebec
Company: White-Miller Associates
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1219
Posted by: Securities and Futures Commission, Hong Kong
Company: Ventura Capital Consultancy Services
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a former FCA Registered Firm
Company: First Catholic Financial
Posted by: Finansinspektionen, Sweden
Company: UNIVERSUM Business Consulting Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Simple Assets Towarzystwo Funduszy Inwestycyjnych S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Asset Capital Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=416
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Axatrades
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=415
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Global Trader 365 Ltd. doing business as www.globaltrader365.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140207_global-trader-365-ltd.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Global Trader 365 Ltd. doing business as www.globaltrader365.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: HR Investment Group (aka High Returns Investment Group) doing business as www.hrinvestment.webs.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140206_hr-investment-group.htm
Posted by: Ontario Securities Commission, Ontario
  HR Investment Group doing business as www.hrinvestment.webs.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.

Deleted (1)

Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

8 February 2014

Added (8)

Company: UK RBB Barclays Business
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Authorised Firm
Company: Estlander & Ronnlund Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Cloning of EEA Authorised Firm
Company: KLMex
Posted by: Securities Commission, Malaysia
Comments: The entity named "The Kuala Lumpur Mercantile Exchange" with URL: www.klmex.org and e-mail address info@klmex.org is not an entity registered with the Securities Commission Malaysia. Any future
mercantile exchange approved by the related authorities will be officially announced through proper channels.
Company: Invest Online Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=414
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: G.W. Trust and Transfer
Link: http://www.bcsc.bc.ca/release.aspx?id=19094
Posted by: British Columbia Securities Commission, British
Columbia
Company: New Zealand Capital Finance
Link: /keep-updated/warnings,-alerts-and-scams/names-of-firms-and-individuals-to-be-wary-of#NewZealandCapitalFinance
Posted by: Financial Markets Authority, New Zealand
Comments: False/misleading advertising
Company: Danske Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments: Clone of an FCA Authorised Firm
Company: AFI - ALTERNATIVE FINANCIAL INVESTMENTS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom

Deleted (1)

Company: Estlander & Ronnlund Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA Authorised Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 February 2014

Added (18)

Company: Baxter-Stanley and Associates
Posted by: Finansinspektionen, Sweden
Company: NOVA PORTFOLIO MANAGERS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of an EEA Authorsed Firm
Company: Global Investment Bank (IOM) Ltd & Global Investment Bank Offshore Services Limited
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/globalinvestment.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entities claiming to be licensed and regulated
by Isle of Man Financial Supervision Commission
Company: Winston & Churchill Private Equity
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/ralphmendoza.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be based in the Isle of Man
Company: Unauthorised entities and websites offering forex
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F29b7a04c-ee1c-4263-bfaf-f22f717caad9
Posted by: Autorité des marchés financiers, France
Comments: New updated list of websites and entities offering
forex investments.
Company: Kaizen Pacific
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=413
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: IFS – International Financial Services Inc.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=412
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: The Tunstall Group
Posted by: Finansinspektionen, Sweden
Company: Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_rhinehart-global%20.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Rhinehart Global Ltd. doing business as www.rhinehartglobal.com and www.rhinehartglobal.net is not
registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: IQ Holding International S.A. doing business as www.iqhinternational.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_iq-holding.htm
Posted by: Ontario Securities Commission, Ontario
Comments: IQ Holding International S.A. doing business as www.iqhinternational.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Norex Trade Advisors
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Norex Trade Advisors doing business as www.norexadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: ProTec Advisors
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: ProTec Advisors doing business as protecadvisorsonline.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in,
buying or selling securities.
Company: Fortress Global Markets, SARL
Link: http://www.osc.gov.on.ca/en/Investors_wl_20140122_protec-fortress-norex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Fortress Global Markets, SARL doing business as www.fxfortress.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Al Reen Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is falsely purporting to be authorised by the FCA, thereby breaching section 24 FSMA 2000
Company: Ledbury Moore
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bronte Financial
Posted by: Finansinspektionen, Sweden
Company: Furlow Capital
Posted by: Finansinspektionen, Sweden
Company: Dr. Christian Fischer
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/dr-christian-fischer.html
Posted by: Financial Market Authority, Austria
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 January 2014

Added (16)

Company: Kanagawa Associates
Posted by: Finansinspektionen, Sweden
Company: WorldBridge Securities
Link: http://www.fscmauritius.org/media/121081/investor-alert-worldbridge-securities.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Update -websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F282f5a32-f922-498e-9176-c6531d8610a6
Posted by: Autorité des marchés financiers, France
Comments: Update of warnings issued regarding websites offering binary options trading, for which no authorised investment services provider could be clearly identified
Company: Asia World Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Redford Securities International
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Great Wall Asset Management Corp
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1215
Posted by: Securities and Futures Commission, Hong Kong
Company: AVANTI HOLDINGS-INTERFINANZAS ADVISORS CORP-IBS CONSULTING GROUP
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/215-informacion-del-mercado/varios-alertas-al-inversionista/4318-warning--non-authorized-entity--advanti-holdings-interfinanzas-advisors-corp-ibs-consulting-group
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Companies not registered
Company: NORD FX
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4320-warning--non-authorized-entity--nord-fx.html
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Sierra Finance Asset Management
Posted by: Finansinspektionen, Sweden
Company: Cayman Asset Management
Posted by: Finansinspektionen, Sweden
Company: ForexTrada
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Chelsea Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Brookes and Hargreaves
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/news/warnings/strategic-private-equity-llc
Posted by: Financial Conduct Authority, United Kingdom
Comments: Updated alert
Company: Mesirow Financial
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: clone of FCA authorised firm
Company: FutureBarrel.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=18994
Posted by: British Columbia Securities Commission, British
Columbia

Deleted (10)

Company: Kanagawa Associates
Link:  
Posted by: Finansinspektionen, Sweden
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Saxo Capital Markets Panama, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4761-warning--non-authorized-entity-saxo-capital-markets-panama-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Trader Hawk
Link: http://www.traderhawk.pl
Posted by: Polish Financial Supervision Authority, Poland
Company: Indywidualne Biznesowe Doradztwo Finansowe Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: NOVA NEW Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: EUROMEDICUM S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Synergy Group Doradcy Finansowi
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Cash Rentier
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Lex-Security
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

18 January 2014

Added (14)

Company: MONTALVO ASSET MANAGEMENT Sàrl, en liquidation
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=411
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Galaxy Investment Management Limited
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20140116_galaxy-investment.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Galaxy Investment Management Limited doing business as
www.gimsafeinvestor.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Clairmont Capital Partners
Posted by:  Finansinspektionen, Sweden
Company: Charterhouse Wealth Management
Posted by: Finansinspektionen, Sweden
Company: IDELSON GROUP - TAIWAN OPTIONS AND FUTURES EXCHANGES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Capital Trust Management
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/capital-trust-management.html
Posted by: Financial Market Authority, Austria
Company: NEA Europe Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/nea-europe-limited.html
Posted by: Financial Market Authority, Austria
Company: Dyman Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/dyman-associates.html
Posted by: Financial Market Authority, Austria
Company: 1st American Securities
Posted by: Finansinspektionen, Sweden
Company: Glendale Growth & Trust
Link: http://www.servicenl.gov.nl.ca/securities/consumer_advisory/consumeradvisory.html
Posted by: British Columbia Securities Commission, British Columbia
Comments: The B.C. Securities Commission is posting a Consumer
Advisory on behalf of the Financial Services Regulation Division of
Newfoundland and Labrador, relating to Glendale Growth & Trust and Leonard
(Lennie) Goldman.
Company: JARVIS COHEN ASSOCIATES
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company:  Swiss Wealth Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=410
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Reid & Stone Ventures
Posted by:  Finansinspektionen, Sweden
Company: Global Brokers Asia
Link:  http://www.sfc.hk/web/EN/alert-list/g.html#1212
Posted by:  Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

11 January 2014

Added (15)

Company: RBOptions
Link: http://www.bcsc.bc.ca/release.aspx?id=18950
Posted by: British Columbia Securities Commission, British
Columbia
Company: TELETRADE
Link: http://www.cvm.gov.br/port/infos/ATO%2013442%20-%20TeleTrade%20-%20forex%20v%20site.pdf
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Webpages used by the company:
http://www.teletrade-brasil.com
and
http://teletrade.com.br
Company: Vestcor
Posted by: Finansinspektionen, Sweden
Company: Morris Capital Partners
Link: http://www.sfc.hk/web/EN/alert-list/m.html#1210
Posted by: Securities and Futures Commission, Hong Kong
Company: LifeClub International S.A and World Mazo Inc/Mymazo
Posted by: Finansinspektionen, Sweden
Company: Dyman Associates
Posted by: Finansinspektionen, Sweden
Company: Bulls Capital Markets
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Bulls_Capital_Markets_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Invest-re Ltd.
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=407
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Card & Cash Solutions GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=408
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Swiss Capital and Guarantee
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=409
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Kanagawa Associates
Posted by: Finansinspektionen, Sweden
Company: Harden-Krause Private Equity Ltd
Posted by: Finansinspektionen, Sweden
Company: Ramsey Investment Partners
Posted by: Finansinspektionen, Sweden
Company: DAB Asia Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1209
Posted by: Securities and Futures Commission, Hong Kong
Company: Inter Global Equity
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1208
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

4 January 2014

Added (5)

Company: Amber Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised Firm and UK
incorporated companies.
Company: Zaklad Ekspertyz Gospodarczych Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Mintan Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Euro Asian Securities
Posted by: Securities Commission, Malaysia
Company: Westberg Equity Research Corp (WERC)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: may also use the name Westburg Equity

Deleted (12)

Company: Bergmannwhite Associates
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Megakupon S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Future A S.A.
   
Posted by: Polish Financial Supervision Authority, Poland
Company: Inwestycje-Plus
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Effit Sp. z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Silver Bonds S.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: BFG Home Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: THE BUSINESS GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: QUANTUM GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: BF GROUP Spólka z o.o. S.K.A.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: JMS Spólka z o.o.
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Company: Kasomat.pl
Link:  
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

21 December 2013

Added (13)

Company: Cayman Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=406
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Wiin International Group Ltd
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=405
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Leighton Corporate Services. LLC.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Leighton Corporate Services, LLC. is not authorised to
provide investment services in Ireland. The firm purports to be based in the USA.
Company: Kingsley Advice Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets,
Netherlands, The
Comments: The warning list “boiler rooms” contains the names of
companies that have approached persons without being asked, to offer them
investment proposals. The AFM has established that the companies that are
included in this warning list do not have an AFM license or a European
Passport.
Company: Fast Line Legal
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Victory Life & Pension Assurance Company Ltd
Posted by: Finansinspektionen, Sweden
Company: HSL Acquisitions Inc / HSL Acquisitions
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1206
Posted by: Securities and Futures Commission, Hong Kong
Company: Bio-Investor Ltd.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Unauthorised entities and websites offering Forex
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F796b1686-119d-42e1-aa11-71ebc88e9eaf
Posted by: Autorité des marchés financiers, France
Comments: Updated list of websites and entities offering investments on the unregulated
foreign exchange (Forex) market in France, without authorisation to do so
Company: Areal Equity Capital AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=404
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Xinagasia Marketing Corp.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=403
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Leighton Corporate Services LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Trade Europe
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1205
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 December 2013

Added (16)

Company: Profescapital Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: CorporateBonds.pl Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: JCI Asset Inc
Posted by: Finansinspektionen, Sweden
Company: Glendale Growth & Trust
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=402
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Win Holding AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=401
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Win Energie Invest GmbH
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=400
Posted by:  Swiss Financial Market Supervisory Authority,
Switzerland
Company: Fraudsters claiming to represent the AMF
Link:  http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F92c3a3c8-7c80-4a97-93ce-c17fad9c21f8
Posted by:  Autorité des marchés financiers, France
Comments: Warning regardind fraudsters claiming to represent or
to work for the AMF and proposing trades on unauthorised binary option websites
Company: Goldman Capital
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2F2a7fb701-8971-4de9-b52c-151f91958569
Posted by: Autorité des marchés financiers, France
Comments: Warning concerning Goldman Capital
Company: DeVere Group UK
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning the name and the address of the FCA
Authorised Firm.
Company: JCI Asset Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=399
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: trade-your.com
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/tradeyourcom.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be located in Isle of Man
using website www.trade-your.com
Company: Endeavour Assets
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/endeavourassets.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus entity claiming to be located in Isle of Man
using website endeavourassets.co.uk
Company: PrivateFX
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/privatefx
Posted by: Australian Securities and Investments Commission,
Australia
Company: Xinda Management Group
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/x/xinda-management-group
Posted by: Australian Securities and Investments Commission,
Australia
Company: SCFS Trading Limited
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/s/scfs-trading-limited
Posted by: Australian Securities and Investments Commission,
Australia
Company: KSI / Karamanof (may also use Karamanof Securities
& Investment Services)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.

Deleted (1)

Company: First Swiss Capital Inc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=383
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

7 December 2013

Added (16)

Company: Dingfeng International Corporation
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1201
Posted by: Securities and Futures Commission, Hong Kong
Company: GroupCPI
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: GE Wealth Management (clone of FCA authorised firm)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial
Conduct Authority, United Kingdom
Comments: Firm is cloning the name of a FCA authorised firm. It is also using the FCA logo.
Company: Forex Worldwide Ltd and ToroPROfit
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/PressReleases/05%2012%202013%20MFSA%20WARNING%20%20-%2014%20ToroProfit.pdf
Posted by: Malta Financial Services Authority, Malta
Company: FIRKIN ASSET CONSULTANTS
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Trade Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: FOREX
Link: http://www.lautorite.qc.ca/fr/communiques-2013-corpo.html_2013_meg-forex-2013-12-03.html
Posted by: Autorité des marchés financiers, Quebec
Company: CAM Energy SA
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=397
Posted by: Swiss
Financial Market Supervisory Authority, Switzerland
Company: Regium Commodity Trading Advisor Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Lee, Young & Chan
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1200
Posted by: Securities and Futures Commission, Hong Kong
Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Axis-Capital Ltd.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/axis-capital-ltd.html
Posted by: Financial Market Authority, Austria
Company: Takeshi Venture Capital
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/takeshi-venture-capital.html
Posted by: Financial Market Authority, Austria
Company: Strategic Private Equity LLC
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/strategic-private-equity-llc.html
Posted by: Financial Market Authority, Austria
Company: REALPROJECTS24 COOPERATION AG bzw. REALRPOJECTS24 COOPERATION LTD. Belize & Realprojects24 Co. LTd Thailand
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/realprojects24-cooperation-ag-bzw-realrpojects24-cooperation-ltd-belize-realprojects24-co-ltd-t.html
Posted by: Financial Market Authority, Austria
Company: Global Reach Asset Management
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/global-reach-asset-management.html
Posted by: Financial Market Authority, Austria

Deleted (2)

Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Helvetic Capital Partners AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=391
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

2 December 2013

Added (14)

Company: Fenka Rafal trytko
Posted by: Polish Financial Supervision Authority, Poland
Company: Ava Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm.
Company: Next Financial Network
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Mission Mining Company
Link: http://www.bcsc.bc.ca/release.aspx?id=18636
Posted by: British Columbia Securities Commission, British Columbia
Company: Cover Capital Partners
Posted by: Finansinspektionen, Sweden
Company: Ulverston Offshore Bank
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Ulverston-Offshore-Bank-November-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: Surplus Finance S.A.
Link: http://www.fscmauritius.org/media/106023/public_notice_-_suspension_of_licences_of_surplus_finance.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: BFS Markets Ltd
Link: http://www.fscmauritius.org/media/106019/public_notice_-_revocation_of__category_1_global_business_licence_of_bfs_markets_ltd.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: NCP Financials (may also use the name "Northland")
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised Firm
Company: www.forextotal.com
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=forextotal
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Capital Eurasia
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1198
Posted by: Securities and Futures Commission, Hong Kong
Company: Estlander & Ronnlund Capital Management 
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of EEA Authorised Firm
Company: GLOBALEYE SPRL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Edge Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

23 November 2013

Added (9)

Company: Binary Option Live Signals
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=39
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Hadfield Resources SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=395
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Qualified FX SA doing business as qualifiedfx.com and
qualifiedfx.net
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131121_qualified-fx-sa.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Qualified FX SA doing business as qualifiedfx.com and
qualifiedfx.net is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: CAPITALES FIJOS, S. A.
Link: http://www.supervalores.gob.pa/component/content/article/215-varios-alertas-al-inversionista/5136-warning--non-authorized-entity--capitales-fijos-s-a.html?qh=YTozOntpOjA7czo5OiJjYXBpdGFsZXMiO2k6MTtzOjU6ImZpam9zIjtpOjI7czoxNToiY2FwaXRhbGVzIGZpam9zIjt9
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered.
Company: Nomura Financial
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1197
Posted by: Securities and Futures Commission, Hong Kong
Company: Allied Global Holdings
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1196
Posted by: Securities and Futures Commission, Hong Kong
Company: Zurich Private Capital HQ
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=394
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Wave Star Trading Company Ltd/ Wavestar Trading
Company Ltd/ Wavestar Mystery Forex
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1195
Posted by: Securities and Futures Commission, Hong Kong
Company: Grupo Levys Conseil et Gestion
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=393
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 November 2013

Added (14)

Company: Frost Capital Partners
Posted by: Finansinspektionen, Sweden
Company: Strategic Private Equity LLC
Posted by: Finansinspektionen, Sweden
Company: Firkin Asset Consultants
Posted by: Finansinspektionen, Sweden
Company: Aspen Capital LLC
Posted by: Finansinspektionen, Sweden
Company: Sachs Trust
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=392
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Meta Trade Forex & Finance Group Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1385/language/en-GB/Meta-Trade-Forex-Finance-Group-Inc--Advisory-Warning-No-25-of-2013-12-November-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Operating as FX Meta Trade - unauthorised investment business
Company: Helvetic Capital Partners AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=391
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Win Win International Investments Limited
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1193
Posted by: Securities and Futures Commission, Hong Kong
Company: Strategic Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Board of International Finance
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: CMBS Portfolio, LLC.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: CMBS Portfolio, LLC. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Hong Kong Eshirong Financial Investment
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1192
Posted by: Securities and Futures Commission, Hong Kong
Company: SMG Swiss Mining Group
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=390
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Banc54 / B54 Technologies Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1191
Posted by: Securities and Futures Commission, Hong Kong

Deleted (2)

Company: Strategy Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:

Clone of FCA Authorised firm.

Also trading as Pictet & Cie.

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 November 2013

Added (8)

Company: Strategy Private Equity LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Zakra Corp Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Global Corporate Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: CapitalFrance
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fdeefe6e0-0d27-4436-8b72-5aad0181321c
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding CapitalFrance
Company: Rich Gold Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1188
Posted by: Securities and Futures Commission, Hong Kong
Company: Ramsey Investment Partners
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1189
Posted by: Securities and Futures Commission, Hong Kong
Company: Pictet Private Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:

Clone of FCA Authorised firm

Also trading as Pictet & Cie

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

3 November 2013

Added (21)

Company: Novee Forex doing business as www.noveeforex.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131030_novee-forex.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Novee Forex is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Pan American Global Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: World Capital Consultants
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hudson Strategic Partners
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Sovereign Wealth Capital
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Guozijian Capital
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Foerster Consulting Ltd.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: MAV-Group Ltd.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Global Equity Group
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Deutsche Policen Aufwertung AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=388
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Freeman & Rosenberg Finance Solutions
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=389
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Renta 60 (Rentabilidad 60%)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Renta%2060
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: IPO S.A.
Link: http://www.iposa.pl/
Posted by: Polish Financial Supervision Authority, Poland
Company: Reichwein & Walker
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=387
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Hobart Roth LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: St. Publius Corporate Services Limited
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/AdministrativeMeasuresAndPenalties/2013_10_25%20MFSA%20Warning%2012-2013%20St%20Publius.pdf
Posted by: Malta Financial Services Authority, Malta
Company: HRD PARTICIPAÇÕES SOCIETÁRIAS LTDA.
Link: http://www.cvm.gov.br/dados/DocSai/18222CD33ECB4AAEA7A1756EF72D95EE.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/2D3E5FAABAA44DD0AB7D295DC944F2D6.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/83CB64A348A241CAA3FFE1AE8E6C42BA.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/1FC6AEC933DE48FBA4259383526DD690.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: MUGELLO REDISTRIBUIÇÃO DE ATIVOS FINANCEIROS S/A
Link: http://www.cvm.gov.br/dados/DocSai/A94CCA7FF6AD46CD810C18B1FF323E62.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 October 2013

Added (19)

Company: Specialist Investor Funds
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Total Global Equity
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1185
Posted by: Securities and Futures Commission, Hong Kong
Company: Charterhouse Wealth Management
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1183
Posted by: Securities and Futures Commission, Hong Kong
Company: Sentinel Asset Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=386
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: IFC Independent Financial Consultants
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=385
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Hanover Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Quinn & Voakes Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: HÉTILO DO BRASIL EMPREENDIMENTOS LTDA. ME
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli716.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities through the page http://www.villagedaspedras.com.br
Company: EZTrader / WGM Services Ltd.
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=18386
Posted by: British Columbia Securities Commission, British Columbia
Company: Hoden International Clearing
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: 1st Edge Financial Bank of the United Kingdom
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Ellis Harper & Co LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: First Swiss Capital Inc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=383
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: PIM-Handel AG Schweiz
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=384
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Asset Capital Management
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=382
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Brewer Consulting Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Forex
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_meg-forex-an.html
Posted by: Autorité des marchés financiers, Quebec
Company: Zenith FUND SA - SICAV- SIF
Posted by: Polish Financial Supervision Authority, Poland
Company: Steinberg Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

19 October 2013

Added (6)

Company: Glover Capital Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Progression Mergers & Acquisitions
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport
Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Redevelopment Corporation International Ltd
Link: http://www.mfsa.com.mt/pages/readfile.aspx?f=/files/Announcements/AdministrativeMeasuresAndPenalties/2013_10_14%20MFSA%20Warning%2011-2013.pdf
Posted by: Malta Financial Services Authority, Malta
Comments: Redevelopment Corporation International Ltd (operating under trade name “FOREXPERTI” - https://www.forexperti.com/)
Company: IP INTERNATIONAL SERVICE,TRADING CORPORATION,BANK OF BROKER,IKKOTRADER,TRADER369,AJ BROWDER CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning

Deleted (2)

Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 October 2013

Added (13)

Company: MD Costa Rica Invest (Ireland)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131010_md-costa-rica.htm
Posted by: Ontario Securities Commission, Ontario
Comments: MD Costa Rica Invest (Ireland) doing business as http://www.costaricainvest.ie not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: PRG Global Group, Canada doing business as http://timprg.wix.com/prg-group-canada
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131010_prg-global.htm
Posted by: Ontario Securities Commission, Ontario
Comments: PRG Global Group, Canada and PRG Global Realty, Canada doing business as http://timprg.wix.com/prg-group-canada and http://www.naturewalkcostarica.com are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Whitney Cooper Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ROWE CORPORATE SERVICES
Link: http://www.fca.org.uk/news/warnings/rowe-corporate-services
Posted by: Financial Conduct Authority, United Kingdom
Company: FIL Investment Management
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1181
Posted by: Securities and Futures Commission, Hong Kong
Company: KAIROS CONSULTORIA E INVESTIMENTOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli715.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized portfolio management services through the internet webpage: www.kairosinvestimentos.com.br
Company: Windsor Finance Group
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1179
Posted by: Securities and Futures Commission, Hong Kong
Company: Hong Kong Business Information Registry
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1178
Posted by: Securities and Futures Commission, Hong Kong
Company: Hodyer Asia / Hodyer Asia Assets Management Inc / Hoyder Investment Group
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1177
Posted by: Securities and Futures Commission, Hong Kong
Company: Northern Capital Consultants
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bloomfield Advisory
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Swiss Capital Alternatives
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=381
Posted by: Swiss Financial Market Supervisory Authority, Switzerland

Deleted (1)

Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

5 October 2013

Added (28)

Company: Mundial Securities
Link: http://www.sfc.hk/web/EN/alert-list/m.html#1176
Posted by: Securities and Futures Commission, Hong Kong
Company: Stowford & Proctor Asset Management
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1175
Posted by: Securities and Futures Commission, Hong Kong
Company: Risk Capital International (doing business as riskcapitalint.com and www.riskcapitalfx.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20131003_risk-capital.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Risk Capital International is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: B.H. Global France
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company:  
Link: http://www.hcmc.gr/photos/kefalaiagora/files/WARNING_A.KONSTANTINIDIS_2_10_13_.pdf
Posted by: Hellenic Republic Capital Market Commission, Greece
Company: Accredited International
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130930_accredited-international.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Accredited International doing business as www.accreditedfx.com.com and accreditedoffshore.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Conquest Private Equity LLC
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/?query=C
Posted by: Finansinspektionen, Sweden
Company: Warning against Unsolicited Offers
Link: http://www.fscmauritius.org/media/102435/warning_against_unsolicited_offers.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: FX Core/ FxCORE
Link: http://www.fscmauritius.org/media/102433/fx_core_fxcore.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Hayes Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Accer Mergers & Acquisitions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hamilton International Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: FX Zenith Limited
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=380
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: North Corp International
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1173
Posted by: Securities and Futures Commission, Hong Kong
Company: First Data Limited
Link: http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/firstdataltd.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogius entity using website http://firstdata.im
purporting to be based in Isle of Man
Company: Hayes Capital
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Hayes-Capital-September-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/686F4C033B6842E881720DCD3A0BC453.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/0769FD8313164AEB9EA0FD3A567F6838.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/EB5ED70E3C7541A38444BEDA427F1B49.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/4BF06DC1FD7746C9B7282773FA2F8266.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: Innovative Securities Limited
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Klub Zamoznego Inwestora
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Sompo Capital Group
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1172
Posted by: Securities and Futures Commission, Hong Kong
Company: Oriental Financial Service
Link: http://www.sfc.hk/web/EN/alert-list/o.html#1171
Posted by: Securities and Futures Commission, Hong Kong
Company: Nomura Asset Management
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1169
Posted by: Securities and Futures Commission, Hong Kong
Company: Yad Lan Investments
Link: http://www.sfc.hk/web/EN/alert-list/y.html#1168
Posted by: Securities and Futures Commission, Hong Kong
Company: Financial Center Partners
Link: http://www.sfc.hk/web/EN/alert-list/f.html#1167
Posted by: Securities and Futures Commission, Hong Kong
Company: Baker Boyd Associates
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1166
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

21 September 2013

Added (7)

Company: Zurich Private Equity AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=377
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Otto Investments
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Touchwood Ltd
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Safecap Investments (Poland) Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Waterman Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: DT Group Business Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Objective Returns PLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Registered Firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

14 September 2013

Added (21)

Company: Direct Mergers and Acquisitions Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Sovereign International Worldwide Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1375/language/en-GB/Sovereign-International-Worldwide-Limited--Advisory-Warning-No-24-of-2013-12-September-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: Sovereign International Ltd.
Advisory warning - unauthorised investment broker
Company: 5LINX Enterprises Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1374/language/en-GB/5LINX-ENTERPRISES-INC--Advisory-Warning-No-23-of-2013-12-September-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - unauthorised investment business
Company: The Corliss Group
Link: http://www.finanstilsynet.dk/Nyhedscenter/Pressemeddelelser/2013/Advarsel-The-Corliss-Group.aspx?sc_lang=en
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that The Corliss Group unsolicited has offered to carry out financial services in Denmark. The company has offices in Barcelona and Hong Kong. The company's homepage is http://thecorlissgroup.com/.

The Corliss Group does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Company: Access Finance PLC
Link: http://www.jerseyfsc.org/pdf/Public-Statement-Access-Finance-PLC-September-2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: Hamilton International Group
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Hamilton International Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Sureland Investment Limited
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/sureland-investment-limited.html
Posted by: Financial Market Authority, Austria
Company: Solomon Layb
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/solomon-layb.html
Posted by: Financial Market Authority, Austria
Company: Schwartz Invest
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/schwartz-invest.html
Posted by: Financial Market Authority, Austria
Company: Summit Capital Management
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-buitenland/s.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: FIL Investment Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised (Schedule 5) firm
Company: Byrd Fleming and Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Grand Meridian Private Equity Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: G6 Trading doing business as www.gcitrading.com
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130910_g6-trading.htm
Posted by: Ontario Securities Commission, Ontario
Comments: G6 Trading doing business as www.gcitrading.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Brien Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1165
Posted by: Securities and Futures Commission, Hong Kong
Company: Gould Ventures Group
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1164
Posted by: Securities and Futures Commission, Hong Kong
Company: Hong Kuang
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1163
Posted by: Securities and Futures Commission, Hong Kong
Company: Sentinel Equity Inc
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1162
Posted by: Securities and Futures Commission, Hong Kong
Company: Norris Jardine Newell Equities
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1161
Posted by: Securities and Futures Commission, Hong Kong
Company: Messrs Leroy and Grecy
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html?docId=workspace%3A%2F%2FSpacesStore%2Fa1a1eebb-ebbc-4084-a54c-b18b35949cdd
Posted by: Autorité des marchés financiers, France
Comments: Warning regarding the activities of persons purporting to be Mr Franck LEROY and Mr Nicolas GRECY from the company “AMF” (Autorité Money Forex).
Company: GCI Financial LLC. (doing business as www.gcitrading.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130828_gci-financial.htm
Posted by: Ontario Securities Commission, Ontario
Comments: GCI Financial LLC is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

 

7 September 2013

Added (24)

Company: International Youtrade Investments MA Ltd
Link: http://www.fscmauritius.org/media/101999/youtrade.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Panchshil Healthcare Ltd
Link: http://www.fscmauritius.org/media/102003/panchshil.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Opstock Ltd (Clone of authorised firm)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised Firm
Company: Update-websites offering binary options
Link: http://www.amf-france.org/en_US/Epargne-Info-Service/Mise-en-garde/Par-date.html
Posted by: Autorité des marchés financiers, France
Comments: Update of warning on websites offering binary options dated 1 August 2013
Company: Mayer Kaufman Private Bankers
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Mayer_Kaufman_Private_Bankers_040913_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: NZ Financial Capital Limited
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_NZ_Fin_Cap_040913_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Alliance Partnership
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA EEA Authorised firms.
Company: http://fxaxa.co.uk
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/axaisleofmanlimi.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus website claiming to be linked to genuine Isle of Man company
Company: Brent Technologies
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/bogusoffersofemp5.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus job opportunities being offered int eh Isle of Man
Company: Standard Trust Finance Bank
Link: http://www.fsc.gov.im/ViewNews.gov?menuid=14805&page=lib/news/fsc/standardtrustfin.xml
Posted by: Financial Supervision Commission, Isle of Man
Comments: Bogus company claiming to be domiciled in the Isle of Man
Company: World Systems Market LLC
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_world_system_market_llc.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that World Systems Market LLC, which is offering trading on the forex market in Czech via a web presentation at http://www.i-wsm.com/cz.aspx, currently has no authorisation to provide investment or any other services on the financial market in the Czech Republic.
Company: Hong Kong Shanghai Board Options Exchange
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1160
Posted by: Securities and Futures Commission, Hong Kong
Company: Consorteum Holdings Inc
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/consorteum-holdings-inc
Posted by: Australian Securities and Investments Commission, Australia
Company: Indochine Nominees Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/indochine-nominees-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Lucky Pearl Investments Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/l/lucky-pearl-investments-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Capital Alliance International
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/capital-alliance-international
Posted by: Australian Securities and Investments Commission, Australia
Company: Gordon Vaughn and Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/g/gordon-vaughn-and-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: International Commission of Securities
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/international-commission-of-securities
Posted by: Australian Securities and Investments Commission, Australia
Company: Twin Royale International
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/t/twin-royale-international
Posted by: Australian Securities and Investments Commission, Australia
Company: Madley Capital Management Limited
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/m/madley-capital-management-limited
Posted by: Australian Securities and Investments Commission, Australia
Company: Cambros Capital Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/c/cambros-capital-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Private Venture Capital Group
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/private-venture-capital-group
Posted by: Australian Securities and Investments Commission, Australia
Company: R&G Securities & Transfers Inc
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/r/rg-securities-transfers-inc
Posted by: Australian Securities and Investments Commission, Australia
Company: Paulson Management LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/paulson-management-llc
Posted by: Australian Securities and Investments Commission, Australia
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

31 August 2013

Added (88)

Company: Fortress Global Markets
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17984
Posted by: British Columbia Securities Commission, British Columbia
Company: Norex Trade Advisors
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17982
Posted by: British Columbia Securities Commission, British Columbia
Company: Mitsubishi UFJ Morgan Stanley Securities Co. Ltd
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of a Japanese firm.
Company: SCOTT FISCHER CONSULTANCY
Link: http://www.fca.org.uk/news/warnings/scott-fischer-consultancy
Posted by: Financial Conduct Authority, United Kingdom
Company: Nomos Wealth Management
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: JORDAN PARKINSON GROUP
Link: http://www.fca.org.uk/news/warnings/jordan-parkinson-group
Posted by: Financial Conduct Authority, United Kingdom
Company: Health Insurances Contor AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=376
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Swiss Investor Club AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=375
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Blue Sky Group Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: www.rtronx.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1157
Posted by: Securities and Futures Commission, Hong Kong
Company: www.bimforex.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1158
Posted by: Securities and Futures Commission, Hong Kong
Company: Global Reach Asset Management
Link: http://www.finanstilsynet.dk
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Comments: The Danish Financial Supervisory Authority has been informed that Global Reach Asset Management from Hong Kong unsolicited has offered to carry out financial services in Denmark.
Company: FXHelpers, The (doing business as www.thefxhelpers.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130820_fxhelpers.htm
Posted by: Ontario Securities Commission, Ontario
Comments: TheFXHelpers is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Temple Nugent Capital Management / Temple and Nugent Investments
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: NCL Group (UK) Ltd
Link: http://www.sfc.hk/web/EN/alert-list/n.html#1156
Posted by: Securities and Futures Commission, Hong Kong
Company: Capital Finance Group Hong Kong Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1155
Posted by: Securities and Futures Commission, Hong Kong
Company: Dinosaur Investor Services (UK) Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1152
Posted by: Securities and Futures Commission, Hong Kong
Company: Dinosaur Assets Management (HK) Limited
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1153
Posted by: Securities and Futures Commission, Hong Kong
Company: www.gwtrade.hk
Link: http://www.sfc.hk/web/EN/alert-list/chinese.html#1151
Posted by: Securities and Futures Commission, Hong Kong
Company: Rich Gold Group Limited
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1150
Posted by: Securities and Futures Commission, Hong Kong
Company: Wineburg Corporate Insurance
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Western Transfers Company
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Wahrburg Moss
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: VipBinary, a.k.a. Vip Binary
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tudor Capital Group, a.k.a. Tudor Capital Global Financial Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Treadstone Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TMRTrust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TradersRoom
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tompkins, Price & Walker
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TMRTrust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: The Firm Inc., a.k.a. The Ottoman Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: TDB Financial Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Swinson Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Stamford Niles Equities, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Smith and Lockhart Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Senaca Stock Transfer Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Ryan & Mahar, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regent Consolidated
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regent & Langley Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: RBM International Limited
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Private Fund Management S.A.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Prime Acquisitions Group, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Plutus Private Equity LLP
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Phenix Digital Solutions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Peterson Advisors Limited, a.k.a. Peterson Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Pelican Trading Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Parker & Masters LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: New England Private Equity, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: MCT International Investments
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mayer and Connolly LLP
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Maxwell Consultancy Limited
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Manhattan Corporate Transfers
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Kiefer Business Services LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Keystone Global Marketing
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Johnson McQuade Acquisitions Corp.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Integrated Tax
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hendricks & Hurst
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Heale Financial LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hammond Global Solutions LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: H. Taft Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenwood Capital Advisors
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenfield and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Green Wave Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Graham, Morrison, and Wilson, a.k.a. GMW Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Giles and Hochman Consulting
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Franklin Rankin, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: First Private Equity Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Financial Affairs Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Feinler Management Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Federal Asset Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Endeavour Mergers and Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Davidson Capital Partners
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Continental Private Equity LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Commodity Compliance Services, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Cohen Corporate Consulting
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Chartered Capital Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Capital Insurance Group Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Brown and Wenger Consultancy Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Bramwell & Kent Consultants, LLC.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Brady & Bell Acquisition Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Banner Commodities
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Atlas Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: ATG Capital Solutions, Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Apollo Global Securities LLC. (sic)
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Anderson, Franklin, Sullivan Partners Ltd., a.k.a. AFS Partners Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: ACT Transfer Services
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Conquest Private Equity LLC
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/conquest-private-equity-llc.html
Posted by: Financial Market Authority, Austria
Company: Lexington International Group Inc.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/lexington-international-group-inc.html
Posted by: Financial Market Authority, Austria

Deleted (1)

Company:  
Link:  
Posted by: Finanstilsynet (Denmark Financial Supervisory Authority), Denmark
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

17 August 2013

Added (13)

Company: MKR Global Services LLC
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Eclipse Options Ltd Europe / Eclipse Trading
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of Hong Kong and UK
incorporated firms.
Company: AXA Isle of Man
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
Company: Dean Capital Canada Ltd., doing business as Dean Capital Group
Link: https://www.osc.gov.on.ca/en/Investors_wl_20130815_dean-capital-group.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Dean Capital Canada Ltd., doing business as www.deancapitalgroup.com, and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Forexoma Ltd
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1149
Posted by:  Securities and Futures Commission, Hong Kong
Company: www.saxoforex.hk, www.saxoworld.com.hk
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1148
Posted by: Securities and Futures Commission, Hong Kong
Company: Standard Wealth Management Limited
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1147
Posted by:  Securities and Futures Commission, Hong Kong
Company: Future Trend Investment Holding Limited
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1146
Posted by: Securities and Futures Commission, Hong Kong
Company: East Cape Mining Corporation
Link:  http://www.sfc.hk/web/EN/alert-list/e.html#1145
Posted by: Securities and Futures Commission, Hong Kong
Company: GMO Global
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1144
Posted by: Securities and Futures Commission, Hong Kong
Company: Arrow Capital Partners
Link:  http://www.sfc.hk/web/EN/alert-list/a.html#1143
Posted by:  Securities and Futures Commission, Hong Kong
Company: Cadell Acton Group International
Link:  http://www.sfc.hk/web/EN/alert-list/c.html#1142
Posted by:  Securities and Futures Commission, Hong Kong
Company: Wainwright Wealth Management / Wainwright Finance
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

10 August 2013

Added (34)

Company: White Plains International Securities
Posted by: Financial Conduct Authority, United Kingdom
Company: CV Global Corp LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Department of Foreign Investment Control
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/d/department-of-foreign-investment-control
Posted by: Australian Securities and Investments Commission, Australia
Company: VCC International Group Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/v/vcc-international-group-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: TM Capital Corp / Thomson McKinnon Capital Corp
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/t/tm-capital-corp-thomson-mckinnon-capital-corp
Posted by: Australian Securities and Investments Commission, Australia
Company: Key Value Wealth Management
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/k/key-value-wealth-management
Posted by: Australian Securities and Investments Commission, Australia
Company: Raimon & Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/r/raimon-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: Bureau of International Securities Trading
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/b/bureau-of-international-securities-trading
Posted by: Australian Securities and Investments Commission, Australia
Company: Adolphe Financial Management
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/W_Adolphe_Financial_Management_080813_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Banc de Binary
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_caution-banc-de-binary.html
Posted by: Autorité des marchés financiers, Quebec
Company: DENKO GROUP and WILTSHIRE CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Champel Private Equity SA
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=374
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: TradeRush.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17810
Posted by: British Columbia Securities Commission, British Columbia
Company: GOptions.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17806
Posted by: British Columbia Securities Commission, British Columbia
Company: 24option.com
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17808
Posted by: British Columbia Securities Commission, British Columbia
Company: Lexington International Group Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Miles Corporate Services
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company:  KKR
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised firms.
Company: Saba Capital Management
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1141
Posted by:  Securities and Futures Commission, Hong Kong
Company:  Commodity Options Security Exchange
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1140
Posted by:  Securities and Futures Commission, Hong Kong
Company: Hang International
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1139
Posted by: Securities and Futures Commission, Hong Kong
Company: VCC International Group Ltd
Link: http://www.sfc.hk/web/EN/alert-list/v.html#1138
Posted by: Securities and Futures Commission, Hong Kong
Company: HenryFX
Link:  http://www.sfc.hk/web/EN/alert-list/h.html#1137
Posted by:  Securities and Futures Commission, Hong Kong
Company:  Guardian Swiss Trust AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=373
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Braun and Brandt Consulting Firm
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: SevenTrades Global Markets Ltd.
Link:  http://www.fscmauritius.org/media/98962/investor-alert-seventrades-global-markets-ltd.pdf
Posted by:  Financial Services Commission, Mauritius, Republic of
Company: Bergmannwhite Associates
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company:  INI Securities GmbH
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company:  Travaled Enterprises Limited
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company: Blue Dome Partners
Link:  http://www.sfc.hk/web/EN/alert-list/b.html#1135
Posted by: Securities and Futures Commission, Hong Kong
Company: Bergmannwhite Associates
Link:  http://www.sfc.hk/web/EN/alert-list/b.html#1134
Posted by:  Securities and Futures Commission, Hong Kong
Company: Credit Union Group S.A.
Link:  http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4936-warning--non-authorized-entity-credit-union-group-sa-.html
Posted by:  Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company:  Swiss Guarantee Bank plc
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=372
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland
Company: BNP Paribas Bank
Link:  http://www.jerseyfsc.org/pdf/Public_Statement_BNP_Paribas_Bank_July_2013.pdf
Posted by:  Jersey Financial Services Commission, Jersey
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

27 July 2013

Added (29)

Company: Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: Fusion Capital Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Fidelity Global Recovery
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Rubin Price Securities
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Dean Witter Consultancy
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Rapid Exchange / Rapid Gold Inc.
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1133
Posted by: Securities and Futures Commission, Hong Kong
Company: GERABANK ADMINISTRAÇÃO DE INVESTIMENTOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli713.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized portfolio management through the internet
webpage: http://www.gerabank.com.br
Company: MTR Global
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=17730
Posted by: British Columbia Securities Commission, British
Columbia
Company: BH FRANCE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: BRIDGESTONE TRADING
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: JONES FALLS SECURITIES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: FINANCIAL ADVISORS ONLINE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Apex International Consulting Group
Posted by: http://www.jerseyfsc.org/pdf/Public_Statement_Apex_International_Consulting_Group_July_2013.pdf
Comments: Jersey Financial Services Commission, Jersey
Company: www.4xp.com
Link: http://www.cvm.gov.br/dados/DocSai/FFF38596E6C14B0584824B1CEDEE6869.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Company: www.forexyard.com
Link: http://www.cvm.gov.br/dados/DocSai/FFF38596E6C14B0584824B1CEDEE6869.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to offer investment opportunities in the
Forex market to Brazilian residents by any means (online or other).
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/3A3C295B983443B7A579EDF2A568D14A.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/B590A8EEBE9D48759FCDC43F59A47F6D.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/DCD4994A09274FADA94D02B6F3EDABEC.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/B25B3D9FCB2E449B96637FF6E87B05D7.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/09290F3BD08C479BA7773F1AA76B9536.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/E6DCFA5F97BE48AD9181D516EC5C3571.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/D74BA9045EC44858B06C74C2F5C46412.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to act as a broker, buy or sell
securities and to act as a Proxy regarding any securities transactions.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/ABEB8A02D2DC42429FE664B4EE51493B.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company:  
Link: http://www.cvm.gov.br/dados/DocSai/E0CA130C72B84712AD25CCA01E9E88EE.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: OBJETIVA GESTÃO E VENDAS S/S LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli712.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities
through the page http://www.objetivaconsorcio.com.br
Company: BWM INVESTMENTS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli711.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized to publicly offer investment fund quotas
and security services through the internet webpage: http://www.bwminvestments.com
Company: MIDAS INVESTIMENTOS IMOBILIÁRIOS LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli705.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities
through the page https://www.facebook.com/MidasInvestimentos
Company: United Capital Forex Limited
Link: http://www.fscmauritiud.org/media/96818/united-capital-forex_limited.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company:  Araxo Technologies Ltd (“Araxo4x”)
Link: http://www.fscmauritius.org/media/96815/araxo-technologies-ltd.pdf
Posted by: Financial Services Commission, Mauritius, Republic of

Deleted (1)

Company: RWANDA CASH
Link:  
Posted by:  Financial Services and Markets Authority, Belgium
Comments: warning
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

13 July 2013

Added (17)

Company: www.axa-a.com
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1117
Posted by: Securities and Futures Commission, Hong Kong
Company: http://azentuscapitalmanagement.com
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1115
Posted by: Securities and Futures Commission, Hong Kong
Company: http://azentus-capital.com
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1116
Posted by: Securities and Futures Commission, Hong Kong
Company: JP Premier International Holdings Limited
Link: http://www.sfc.hk/web/EN/alert-list/j.html#1114
Posted by: Securities and Futures Commission, Hong Kong
Company: AWI Financial
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1113
Posted by: Securities and Futures Commission, Hong Kong
Company: Jin Yu Heng Tong Investment Co Ltd
Link: http://www.sfc.hk/web/EN/alert-list/j.html#1112
Posted by: Securities and Futures Commission, Hong Kong
Company: Dupont Securities
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1111
Posted by: Securities and Futures Commission, Hong Kong
Company: Leonard Ullrich Neuman
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1110
Posted by: Securities and Futures Commission, Hong Kong
Company: IC Markets Hong Kong
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1109
Posted by: Securities and Futures Commission, Hong Kong
Company: DS Forex
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1108
Posted by: Securities and Futures Commission, Hong Kong
Company: www.franklinfund.us
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1107
Posted by: Securities and Futures Commission, Hong Kong
Company: www.shifu1.com
Link: http://www.sfc.hk/web/EN/alert-list/chinese.html#1104
Posted by: Securities and Futures Commission, Hong Kong
Company: Capstone Capital Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: ESIP Finance
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA EEA Authorised firm.
Company: Infineo24
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html

Posted by: 

Polish Financial Supervision Authority, Poland
Company: Factor Consulting Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Unterstützungskasse für Arbeitnehmerschutz und
Vorsorge
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/unterstuetzungskasse-fuer-arbeitnehmerschutz-und-vorsorge-2.html
Posted by: Financial Market Authority, Austria
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

6 July 2013

Added (12)

Company: The Best Investment Guide
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is using similar name to FSA Authorised firms which are in no way linked to this company.
Company: AJ Nelson Consultants LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: INTELLIGENT TRADING CORP.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4903-warning--non-authorized-entity--intelligent-trading-corp.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Q-BUSINESS SPRL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: EDMUND ROME CORPORATE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Sheppard Capital Partners
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Wentworth Worldwide Ltd
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Stargate Advisors Limited
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list “boiler rooms” contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: M&B Capital Advisers
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=b%20capital%20advisers
Posted by: Comisión Nacional del Mercado de Valores, Spain
Comments: This entity does not have any relationship with the Spanish entity M&B Capital Advisers, S.A. that until 2012 was registered as a broker-dealer in the CNMV under the name M&B Capital Advisers, S.A. Sociedad de Valores.
Company: Investment House Limited
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=investment%20house%20limited
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Apex International Consulting Group (AICG)
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Global Mergers Corporation
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information.

 

29 June 2013

Added (123)

Company:  Novum Capital
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
Company: Legacy Capital Management
Link:  http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by:  Central Bank of Ireland, Ireland
Comments:  Legacy Capital Management is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: JW. Capital Management Corporation
Link:  http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by:  Polish Financial Supervision Authority, Poland
Company: Hanson Business Services LLC
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Krisworld Development Limited doing business as
binaryoptionsxposed.com
Posted by:  Ontario Securities Commission, Ontario
Comments:  Krisworld Development Limited doing business as binaryoptionxposed.com, option-world.com, bank-options.com and signaliforex.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: HFX Global Ltd. doing business as hfx.com
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_hfx-global.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  HFX Global Ltd. doing business as hfx.com is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: European Caribbean Financial Group Ltd
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  European Caribbean Financial Group Ltd. (Belize) and its affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities. 
Company:  Vault Emerging Market Treasuries Ltd
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: Vault Emerging Market Treasuries Ltd. (Canada) and its
affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Questus Global Capital Market Ltd.
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130627_questus-vault-european.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  Questus Global Capital Market Ltd. (Canada) and its
affiliates and representatives are not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Leonard Ullrich Neumann
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a previously FCA EEA
Authorised firm.
Company: Altree Financial Group
Link:  http://www.sfc.hk/web/EN/alert-list/a.html#1102
Posted by:  Securities and Futures Commission, Hong Kong
Company: Securities Africa
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1101
Posted by:  Securities and Futures Commission, Hong Kong  
Company: The Avanti Group
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1100
Posted by: Securities and Futures Commission, Hong Kong
Company:  Flex Capital Partners
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1098 
Posted by:  Securities and Futures Commission, Hong Kong
Company:  www.jiashivip.net
Link:  http://www.sfc.hk/web/EN/alert-list/w.html#1097
Posted by:  Securities and Futures Commission, Hong Kong
Company: Capital Alliance International
Link:  http://www.sfc.hk/web/EN/alert-list/c.html#1096
Posted by:  Securities and Futures Commission, Hong Kong
Company: First Laurel Capital
Link:  http://www.sfc.hk/web/EN/alert-list/f.html#1095
Posted by:  Securities and Futures Commission, Hong Kong  
Company: Hamilton Financial Services
Link:  http://www.sfc.hk/web/EN/alert-list/h.html#1094
Posted by:  Securities and Futures Commission, Hong Kong
Company: TraderXP Ltd. (doing business as www.traderxp.com)
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20100112_titan-resources.htm
Posted by:  Ontario Securities Commission, Ontario
Comments:  TraderXP Ltd., doing business as traderxp.com, is not
registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: XFR Financial Ltd., also known as O.C.M. Online
Capital Markets Ltd.
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20130626_xfr-financial.htm
Posted by:  Ontario Securities Commission, Ontario
Comments: XFR Financial Ltd., also known as O.C.M. Online Capital Markets Ltd., (doing business as www.xforex.com and www.askobid.com), is not registered to engage in the business of (i) trading in securities or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: Kenzar Consulting Inc. (doing business as www.kenzarfx.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130626_kenzar.htm
Posted by:  Ontario Securities Commission, Ontario  
Comments:  Kenzar Consulting Inc., doing business as kenzarfx.com, is not registered to engage in the business of (i) trading in securities
or (ii) advising anyone with respect to investing in, buying or selling securities.
Company: International Brokers Worldwide
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company: Billmen & Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Davis & Co LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of UK incorporated firm.
Company: Swan Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Bradley King M & A
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Eurotex Global Savings and Trust, S.A.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=eurotex%20global%20savings%20and%20trust
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Swiss8, S.A.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=swiss8
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Telemar Data Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Telemar Data Management is not authorised to provide investment services in Ireland. The firm purports to be based in Brazil.
Company: Coleman and Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: MM Institutional
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA Registered Firm
Company: AdvisorCorp Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Equiniti Registrars Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: WBS Holding Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1366/language/en-GB/WBS-Holding-Ltd--Advisory-Warning-No-22-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Forex Place Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1365/language/en-GB/Forex-Place-Ltd--Advisory-Warning-No-21-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: BForex Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1364/language/en-GB/BForex-Limited--Advisory-Warning-No-20-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Nova Tradex Financial Holdings Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1363/language/en-GB/Nova-Tradex-Financial-Holdings-Ltd--Advisory-Warning-No-19-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Paxinvest.com Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1362/language/en-GB/Paxinvestcom-Limited--Advisory-Warning-No-18-of-2013-6-June-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorized investment business
Company: Logic Invest
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Company: Goldberg Capital Group Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning names of a number of FCA Approved Persons.
Company: Interactive Investor Trading Limited / Share Price UK
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: Kendall Morgan Partners
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1093
Posted by: Securities and Futures Commission, Hong Kong
Company: CMS AG, Marshall Islands, Zweigniederlassung Riedmatt
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=369
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Kremer Moyse AG
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Kremer_Moyse_AG_140613_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Phoenix Private Equity LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/p/phoenix-private-equity-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: Madison Private Equity LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/m/madison-private-equity-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: iOption Group Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/i/ioption-group-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Drobium Associates
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/d/drobium-associates
Posted by: Australian Securities and Investments Commission, Australia
Company: VC Management China Ltd
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/v/vc-management-china-ltd
Posted by: Australian Securities and Investments Commission, Australia
Company: Sol Transfer Agents LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Palmer Corporate Solutions, LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Stalmann Clark
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: AMG Finanz LTD
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/amg-finanz-ltd.html
Posted by: Financial Market Authority, Austria
Company: MKP Capital Europe / MKP Europe
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm.
Company: Ausante LLC
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/a/ausante-llc
Posted by: Australian Securities and Investments Commission, Australia
Company: Peterson Capital Partners Inc
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Weinberg Equity Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Warren Fisher and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Waight & Caffie Company Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Upper East Side Trust Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Trias Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tribune Assets Management Litmited (sic)
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Texas Stock and Bond
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Tate and Carver Consultancy Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Smith and Olsson
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Silver Spring Capital Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Rothridge Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Rosenthal & Goldberg Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Riley Securities and Trading Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Richmond Grant Security & Transfer Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Regal Registrars
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Comments: This entity has the same IP address as Pacific Alliance Mergers & Acquisitions.
Company: Private Trading Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: One Global Venture Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Park Avenue Mergers and Acquisitions LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Offshore Taxation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Morgan Premier Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: MKL Business Services, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Miller Winston
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Miller Consulting Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: McPherson Gordon Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Massaki, Lane and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Marsh & Reede Capital
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mandolin Resources
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Lincoln Equity Partners
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Kirkland Mergers & Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Keep Clearing Corporation LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Karum Group LLC Law Firm
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Isaac Paige Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: IBG and Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hillton Stock Investment Limited, a.k.a. Hillton Stocks Investments
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Heckart Associates, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Hamilton and Pricehouse Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Grenfell and Blackrock Associates
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Greenway Consultancy
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Green Bay Ventures LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Goldman Phillips
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Global Direct Asset Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: GFC Worldwide, a.k.a. Global Financial Corp.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Fundamental Trading Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: First Axis Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: East Financial Group Incorporated
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: DurdanHeyer Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: DreyfusMeyer & Co., Inc.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Crossley Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: CPI International
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Crest Trust Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Cooper Company Management
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Centaur Global Advisors
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Capgemini Law Mergers & Acquisitions
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Boston Private Equity
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Bloomfield Trust Management, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Blake Morgan Financials
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: BL Trading Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Blackstone Royalty Corporation
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Betterlife Investment Group
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Comments: This entity also provided three additional purported U.S. addresses as well as addresses in the United Kingdom and Canada on its website, which is no longer accessible.
Company: Arcadia Trading Group, Ltd. Arcadia Oil & Gas, LLC
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: AMK Trust Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Alta Paramount Ltd.
Link: http://www.sec.gov/investor/oiepauselist.htm
Posted by: Securities and Exchange Commission, United States of America
Company: Mergers and Acquisitions Financial Administration
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Vilaron compagnie inc.
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_cautions-vilaron-simonvodovos.html
Posted by: Autorité des marchés financiers, Quebec
Company: Allianz Asset Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA Authorised firm.
Company: Balfour Beatty
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a UK incorporated company.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 June 2013

Added (14)

Company: Priory Investments Services Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1359/language/en-US/PRIORY-INVESTMENTS-SERVICES-LTD--Advisory-Warning-No-17-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: The Asia Gold Mining Asset Corporation
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1358/language/en-US/THE-ASIA-GOLD-MINING-ASSET-CORPORATION--Advisory-Warning-No-16-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorised investment business
Company: Axis Trading Group Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1357/language/en-US/AXIS-TRADING-GROUP-INC--Advisory-Warning-No-15-of-2013-27-May-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorized investment business
Company: Unterstützungskasse für Arbeitnehmerschutz und Vorsorge
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/unterstuetzungskasse-fuer-arbeitnehmerschutz-und-vorsorge.html
Posted by: Financial Market Authority, Austria
Company: Ardea Capital LP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Reynolds Consultancy Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: GLOBALFX MANAGEMENT TRADING LIMITED, Road Town (Tortola, British Virgin Islands), Zweigniederlassung Zürich
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=368
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Lawrence James & Associates
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Exelyum Ltd
Link: http://www.amf-france.org/affiche_plan.asp?IdSec=19&IdRub=192&IdPlan=214
Posted by: Autorité des marchés financiers, France
Comments: Warning dated 28 May 2013
Company: www.vivodelabolsa.com
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=www.vivodelabolsa.com
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Consulto Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Companies Investment Holdings Ltd
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Platinum Capital Management Limited
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Whitmore Wealth Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 June 2013

Added (16)

Company: Montgomery Capital Partners
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Eldridge Financial  
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by:  Financial Conduct Authority, United Kingdom
Company:  EUREX CAPITAL CORP.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4800-warning--non-authorized-entity--eurex-capital-corp-.html 
Posted by: Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered.
Company: Clarity Capital Markets
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of FCA Authorised firm.  
Company: Aldermore International
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Firm is cloning details of a FCA Authorised firm.
May also use the name AI International.
Company: Aldermore Investments
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA Authorised firm.
Company: Casper Holdings Co Ltd
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1088
Posted by: Securities and Futures Commission, Hong Kong  
Company: Shintomi Trading  
Link:  http://www.sfc.hk/web/EN/alert-list/s.html#1087
Posted by:  Securities and Futures Commission, Hong Kong  
Company: Denison Newbrook Reid
Link: http://www.sfc.hk/web/EN/alert-list/d.html#1086
Posted by: Securities and Futures Commission, Hong Kong
Company: Aston Hu & Associates
Link: http://www.sfc.hk/web/EN/alert-list/a.html#1085
Posted by:  Securities and Futures Commission, Hong Kong
Company: Casa de Valores, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4823-warning--non-authorized-entity-casa-de-valores-sa.html
Posted by:  Superintendencia del Mercado de Valores, Panama,
Republic of
Comments:  Company not registered
Company: Felmina Alliance Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4825-warning--non-authorized-entity-felmina-alliance-inc.html
Posted by:  Superintendencia del Mercado de Valores, Panama,
Republic of
Comments: Company not registered
Company: Capita Registrars
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments:  Clone of FCA authorised firm
Company: Platinum Trading Partners GmbH
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=367
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: The Celtic Group LLC (also known as Celtic Finance
Group/Celtic Finance Brokers/Cead Mile Failte Finance Services)
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: The Celtic Group LLC is not authorised as an
investment firm by the Central Bank of Ireland and is claiming or holding
itself out as an investment firm in the State.
Company: Auron Group Sp. z o.o.
Link: http://www.knf.gov.pl/en/About_us/Public_warnings/index.html
Posted by: Polish Financial Supervision Authority, Poland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

25 May 2013

Added (11)

Company: Nelson Capital Advisors
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Nelson Capital Advisors is not authorised to provide
investment services in Ireland. The firm purports to be based in the USA.
Company:

The Masons Corporation

Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Kuangshi Futures
Link: http://www.sfc.hk/web/EN/alert-list/k.html#1084
Posted by: Securities and Futures Commission, Hong Kong  
Company:  Cyber Trust Fund Corp
Link:  https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=366 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
 
Company:  Department of Foreign Investment Control
Link:  http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by:  Financial Conduct Authority, United Kingdom  
Comments:  Firm is purporting to be an US regulator.
Company:  Bergmannwhite Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/bergmannwhite-associates.html 
Posted by: Financial Market Authority, Austria
Company: Stockbridge Partners
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/stockbridge-partners.html
Posted by:  Financial Market Authority, Austria  
Company: Alliance Direct Management
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Taiwan Options and Futures Exchange  
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1082 
Posted by:  Securities and Futures Commission, Hong Kong
Company: Idelson Group  
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1083 
Posted by: Securities and Futures Commission, Hong Kong  
Company: www.yhjrtz.cc
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1081 
Posted by: Securities and Futures Commission, Hong Kong
Please click here to go directly to the IOSCO Investor Alerts Portal for more information  

21 May 2013

Added (13)

Company: Hermann Brothers Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Hallmark Financial Solutions / Hallmark Finance
Solutions
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom  
Comments: Clone of FCA registered firm.  
Company: Edgewood Equities Capital Investment LLC
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of FCA Authorised (Shedule 5)
firm.
Company:  Rainmaker Marketing LLC
Link: http://www.lautorite.qc.ca/en/press-releases-2013-pro.html_2013_caution-rainmaker_2013-03-28.html 
Posted by: Autorité des marchés financiers, Quebec  
Company: Altimeter Worldwide Services JLT  
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=365 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland

Company:

Ostermann Finanz Ltd
Link: http://www.fscmauritius.org/media/90556/noticeofsuspension-ostermannfinanz_ltd.pdf 
Posted by: Financial Services Commission, Mauritius, Republic of  
Company: Claridon Asset Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Claridon Asset Management is not authorised to provide
investment services in Ireland. The firm purports to be based in the United
Kingdom.
 
Company: Doncaster Wealth Management  

Link:

http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom
Company: Milton Keynes Capital Partners LLP
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid 
Posted by: Financial Conduct Authority, United Kingdom  
Company: www.anyoption.com 
Link:  http://www.lautorite.qc.ca/en/press-releases-2013-corpo.html_2013_warning-anyoption_2013-05-14.html 
Posted by:  Autorité des marchés financiers, Quebec  
Company:  I-RISK BVBA
Posted by:  Financial Services and Markets Authority, Belgium  
Comments:  warning 
Company: Midia Group
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=364 
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
 
Comments: -- 
Company: Geneve Invest Ireland  
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland  
Comments:  Geneve Invest Ireland is not authorised to provide
investment services in Ireland.

Deleted (1)

Company: Hallmark Finance Solutions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Conduct Authority, United Kingdom  
Comments: Clone of FSA registered firm.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

11 May 2013

Added (12)

Company: Russell Acquisition Group
Link: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
Posted by: Financial Conduct Authority, United Kingdom
Company: Megakupon S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Pacific Ventures Consultancy
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Astorg Partners
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: Delacour Investments / Delacour Group Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: VERIM Management Limited
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Verim_Management_070513_EN.pdf
Posted by: Commission de surveillance du secteur financier,
Luxembourg, Grand Duchy of
Company: SCH Swiss Capital Holding AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=363
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: DeVere & Partners UK Limited / DeVere Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA Authorised firm.
Company: Apollo Financial Management
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: International Corporate Advisors
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1072
Posted by: Securities and Futures Commission, Hong Kong
Company: Changsheng Associates
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1071
Posted by: Securities and Futures Commission, Hong Kong
Company: Kestral International Group
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=362
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

4 May 2013

Added (8)

Company: SFVA Finance
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: Emerald Securities
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Benefit Planners Intl
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of formerly FCA EEA authorised firm.
Company: Hayes Associates
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Stabilico Capital Management, Reloaded LLC
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=361
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Casa de Valores Bolivariana Internacional de Panama S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4772-warning--non-authorized-entity-casa-de-valores-bolivariana-internacional-de-panama-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Perpetual Strategic Investments
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=359
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Risk & Portfolio Management Limited
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA EEA authorised firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

27 April 2013

Added (14)

Company: Banvalores Casa de Valores, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4759-warning-non-authorized-entity-banvalores-casa-de-valores-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Saxo Capital Markets Panama, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4761-warning--non-authorized-entity-saxo-capital-markets-panama-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: First Swiss Financial Security Bank
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=358
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Walton Johnson & Co
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Global Endowment LLC
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Otis KPO LLC
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Smart Stuff Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA EEA authorised firm
Company: Mr Guy Declerck,DC BVBA & DCMi-U BVBA and Ermis
Link: http://www.fsma.be/en/Consumers/press/Article/press/warnfsma/2013/2013-04-23_declerckdcdcmi-u.aspx
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: MAG Financial Group
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=357
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Hayes Associates
Link: http://www.jerseyfsc.org/pdf/Public_Statement_Hayes%20Associates_April_2013.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: Lotus Fund Ltd
Link: http://www.fscmauritius.org/media/88367/public-notice-suspension-lotus.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Nirvi Management Ltd
Link: http://www.fscmauritius.org/media/88364/fsc-public-notice-suspension-nirvi.pdf
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Lionhill Partners
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1070
Posted by: Securities and Futures Commission, Hong Kong
Company: Lifeclub International, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4753-warning--non-authorized-entity--lifeclub-international-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

22 April 2013

Added (14)

Company: Global Financial Services
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Firm is cloning details of a FCA EEA Authorised firm.
Company: AG Group Advisors
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Blackhawk Mines Corp.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130418_blackhawk.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Blackhawk Mines Corp., doing business as blackhawkmines.com, is not registered in Ontario.
Company: Solamon Energy Corp.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130418_solamon.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Solamon Energy Corp., doing business as solamonenergy.com, is not registered in Ontario.
Company: INTERNATIONAL CAPITAL INVESTMENT GROUP, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4735-warning--non-authorized-entity--international-capital-investment-group-sa-and-peter-janos-pintarics.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Union United Bank AG
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=356
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Stein Investment
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=355
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Greenfield Securities Ltd
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: CFX MARKETS
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Euro Benefit Network
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA EEA authorised firm
Company: Grupo Esfer
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Grupo%20Esfer
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Karl Johan Fonds ASA
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of former FCA EEA Authorised firm.
Company: Charles Schwab
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FCA authorised firm
Company: Able Capital
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom

Deleted (1)

Company: Charles Schwab
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Comments: Clone of FSA authorised firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

13 April 2013

Added (10)

Company: Princeton Capital Investments Inc.
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms
Posted by: Financial Conduct Authority, United Kingdom
Company: Winbase Equities
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/w/winbase-equities
Posted by: Australian Securities and Investments Commission, Australia
Company: Wheeler Asset Group
Link: https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/w/wheeler-asset-group
Posted by: Australian Securities and Investments Commission, Australia
Company: Forex investments : unauthorised websites and entities
Link: http://www.amf-france.org/affiche_plan.asp?IdSec=7&IdRub=122&IdPlan=214
Posted by: Autorité des marchés financiers, France
Comments: Warning dated 8 April, 2013 updating previous warnings made jointly by the AMF and ACP.
Company: Future A S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Anderson Holding Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: HMB Investments
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/hmb-investments.html
Posted by: Financial Market Authority, Austria
Company: Financial Consulting World LTD
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/financial-consulting-world-ltd.html
Posted by: Financial Market Authority, Austria
Company: Stravia Biz Incorporated
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4727-warning--non-authorized-entity-stravia-biz-incorporated.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Blackstar Capital Management Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1346/language/en-US/Blackstar-Capital-Management-Limited--Advisory-Warning-No-14-of-2013-5-April-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - Unauthorized investment business
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

6 April 2013

Added (5)

Company: Troy McDonald
Link: http://www.sfc.hk/web/EN/alert-list/t.html#1065 
Posted by: Securities and Futures Commission, Hong Kong
Company: Credit Suisse (UK) Limited
Link: http://www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms 
Posted by: Financial Conduct Authority, United Kingdom 
Comments: (Clone of FSA authorised firm) 
Company: Eagle Commerce Group 
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland 
Comments: Eagle Commerce Group is not authorised to provide investment services in Ireland. The firm purports to be based in the USA. 
Company: Dean Witter Consultancy 
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland 
Comments: Dean Witter Consultancy is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA. 
Company: Trader Hawk 
Link: http://www.traderhawk.pl 
Posted by: Polish Financial Supervision Authority, Poland 
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 April 2013

Added (18)

Company: H Taft Private Equity
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom 
Company: AG Group 
Link: http://www.jerseyfsc.org/pdf/Public_Statement_AG_Group_March_2013.pdf 
Posted by: Jersey Financial Services Commission, Jersey 
Company: Persist Global Wealth Management 
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom 
Comments: (Clone of FSA EEA authorised firm)
Company: Persist Global Wealth Management/PGWM Ltd 
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom 
Comments: Clone of FSA EEA authorised firm 
Company: Genkai Securities 
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1064 
Posted by: Securities and Futures Commission, Hong Kong 
Company: Ironbridge Capital 
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom 
Comments: Firm is cloning details of a FSA Authorised firm. 
Company: Scott and Fischer Consultancy Limited 
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland 
Comments: Scott and Fischer Consultancy Limited is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA. 
Company: Westhill Partners Inc. 
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland 
Comments: Westhill Partners Inc. is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA. 
Company: Hermann Brothers Group 
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx 
Posted by: Central Bank of Ireland, Ireland 
Comments: Hermann Brothers Group is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA. 
Company: AGF Europe Advisors 
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom 
Comments: Firm is cloning details of a FSA EEA Authorised firm. 
Company: Global Cap. Equity Group 
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1062 
Posted by: Securities and Futures Commission, Hong Kong 
Company: TRADE4 PROFIT 
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: RISK & PORTFOLIO MANAGEMENT LTD
Posted by: Financial Services and Markets Authority, Belgium 
Comments: warning
Company: Laurent & Linden
Link: https://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=354 
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Coninver Asesores, SL 
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=coninver%20asesores
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Mijave Inversiones, SL (MJ Inversiones)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=mijave%20inversiones
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Preferred Management Group, S.A. and PTY Management 
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4713-advertencia--entidades-no-autorizadas--preferred-management-group-sa-y-pty-management.html 
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Companies not authorized
Company: High Yield Investment Programs
Link: http://www.bcsc.bc.ca/release.aspx?id=16922
Posted by: British Columbia Securities Commission, British Columbia
Comments: General Alert on High Yield Investment Programs.

Deleted (2)

Company: Ironbridge Capital
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a FSA Authorised firm.
Company: Persist Global Wealth Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm and approved individual.
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

23 March 2013

Added (11)

Company: Department of Financial Trading
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Hallmark Finance Solutions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA registered firm.
Company: Bernstein, Whitman & Lloyds
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Bernstein, Whitman & Lloyds is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA.
Company: Kiefer Business Services LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: DAGMARA DZIUBYNA G & DINVEST I WSPÓLNICY
Posted by: Polish Financial Supervision Authority, Poland
Company: Power House Private Banking
Posted by: Polish Financial Supervision Authority, Poland
Company: Key Solutions, S.L.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=key%20solutions
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Izard Quin Division Holding Limited
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Izard Quin Division Holding Limited is not authorised to provide investment business services in Ireland. The firm purports to be based in Switzerland
Company: Impakt Online Marketing
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Stanley Kin AG
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM license or a European Passport.
Company: Hanalex Services Ltd. (doing business as TradeQuicker.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130312_hanalex-services.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

16 March 2013

Added (25)

Company: 2013 Best Invest
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of FSA Authorised firms.
Company: Brown Brothers Harriman SCA
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a FSA EEA Authorised firm.
Company: NEW CASTLE DISTRIBUTORS
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: CARTIUS FINANCE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: RWANDA CASH
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: European Value Partner Advisors (EVPA)
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA authorised firm.
Company: AGF Europe Advisors
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: AGF Europe Advisors is not authorised to provide investment business services in Ireland. The firm purports to be based in the UK
Company: Clarity Capital Markets
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1059
Posted by: Securities and Futures Commission, Hong Kong
Company: Hong Kong Regulatory Board
Link: http://www.sfc.hk/web/EN/alert-list/h.html#1057
Posted by: Securities and Futures Commission, Hong Kong
Company: International Investor Protection Coalition
Link: http://www.sfc.hk/web/EN/alert-list/i.html#1056
Posted by: Securities and Futures Commission, Hong Kong
Company: Master Polar Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1335/language/en-US/Master-Polar-Limited--Advisory-Warning-No-5-of-2013-13-March-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Unauthorised financial services business
Company: UPME Group Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1336/language/en-US/UPME-Group-Ltd--Advisory-Warning-No-6-of-2013-13-March-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Unauthorised financial services business
Company: Kent Capital Partners Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1342/language/en-US/Kent-Capital-Partners-Limited--Advisory-Warning-No-12-of-2013-13-March-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Unauthorised financial services business
Company: Granite Global Insurance Company Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1343/language/en-US/Granite-Global-Insurance-Company-Limited--Advisory-Warning-No-13-of-2013-13-March-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Unauthorised financial services business
Company: Advisorcorp Ltd
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Mason Dunne
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Profitable Sunrise
Link: http://www.bcsc.bc.ca/release.aspx?id=16782
Posted by: British Columbia Securities Commission, British Columbia
Company: Profitable Sunrise
Link: http://www.lautorite.qc.ca/en/press-releases-2013-corpo.html_2013_profitable-sunrise-2013-03-12.html
Posted by: Autorité des marchés financiers, Quebec
Company: WFB-Financial Consulting World Ltd.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=352
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Izard Quin Division Holding Ltd.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=353
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Money Management AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=351
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Banque Louis-co
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/Pages/details.aspx?orgid=350
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: MCI Zurich
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=349
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Suisse invest private capital group A.G.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=348
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: UB Trading
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=347
Posted by: Swiss Financial Market Supervisory Authority, Switzerland

Deleted (2)

Company: Geneve Invest (Europe) S.a.r.L
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Cloning FSA EEA firm
Company: Handels Securities
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=334
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

9 March 2013

Added (19)

Company: Scorpion Performance Inc.
Link: http://www.lautorite.qc.ca/en/press-releases-2013-corpo.html_2013_amf-urges-utmost-caution-with-regard-to-scorpion-performance-inc-20-02-2013-12-0.html
Posted by: Autorité des marchés financiers, Quebec
Company: Bernstein, Whitman & Lloyds
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: State Street Advisory
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: cloning FSA authorised firm.
Company: Prescott Fitzgerald Incorporated
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4683-warning--non-authorized-entity--prescott-fitzgerald-incorporated.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered - english
Company: Prescott Fitzgerald Incorporated
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4682-advertencia--entidad-no-autorizada--prescott-fitzgerald-incorporated-.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered - spanish
Company: Ariun Financial Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a FSA Registered firm.
Company: Ironbridge Capital
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a FSA Authorised firm.
Company: Swiss Financial Research
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Amending previous alert from August 2011.
Company: Charles Schwab
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm
Company: Archipelago Corporate Services Inc.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Eden Management Partners
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/eden-management-partners.html
Posted by: Financial Market Authority, Austria
Company: House of Finance AG
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/house-of-finance-ag.html
Posted by: Financial Market Authority, Austria
Company: Lawrence James and Associates
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Lawrence James and Associates is not authorised to provide investment business services in Ireland. The firm purports to be based in the USA
Company: Blackswan Morgan
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Kedington Advisory
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Menzies Overseas Limited
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Yakamoto Investments
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Everest Asset Management AG
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Impakt Online Marketing (IOM)
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden

Deleted (2)

Company: Swiss Financial Research
Link: http://www.fsa.gov.uk/pages/doing/regulated/law/alerts/index.shtml
Posted by: Financial Services Authority, United Kingdom
Company: Charles Schwab
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml
Posted by: Financial Services Authority, United Kingdom
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

2 March 2013

Added (41)

Company: Genesis Consultoria Ltda.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli703.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment oportunities in funds and portfolio management services through the internet webpage: http://www.genesisassociados.com
Company: Inside Gestão de Recursos Ltda.
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli704.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of portfolio management services through the internet webpage:
http://www.insideadmin.com.br
Company: New England Private Equity LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Frank Goldenberg Yoshi
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Cloned of Inactive FSA authorised approved individuals.
Company: Frank Goldenberg Yoshi
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Frank Goldenberg Yoshi is not authorised to provide investment business services in Ireland. The firm purports to be based in Hong Kong.
Company: Ocean Mergers & Acquisitions
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Peking Dragon Limited
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Regency Group Inc. / United States Regulatory Securities Agency
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Comments: Also refering to a fictitious regulator: United States Regulatory Securities Agency
Company: Persist Global Wealth Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm and approved individual.
Company: Feinler Management Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Imré Horvath
Link: http://www.fsma.be/en/Consumers/press/Article/press/warnfsma/2013/2013-02-25_imrehorvath.aspx
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Bforex Ltd.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=345
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Rothenburger Emissionshaus
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=346
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Financial Trading Board
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is purporting to be an US regulator.
Company: Winbase Equities
Link: http://www.sfc.hk/web/EN/alert-list/w.html#1050
Comments: Securities and Futures Commission, Hong Kong
Company: Summit Capital Management
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1047
Comments: Securities and Futures Commission, Hong Kong
Company: Grupo Re Mida, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/2540.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Itrade Secrets, Inc., Capital Wealth Fund, Inc. and CWF Holding Services, Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/2682.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: PMA Global Management, S.A., Limited Risk Investment, S.A., Boston Management, S.A., Chicago Comodities and Real Option Advisors
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/2700.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Douglas Charles, Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3118-warning--non-authorized-entity--douglas-charles-inc.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Centex Resources S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3154-warning--non-authorized-entity--centex-resources-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Sky Invesments Corp, Sky Investment Corporation and Sky Hedge Fund, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3168-warning--non-authorized-entities--sky-invesments-corp-sky-investment-corporation-and-sky-hedge-fund-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Orion International Trading Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3181-warning--non-authorized-entity--orion-international-trading-inc.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Atlantic Financial Holding, Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3586-warning-non-authorized-entity-atlantic-financial-holding-inc.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Global Capital Managers, S.A. / Inter Euro Data, S.A
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3588-warning--non-authorized-entity--global-capital-managers-sainter-euro-data-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Wao Motor Corporation
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3593-warning--non-authorized-offer--wao-motor-corporation.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Flamel Trading Limited and Publimedia Marketing Services, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3611-warning--non-authorized-entities--flamel-trading-limited-y-publimedia-marketing-services-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Olympic Capital Fund, Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3963-warning--non-authorized-entity--olympic-capital-fund-inc.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Regency Asesores de Inversiones
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/3980-warning--non-authorized-entity--regency-asesores-de-inversione.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Virgin Gold Mining Corporation
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4082-warning--non-authorized-entity--virgin-capital-mining-corporation.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Intertrading Consulting Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4087-warning--non-authorized-entity--intertrading-consulting-inc-.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Financiera Prontocash, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4096-warning--non-authorized-entity--financiera-prontocash.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Elan Holding Corp.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4208-warning--non-authorized-entity--elanfx.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Capital Business Panamá, S.A.
Link: http://supervalores.gob.pa/files/Avisos/Capital_Business_Panama_EN.pdf
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: James B. Clarke & Co. Ltd.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4308-warning--non-authorized-entity--james-b-clarke-a-co-ltd.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: ECN Alpha Limited Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4416-warning-non-authorized-entity-ecn-alpha-limited-inc.html
Company: Traders International Return Network (TIRN, INC.)
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/2574.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Sebond Capital Corp.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4520-warning--non-authorized-entity--sebond-capital-corp.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: National Home Marketers, S.A.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4658-warning-non-authorized-entity-.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Euroinvest Worldwide Inc.
Link: http://supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4660-warning-non-authorized-entity-.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: www.natwestint.net.ms
Link: http://www.jerseyfsc.org/pdf/Public_Statement_www.natwestint.net.ms_February_2013.pdf
Posted by: Jersey Financial Services Commission, Jersey

Deleted (1)

Company: Persist Global Wealth Management
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA firm
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

23 February 2013

Added (8)

Company: Limmat Finance AG
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=344
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Boston Acquisition Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: MB Transfer
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=343
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Geneve Invest (Europe) S.a.r.L
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Cloning FSA EEA firm
Company: MCI-Zurich
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: EDG Sp. z o.o. SKA
Posted by: Polish Financial Supervision Authority, Poland
Company: Dom Inwestycyjny "Taurus" SA
Posted by: Polish Financial Supervision Authority, Poland
Company: Nelson Capital Advisors
Link: http://www.iosco.org/investor_alerts/
Posted by: Financial Services Authority, United Kingdom

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

11 February 2013

Added (17)

Company: WAGNER BERN / MATTHEW GOODMAN
Link: http://www.fsma.be/en/Consumers/press/Article/press/warnfsma/2013/2013-02-04_wagnerberne.aspx
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: COROLLA FINANCIAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Cohen Corporate Consulting
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms#4
Posted by: Financial Services Authority, United Kingdom
Company: GBH Holding and GBH Private Equity Securities, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4622-warning--non-authorized-entities--gbh-private-equity-securities-sa-and-gbh-holding-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Fondo de Pensiones Generar, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4620-warning--non-authorized-entity--fondo-de-pensiones-generar-sa-.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Alliance International Limited, Inc.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4618-warning--non-authorized-entity--alliance-international-limited-inc.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Perfect Money Finance Corp.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4616-warning--non-authorized-entity--perfect-money-finance-corp.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Brokerage Company Limited, S.A.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4614-warning--non-authorized-entity--brokerage-company-limited-sa.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Value International Corp.
Link: http://www.supervalores.gob.pa/informacion-del-mercado/alerta-al-inversionista/4612-warning--non-authorized-entity--value-international-corp.html
Posted by: Superintendencia del Mercado de Valores, Panama, Republic of
Comments: Company not registered
Company: Landora Investing Ltd.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1332/language/en-US/Landora-Investing-Ltd--Advisory-Warning-No-4-of-2013-6-February-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - unauthorized investment business
Company: Fidelis Research Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Smith and Olsson
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Mendel Meir & Safwat
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Fund Logic
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA Authorised firm
Company: Anderson Franklin Sullivan Partners Ltd.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Caja Genève WorldPay
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=340
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: SCOEx, Swiss Commodities & Options Exchange
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=339
Posted by: Swiss Financial Market Supervisory Authority, Switzerland

Deleted (3)

Company: Lago sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Stadler financiel shareholdings Aktienbank
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=290
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Bridport Advisory
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=229
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

1 February 2013

Added (13)

Company: John and Langerdorf Associates
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Pendulum Capital Markets Inc.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Pendulum Capital Markets Inc. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Haffkin-Roth / South Korea Derivatives Exchange, SKDEX
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Informatica y gestión Costa del Sol, SL (I&Gc.s.)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=informatica%20y%20gestion%20costa%20del%20sol
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Securities Trading Board
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
Company: Tifozi Investments Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1330/language/en-US/Tifozi-Investment-Limited--Advisory-Warning-No-3-of-2013-23-January-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: OptionRally
Advisory warning - unauthorized investment business
Company: Pacific Capital Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Swiss Money Finance Ltd.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/swiss-money-finance-ltd.html
Posted by: Financial Market Authority, Austria
Company: Hemmington Capital Markets
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/hemmington-capital-markets.html
Posted by: Financial Market Authority, Austria
Company: Tokushima Worldwide
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/tokushima-worldwide.html
Posted by: Financial Market Authority, Austria
Company: Jacobs & Keller
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/jacobs-keller.html
Posted by: Financial Market Authority, Austria
Company: Savings Fund Limited
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_savings_fund.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that Savings Fund Limited, which is offering banking and other financial services via an internet presentation, see http://www.savingsfunds.co.nz/cz/index.php, in the Czech language, currently has no authorisation to provide banking, investment or other services on the financial market in the Czech Republic and is not supervised by the Czech National Bank. A potential investment is not insured by law.
Company: FTGFX Solutions Inc. (doing business as FxRebateGurus.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130124_ftgfx-solution.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Please click here to go directly to the IOSCO Investor Alerts Portal for more information

2 February 2013

Added (13)

Company: John and Langerdorf Associates
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Pendulum Capital Markets Inc.
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank of Ireland, Ireland
Comments: Pendulum Capital Markets Inc. is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Haffkin-Roth / South Korea Derivatives Exchange, SKDEX
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Informatica y gestión Costa del Sol, SL (I&Gc.s.)
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=informatica%20y%20gestion%20costa%20del%20sol
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Securities Trading Board
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
Company: Tifozi Investments Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1330/language/en-US/Tifozi-Investment-Limited--Advisory-Warning-No-3-of-2013-23-January-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: OptionRally
Advisory warning - unauthorized investment business
Company: Pacific Capital Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Swiss Money Finance Ltd.
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/swiss-money-finance-ltd.html
Posted by: Financial Market Authority, Austria
Company: Hemmington Capital Markets
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/hemmington-capital-markets.html
Posted by: Financial Market Authority, Austria
Company: Tokushima Worldwide
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/tokushima-worldwide.html
Posted by: Financial Market Authority, Austria
Company: Jacobs & Keller
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/jacobs-keller.html
Posted by: Financial Market Authority, Austria
Company: Savings Fund Limited
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_savings_fund.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that Savings Fund Limited, which is offering banking and other financial services via an internet presentation, see http://www.savingsfunds.co.nz/cz/index.php, in the Czech language, currently has no authorisation to provide banking, investment or other services on the financial market in the Czech Republic and is not supervised by the Czech National Bank. A potential investment is not insured by law.
Company: FTGFX Solutions Inc. (doing business as FxRebateGurus.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20130124_ftgfx-solution.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered

Please click here to go directly to the IOSCO Investor Alerts Portal for more information

26 January 2013

Added (20)

Company: COLLINGBOURNE GROUP
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
Company: Fairbairn Private Bank
Link: http://www.jerseyfsc.org/pdf/Public%20Statement_%20Fairbairn_23%20January%202013_Final.pdf
Posted by: Jersey Financial Services Commission, Jersey
Company: http://caheninvestimentos.com
Link: http://www.cvm.gov.br/asp/cvmwww/Atos/Atos/deli/deli690.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities in quotas of fund: CAHEN INVESTIMENTOS.
Company: CR7 REFLORESTAMENTO LTDA.
Link: http://www.cvm.gov.br/asp/cvmwww/Atos/Atos/deli/deli702.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized ofering of investment oportunities through the internet webpage: www.grupocr7.com.br/web/reflorestamento/
Company: ELOS BR CONSULTORIA E COMÉRCIO LTDA - ME
Link: http://www.cvm.gov.br/dados/DocSai/2367DA387467408B89792BFD7AAC38C9.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized security intermediation activities.
Company: KPR Associates S.A.
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
Company: Orcan Software Investments SA
Posted by: Polish Financial Supervision Authority, Poland
Company: MM Institutional
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA regsitered firm
Company: Persist Global Wealth Management
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA firm
Company: Kensington Reserve
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Stansfield Private Equity Ltd.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Investec Asset Management Limited
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm
Company: WOW! EMPREENDIMENTOS S/A
Link: http://www.cvm.gov.br/asp/cvmwww/Atos/Atos/deli/deli700.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized public issuing of shares.
Company: http://www.saturnov.com/
Link: http://www.cvm.gov.br/asp/cvmwww/Atos/Atos/deli/deli701.doc
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Unauthorized offering of investment opportunities in quotas of fund: FUNDO DE INVESTIMENTO SATURNO V, as well as other investment vehicles.
Company: Kleinwort Finance
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Kleinwort_210113_EN.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Hutchinson Partners
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Titan Worldwide Recovery
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Walter Harris & Company
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml
Posted by: Financial Services Authority, United Kingdom
Company: The Toros Group
Link: http://www.sfc.hk/web/EN/alert-list/#alert-list-1036
Posted by: Securities and Futures Commission, Hong Kong
Company: 5Decimals Limited
Link: http://www.sfc.hk/web/EN/alert-list/#alert-list-1037
Posted by: Securities and Futures Commission, Hong Kong

Deleted (5)

Company: MM Institutional
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA registered firm.
Company: Victory Life & Pensions Assurance Company Ltd
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=323
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Investec Asset Management Limited
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm
Company: ACUMEN BANK LTD
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=289
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Global Investment Management
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=285
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

19 January 2013

 

Added (2)

Company: Diversified Capital
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: ALLASS BVBA Advisory Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning an FSA EEA authorised firm.
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

12 January 2013

 

Added (16)

Company: Kalle Business Consulting LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Admiral Commodities Inc.
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Agentur Bosser
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=336
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Wheeler Asset Management
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=335
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Parker & Masters LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Universal Investments (International) Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1325/language/en-US/Universal-Investments-International-Limited--Advisory-Warning-No-2-of-2013-7-January-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: Universal Investments Limited
Aka: Universal Investments (Financial Services) Limited
Aka: Universal FX
Advisory warning - unauthorized investment business
Company: MIKA Holdings Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1324/language/en-US/MIKA-Holdings-Inc--Advisory-Warning-No-1-of-2013-7-January-2013.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning - unauthorized investment business
Company: Morris and Hill Acquisitions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Credit Pacific Group
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1025
Posted by: Securities and Futures Commission, Hong Kong
Company: Credit Pacific Bank Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1027
Posted by: Securities and Futures Commission, Hong Kong
Company: Credit Pacific (Asia) Holdings Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1026
Posted by: Securities and Futures Commission, Hong Kong
Company: Stansell Corporate Services LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Credit Pacific (Asia) Asset Management Limited
Link: http://www.sfc.hk/web/EN/alert-list/c.html#1028
Posted by: Securities and Futures Commission, Hong Kong
Company: Handels Securities
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=334
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Overseas Corporate Advisors Inc
Link: http://www.sfc.hk/web/EN/alert-list/o.html#1024
Posted by: Securities and Futures Commission, Hong Kong
Company: PARK EAST CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

7 January 2013

 

Added (6)

Company: Gordon, Tait & Co. LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Mitchell Berry Consultancy
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: United World Capital
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Cloning FSA EEA authorised firm
Company: Maynes Business Services LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Mercator Amalgamated
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Benson Union Limited
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1320/language/en-US/Benson-Union-Limited--Advisory-Warning-No-32-of-2012-31-December-2012.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: Benson Union
- Advisory warning unauthorized investment business
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

22 December 2012

 

Added (17)

Company: Harvard Alliance
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=332
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Pamp Suisse Ltd.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=331
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Litmus Capital Management Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a US based company.
Company: SWFInvestguide Financial Services Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=329
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Bankhurst Securities
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Brasrec LLC
Link: http://www.osc.gov.on.ca/en/Investors_wl_201100209_brunel-asset.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered.
Company: International Securities Authority
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121219_int-securities-authority.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered.
Company: Goldentech Entertainment Software Inc. and Casino VR Inc.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121219_goldentech-casino.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Companies not registered.
Company: Flag Resources (1985) Limited
Link: http://www.bcsc.bc.ca/release.aspx?id=16238
Posted by: British Columbia Securities Commission, British Columbia
Company: Global Asset Traders Inc.
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=328
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Genesis Transfer Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: BCF International Capital S.A.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1314/language/en-US/BCF-International-Capital-SA-et-al--Advisory-Warning-No-30-of-2012-14-December-2012.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Aka: BCF Bankorp International Capital S.A.
Aka: BCF Bankorp
Aka: BCF Banker Plus
Aka: BCF Consulting
- Advisory warning
Company: Peekwood Private Trust and Holdings
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1313/language/en-US/Peekwood-Private-Trust-and-Holdings--Advisory-Warning-No-29-of-2012-14-December-2012.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning
Company: Sharptext Branch Inc.
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1312/language/en-US/Sharptext-Branch-Inc--Advisory-Warning-No-28-of-2012-14-December-2012.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning
Company: AVA Private Bank
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=327
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: LGT International Group (HK) Co., Ltd. und LGTFX Group
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=326
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Inwestycje-Plus
Posted by: Polish Financial Supervision Authority, Poland
 

Deleted (1)

Comapny: Litmus Capital Management
Link:

http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

Posted by: Financial Services Authority, United Kingdom
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

15 December 2012

 

Added (11)

Company: Dragon International
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
Company: Non-standard investments proposed in diverse sectors
Link: http://www.amf-france.org/affiche_plan.asp?IdSec=19&IdRub=192&IdPlan=214
Posted by: Autorité des marchés financiers, France
Company: Ava FX
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
Company: The GrayBurg Group
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=325
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Litmus Capital Management Group
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Comments: Litmus Capital Management Group LLC is impersonating a formerly registered investment adviser firm with a similar name - Litmus Capital Management LLC (CRD Number: 138130; SEC Number: 801-65501), which had the following mailing address: 1325 Avenue of the Americas, 28th Floor, New York, NY 10019. The impersonator has NO connection with, and is not to be confused with, the former genuine Litmus Capital Management LLC.
Company: Mercury Global Acquisitions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Cohen & Levy Associates
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Comments: Also refering to a fictitious regulator: U.S. Mergers & Acquisitions Regulators
Company: Regal International
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning the FRN number of a FSA PSD Agent.
Company: Ocean International Ltd., Manhattan Capital Corp. and Wealth Capital Corp.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121211_ocean-int.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Companies not registered
Company: Kessler and Partners
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Bradford Securities LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
 

Deleted (1)

Company: Litmus Capital Management Group
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

8 December 2012

 

Added (9)

Company: Merkel Financial Incorporated
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Rabo Strategies
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA authorised firm.
Company: TND CAPITAL
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: ABNEY ASSOCIATES
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Goldman Sachs International
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm.
Company: World Wide Financial
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=324
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: One Global Management
Link: http://www.fi.se/Folder-EN/Startpage/Register/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Ascot Energy Services Ltd.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=ascot
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Ascot Management Services Ltd.
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=ascot
Posted by: Comisión Nacional del Mercado de Valores, Spain
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

3 December 2012

 

Added (18)

Company: Golden Grail Ltd. 
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_golden_grail_ltd.html 
Posted by: Czech National Bank, Czech Republic 
Comments: The Czech National Bank wishes to point out to activities of Golden Grail Ltd., registered address Trident Chambers, P.O. Box 1388, Victoria, Mahé, Seychelles, Reg. No. 108312, having a representation office at Regus Brno Spielberk, Holandská 2/4, 639 00 Brno. Golden Grail Ltd. is addressing potential investors in Czech via http://goldengrail.eu with an offer of investment on the forex market with above-average returns in the form of dividends of this company. Golden Grail Ltd. currently has no authorisation by the Czech National Bank to provide investment services or other services on the financial market in the Czech Republic. 
Company:  MM Institutional
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom  
Comments: Clone of FSA registered firm.  
Company:  Salomon and Associates  
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts 
Posted by:  Financial Services Authority, United Kingdom  
Company:  Richardson Capital Group/Richardson Consultancy  
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom  
Company:  Redford Securities International  
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1016 
Posted by:  Securities and Futures Commission, Hong Kong  
Company:  Rosslin & Wilson Ltd  
Link:  http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1304/language/en-GB/Rosslin-Wilson-Ltd--Advisory-Warning-No-27-of-2012-28-November-2012.aspx 
Posted by:  British Virgin Islands Financial Services Commission, British Virgin Islands  
Comments:  Aka: Trading Coalition
- Advisory warning
 
Company:  BVI Financial Services  
Link:  http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1303/language/en-GB/BVI-Financial-Services--Advisory-Warning-No-26-of-2012-28-November-2012.aspx 
Posted by:  British Virgin Islands Financial Services Commission, British Virgin Islands  
Comments: 

Aka: BVI Securities & Escrow Ltd.
Aka: BVI Financial & Securities
Aka: BVI Financial
- Advisory warning
 

Company:  Montgomery Roth International Ltd  
Link:  http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1302/language/en-GB/Montgomery-Roth-International-Ltd--Advisory-Warning-No-25-of-2012-28-November-2012.aspx 
Posted by:  British Virgin Islands Financial Services Commission, British Virgin Islands  
Comments:  Aka: MRI Limited International BVI
- Advisory warning
 
Company:  Victory Life & Pensions Assurance Company Ltd  
Link:  http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=323 
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland  
Company:  Capital Alliances  
Link:  http://www.amf-france.org/affiche_plan.asp?IdSec=19&IdRub=192&IdPlan=214&lang=en 
Posted by:  Autorité des marchés financiers, France  
Comments:  Warning dated 23 November 2012.  
Company:  Treld Invest GB  
Link:  http://www.amf-france.org/affiche_plan.asp?IdSec=7&IdRub=122&IdPlan=214 
Posted by:  Autorité des marchés financiers, France  
Comments:  Warning dated 22 November 2012.  
Company:  China International Capital Group  
Link:  http://www.osc.gov.on.ca/en/Investors_wl_20121127_china-international.htm 
Posted by:  Ontario Securities Commission, Ontario  
Comments:  Company not registered  
Company:  Epsilon Capital Management ECM  
Link:  http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=322 
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland  
Company:  Douglas Charles  
Link:  http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=321 
Posted by:  Swiss Financial Market Supervisory Authority, Switzerland  
Company:  Lago sp. z o.o.  
Posted by:  Polish Financial Supervision Authority, Poland  
Company:  BP Holdings  
Link:  http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=BP%20Holdings 
Posted by:  Comisión Nacional del Mercado de Valores, Spain  
Company:  UST Financial Services Corp  
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom  
Company: Prudential Global Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts 
Posted by: Financial Services Authority, United Kingdom  
 

Deleted (1)

Company: Quantum Partners Ltd  
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom  
Comments: Entity is using the address of a formerly FSA registered firm.  
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information  
 

24 November 2012

 

Added (16)

Company: Giles and Hochman Consulting
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Best Commodity Options S.A.
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121122_best-commodity.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Company: Fairvesta
Posted by: Autorité des marchés financiers, France
Comments: Warning issued on 5 November 2012
Company: China International Capital Group
Link: http://www.afm.nl/nl/consumenten/vertrouwen/bedrijf_bekend.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Blumkin Global
Link: http://www.afm.nl/nl/consumenten/vertrouwen/bedrijf_bekend.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Solaris Financial Solutions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Aomori Group
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/aomori-group.html
Posted by: Financial Market Authority, Austria
Company: Opulentia S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: European Consumer & Business Protection Agency ECBPA
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=319
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Warner Abbott Capital Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Talisman Finance
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Talisman Finance is not authorised to provide investment services in Ireland. The firm purports to be based in the USA.
Company: Goff Private Equity Limited
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Goff Private Equity Limited is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland
Company: Eagle Advisors
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning the details of a FSA Authorised firm.
Company: Maxwell Consultancy
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Quantum Partners Ltd
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Entity is using the address of a formerly FSA registered firm.
Company: Deutsche Bank AG
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: (Clone of FSA EEA authorised firm)
 

Deleted (1)

Company: Quantum Partners Ltd
Link: http://www.fsa.gov.uk/pages/doing/regulated/law/alerts/index.shtml
Posted by: Financial Services Authority, United Kingdom
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

17 November 2012

 

Added (14)

Company: WILLIAM BLAKE
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
Company: Scottsdale Capital Consultancy Services
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Mergers & Acquisitions Supervision & Administration Commission (MASAC)
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Fictitious regulator.
Company: Pacific Transfers International
Link: http://www.sfc.hk/web/EN/alert-list/p.html#1006
Posted by: Securities and Futures Commission, Hong Kong
Company: Shanghai Continental Futures Co. Ltd. / SCFS Group
Limited
Link: http://www.sfc.hk/web/EN/alert-list/s.html#1005
Posted by: Securities and Futures Commission, Hong Kong
Company: Lear Capital Group
Link: http://www.sfc.hk/web/EN/alert-list/l.html#1004
Posted by: Securities and Futures Commission, Hong Kong
Company: Strategic Global Investments / SGI Traders SA
Link: http://www.bcsc.bc.ca/cautionperson.aspx?id=16022
Posted by: British Columbia Securities Commission, British Columbia
Company: Eureka Consulting Ltd
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx?pagnr=2&perpage=10
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Trans Reliance Inc
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx?pagnr=5&perpage=10
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: GBTRADE International Worldwide Limited
Link: http://www.sfc.hk/web/EN/alert-list/g.html#1003
Posted by: Securities and Futures Commission, Hong Kong
Company: ChargeXP Investments Ltd. (doing business as uTrader.com)
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121113_charge-xp.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Company: PROACTIVE MANAGEMENT GmbH
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=318
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Sun-Wealth Corporate Finance
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Walker Financial Management
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA firm
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

12 November 2012

 

Added (21)

Company: Eden Management Partners
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Riverbrook Capital
Link: http://www.sfc.hk/web/EN/alert-list/r.html#1002
Posted by: Securities and Futures Commission, Hong Kong
Company: Claybourne Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Update-several websites proposing binary options
Posted by: Autorité des marchés financiers, France
Comments: Warning issued on 24 October 2012
Company: Center Finance Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Carwash Investment Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Fundacja Castellum
Posted by: Polish Financial Supervision Authority, Poland
Company: Financial Solution Blackstone
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Financial Solution Blackstone is not authorised to provide investment services in Ireland. The firm purports to be based in Germany.
Company: Kaiser Young Associates
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Kaiser Young Associates is not authorised to provide investment services in Ireland. The firm purports to be based in Germany.
Company: Carlton Capital Inc
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is using the name and address of a broker-dealer firm previously registered in the US.
Company: Hollerman & Company LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: MAC INSURANCE LIMITED
Posted by: Financial Services and Markets Authority, Belgium
Comments: WARNING
Company: Blumkin Global
Link: http://www.sfc.hk/web/EN/alert-list/b.html#1001
Posted by: Securities and Futures Commission, Hong Kong
Company: AVI Vermögensberatung
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/avi-vermoegensberatung.html
Posted by: Financial Market Authority, Austria
Company: Stanley Clifford
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/stanley-clifford.html
Posted by: Financial Market Authority, Austria
Company: Korea Merchantile Exchange (KRMEX)
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/korea-merchantile-exchange-krmex.html
Posted by: Financial Market Authority, Austria
Company: Benda Finance
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/benda-finance.html
Posted by: Financial Market Authority, Austria
Company: Yamaguchi Partners Global Head Office
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/yamaguchi-partners-global-head-office.html
Posted by: Financial Market Authority, Austria
Company: Swissmoneybank
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=317
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Ocean Financial Management
Link: http://www.finma.ch/d/sanktionen/unbewilligte-institute/Seiten/details.aspx?orgid=316
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: International Finance Court (IFC) Hong Kong
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by: Financial Services Authority, United Kingdom  
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information  
 

4 November 2012

 

Added (8)

Company: SeBond Capital Corporation
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121102_sebond-capital.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Company: Index Mergers and Acquisitions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Drake Merger Management
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Rhaines LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: SWISSFIN GOLDBANCO SA
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=315
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Elkin & Associates LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Lehman Reilly
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Lehman Reilly is not authorised as an investment firm in Ireland and is not authorised to provide investment services in Ireland. The firm purports to be based in Ireland
Company: AJ WYMAN & ASSOCIATES LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts
Posted by: Financial Services Authority, United Kingdom
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

27 October 2012

 

Added (10)

Company: Wealth Capital Corp.
Link: http://www.lautorite.qc.ca/en/press-releases-2012-corpo.html_2012_caution-derivatives-2012-10-24.html
Posted by: Autorité des marchés financiers, Quebec
Company: Heckart Associates LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Weston and Scott Consultants
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Vantage Securities
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Blue Print Securities Ltd, BPS
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Weisberg & Cohen LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Euro American
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA authorised firm.
Company: Walten Pichler
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA authorised firm.
Company: Knox D'Arcy Investment Management Limited
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: (Clone of FSA authorised firm)
Company: Morrison Capital Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

20 October 2012

 

Added (23)

Company: Lance Bank
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=314
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Monarch Wealth Consultants
Link: http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml
Posted by: Financial Services Authority, United Kingdom
Company: Confoederatio Helvetica Derivatives Futures Exchange
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=313
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Geneva Commodities SA
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=312
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: Lincon & Carter Associates
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Williams Consultancy Limited
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Nord FX
Link: http://www.cvm.gov.br/
Posted by: Comissão de Valores Mobiliários, Brazil
Comments: Link: "Atos Declaratorios". Entity not authorized to offer investment opportunities in the Forex market to Brazilian residents by any means (online or other).
Company: Robertson Ellis
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Walten Pichler
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Walten Pichler is not authorised to provide investment
services in Ireland. The firm purports to be based in the UK & Luxembourg.
Company: Abney Associates
Link: http://www.sfc.hk/web/EN/alert-list/a.html#989
Posted by: Securities and Futures Commission, Hong Kong
Company: Dietrich & Sohn London
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/dietrich-sohn-london.html
Posted by: Financial Market Authority, Austria
Company: Lawson Knight Group
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=311
Posted by: Swiss Financial Market Supervisory Authority, Switzerland
Company: S-One Financial/Summit One Financial
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Apex Capital Partners
Link: http://www.sfc.hk/web/EN/alert-list/a.html#987
Posted by: Securities and Futures Commission, Hong Kong
Company: Admiral Finance Group
Link: http://www.sfc.hk/web/EN/alert-list/a.html#986
Posted by: Securities and Futures Commission, Hong Kong
Company: Thompson Gerrard
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a previously FSA registered firm.
Company: GMC Europe
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning the details of a previously FSA EEA Authorised firm.
Company: Provost Management
Link: http://www.sfc.hk/web/EN/alert-list/p.html#983
Posted by: Securities and Futures Commission, Hong Kong
Company: Banc De Binary Private Option Bankers
Link: http://www.osc.gov.on.ca/en/Investors_wl_20121015_banc-de-binary.htm
Posted by: Ontario Securities Commission, Ontario
Comments: Company not registered
Company: Advice Europe
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA EEA authorised firm  
Company: Mitchell Finch International
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Mitchell%20Finch%20International 
Posted by: Comisión Nacional del Mercado de Valores, Spain  
Company: Macmillan Fine International  
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Mitchell%20Finch%20International 
Posted by: Comisión Nacional del Mercado de Valores, Spain  
Company: Morgan Finch International  
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=Morgan%20Finch%20International 
Posted by: Comisión Nacional del Mercado de Valores, Spain  
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

13 October 2012

 

Added (17)

Company: Helen's Financial Home
Link: http://www.bvifsc.vg/News/tabid/160/articleType/ArticleView/articleId/1273/language/en-US/Helens-Financial-Home--Advisory-Warning-No-20-of-2012-12-October-2012.aspx
Posted by: British Virgin Islands Financial Services Commission, British Virgin Islands
Comments: Advisory warning
Company: Drake & Childs Global Transfers
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Money Management AG
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/money-management-ag.html
Posted by: Financial Market Authority, Austria
Company: Mediacred AG
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/mediacred-ag-1.html
Posted by: Financial Market Authority, Austria
Company: Münzberg & Partner
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/muenzberg-partner.html
Posted by: Financial Market Authority, Austria
Company: Aozora Alliance ehemals Shinsei Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/aozora-alliance-ehemals-shinsei-associates.html
Posted by: Financial Market Authority, Austria
Company: www.apolloglobalsecurities.com
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/wwwapolloglobalsecuritiescom.html
Posted by: Financial Market Authority, Austria
Company: Fairway Associates
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/fairway-associates.html
Posted by: Financial Market Authority, Austria
Company: Paramount Financial Group
Link: http://www.fma.gv.at/de/verbraucher/investorenwarnungen/nationale-warnmeldungen/detail-natwm/article/paramount-financial-group.html
Posted by: Financial Market Authority, Austria
Company: Lear Capital Group
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Hemmington Capital Markets / Guangzhou Commodity Exchange, GZCOM
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Drake Merger Management
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by: Central Bank and Financial Services Authority, Ireland
Comments: Drake Merger Management is not authorised to provide investment services in Ireland. The firm purports to be based in Japan
Company: Welling & Company, LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Charles Pearson Investments International
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Strauss Jones
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Asesores Financieros Independientes
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=asesores%20financieros%20independientes
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: BP HOLDINGS
Posted by: Financial Services and Markets Authority, Belgium
Comments: warning
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

6 October 2012

 

Added (20)

Company: Washington, D.C. Securities Division
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: The Washington, D.C. Securities Division has no connection with, and should not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia
Company: Posrednictwo Finansowe "Kredyty-Chwilówki" Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Grand Capital Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Progold Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Europol Insurance Consulting Group
Posted by: Polish Financial Supervision Authority, Poland
Company: William Blake
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Appleton Associates
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Worldwide Investors Portfolio
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm - Schedule 5.
Company: P.A.N. Securities LP - Mergers and Acquisitions
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of an US broker dealer.
Company: NBF Forex
Link: http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=310
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
Company: Lawson Knight Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Prime Strategies LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: BP Holdings
Link: http://www.fi.se/Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Effit Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Hannover & Rothchild Consultancy
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Oakbridge Capital LLC / SGX Financial  
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx?pagnr=1&perpage=10
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: SGX Financial / Oakbridge Capital LLC.
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx?pagnr=1&perpage=10
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Integrated Tax
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-boiler-rooms.aspx?pagnr=1&perpage=10
Posted by:  The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM licence or a European Passport.
Company: Lehman Reilly
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

Posted by:

Financial Services Authority, United Kingdom

Company:

Lexicon Mergers and Acquisitions

Link:

http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

Posted by: 

Financial Services Authority, United Kingdom

 

Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

1 October 2012

 

Added(16)

Company: Blake Capital Partners
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Worldwide Investors Portfolio
Link: http://www.cssf.lu/fileadmin/files/Protection_consommateurs/Avertissements/A_Worldwide_Investments_Portfolio_eng.pdf
Posted by: Commission de surveillance du secteur financier, Luxembourg, Grand Duchy of
Company: Silver Bonds S.A.
Posted by: Polish Financial Supervision Authority, Poland
Company: Remedium - Doradcy Finansowi Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company: Indywidualne Biznesowe Doradztwo Finansowe Sp. z o.o.
Posted by: Polish Financial Supervision Authority, Poland
Company:  Aros Securities
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning the details of a previously FSA EEA Authorised firm.
Company: Russell Merger Group
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Global Direct Equities
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of an US broker dealer.
Company: CENTRAL & EASTERN MARKETS ASSET MANAGEMENT
Posted by: Financial Services and Markets Authority, Belgium
Comments: Warning.
Company: The Tyler Group
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=The%20Tyler%20Group
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Paramount Financial Group
Link: http://www.cnb.cz/cs/spotrebitel/ochrana_spotrebitele/upozorneni/upozorneni_paramount.html
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank wishes to point out that Paramount Financial Group, registered address Lindengasse 48, 1070 Vienna, Austria, which is addressing potential investors by phone in English with an offer of investment services, currently has no authorisation to provide investment services on the financial market in the Czech Republic and is not supervised by the CNB. The company is also offering its services via http://paramountfg.com.  
Company: Yang Financial
Link: http://www.centralbank.ie/regulation/unauthorised-firms/Pages/list-search-unath.aspx
Posted by:  Central Bank and Financial Services Authority, Ireland
Comments:  Yang Financial is not authorised to provide investment services in Ireland. The firm purports to be based in China.
Company: BlackHorse Forex
Link: http://www.cnb.cz/cs/dohled_financni_trh/vykon_dohledu/upozorneni_pro_verejnost/ 
Posted by: Czech National Bank, Czech Republic
Comments: The Czech National Bank (CNB) would like to inform investors that company BlackHorse Forex s.r.o. with registered office:
Slavíkova 6068/18, Ostrava - Poruba 708 00 is not authorized to carry out investment or other regulated activities in the Czech Republic. Although BlackHorse Forex filed an application for registration as an investment intermediary under the Capital Market Undertakings Act (256/2004 Coll.), this application was withdrawn subsequently. Therefore, contrary to what the company alleges on their websites: "BlackHorse Forex is licensed and regulated according to Market in Financial Instruments Directive rules and FSA. We act according to EU regulations MiFiD. Additionally supervised by Czech's Central
Bank registered under no: 28657314" (http://www.blackhorsefx.com/en/35.html), it has not been registered nor licensed by the CNB and thus it is not subject to CNB's supervisory oversight.
Company: OTX INVESTIMENTOS
Link: http://www.cvm.gov.br/asp/cvmwww/atos/Atos_Redir.asp?Tipo=D&File=\deli\deli686.doc
Posted by:  Comissão de Valores Mobiliários, Brazil
Comments: Entity and principals not authorized to perform portifolio management and to publicly offer investment found units.
Company: International United FX Investments MA Ltd
Posted by: Financial Services Commission, Mauritius, Republic of
Company: Ghana FX
Posted by: Financial Services Commission, Mauritius, Republic of
 

Deleted(1)

Company: Aros Securities
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments:  Firm is cloning the details of a previously FSA EEA Authorised firm.  
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information
 

22 September 2012

 

Added(15)

Company: Professional Financial Advisors
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of a previously FSA registered firm.
Company: Bramwell & Kent Consultants LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Secure Insurance
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm.
Company: Great Southern Investment
Link: http://www.fi.se/ Folder-EN/Startpage/Consumer/Investor-alerts/Database/
Posted by: Finansinspektionen, Sweden
Company: Eurocapital Trading
Link: http://www.cnmv.es/Portal/ResultadoBusqueda.aspx?tipo=3&nombre=eurocapital%20trading
Posted by: Comisión Nacional del Mercado de Valores, Spain
Company: Dant and Company LLC
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Leighton International / Leighton High Income Fund / Hang Seng Bank
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Firm is cloning details of bank.
Company: Ocean International Ltd
Link: http://www.invested.hk/InvestEdAlertList/en/InvestEdDisplayCompDetailsServlet?doc_unid=4AAF81B81596FA1148257A7E0024AB8B
Posted by: Securities and Futures Commission, Hong Kong
Company: Manhattan Capital Corp
Link: http://www.invested.hk/InvestEdAlertList/en/InvestEdDisplayCompDetailsServlet?doc_unid=85EF83F38A9C6F5448257A7E0023AF0C
Posted by: Securities and Futures Commission, Hong Kong
Company: Wealth Capital Corp
Link: http://www.invested.hk/InvestEdAlertList/en/InvestEdDisplayCompDetailsServlet?doc_unid=FDBAA8762822E0A448257A7E0022CFE5
Posted by: Securities and Futures Commission, Hong Kong
Company: AF Investment Partners Limited
Link: http://www.fsc.gi/enforcement/fscwarning0046.htm
Posted by: Financial Services Commission, Gibraltar
  The Financial Services Commission has today issued a warning to the public regarding AF Investment Partners Limited.
The FSC has reviewed statements on AF Investment Partners Limited's website, which allude to various investments and funds related services offered by this company, which has not been incorporated in Gibraltar.
The FSC is concerned at the company's website providing a Gibraltar office address as the only address on its 'Contact Us' page, yet not providing Gibraltar telephone contact numbers, with only a Spanish mobile number listed.
The address from which it purports to operate is part of several suites at an office building in Gibraltar, at which several FSC regulated entities are based.
Correspondence delivered to this address has not been replied to, neither have emails sent to AF Investment Partners Limited's stated email address or a further email used to register its website domain been answered.
AF Investment Partners Limited is not associated with any of the FSC regulated entities operating at these premises.
As a foreign company doing business in Gibraltar or from Gibraltar, AF Investment Partners Limited is required to register under Part X of the Companies Act, in a manner prescribed in the following circular issued by Companies House http://www.companieshouse.gi/publications/C0009.pdf, yet its name does not appear on the Register of Companies maintained by Companies House.
The FSC therefore urges the public to exercise appropriate caution in respect of this company, whilst it continues its investigations.
People are able to verify whether a firm is licensed by the FSC in Gibraltar, by checking the "Regulated Entities" section on our website at http://www.fsc.gi/fsclists/categorysearch.asp.
Any persons who are already involved in any dealings with the above entity and have concerns, should contact the Manager, Enforcement on +350 200 40283 or by e-mail to enforcement@fsc.gi
Company: EuroConsult International Mergers & Acquisitions Ltd
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Comments: Clone of FSA authorised firm.
Company: Trowbridge Capital
Link: http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms
Posted by: Financial Services Authority, United Kingdom
Company: Emporium Financial, also using the name Emporium Capital, Emporium Financieringen, Magnum Financial and Mango Krediet
Link: http://www.afm.nl/nl/consumenten/risico/waarschuwingen/waarschuwingenlijst-afm.aspx
Posted by: The Netherlands Authority for the Financial Markets, Netherlands, The
Comments: The warning list "boiler rooms" contains the names of companies that have approached persons without being asked, to offer them investment proposals. The AFM has established that the companies that are included in this warning list do not have an AFM ... more ... more licence or a European Passport.
Company: Greenbull Investment Partners

Link:

http://www.finma.ch/e/sanktionen/unbewilligte-institute/pages/details.aspx?orgid=309
Posted by: Swiss Financial Market Supervisory Authority,
Switzerland
  Please click here to go directly to the IOSCO Investor Alerts Portal for more information

10 September 2012

Added (19) 

Company:  JMS Spólka z o.o. 
Posted by:  Polish Financial Supervision Authority, Poland 
Company:  JM Financial Services Ltd. 
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom 
Comments:  Firm is using the name of a FSA Registered firm. 
Company:  Wheeler Asset Management 
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom 
Company:  Sprint Hospital 
Link:  http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/bogusoffersofemp3.xml 
Posted by:  Financial Supervision Commission, Isle of Man 
Comments:  Hospital offering bogus job opportunities purporting to be based in Isle of Man 
Company:  Abacus Financial Services Limited 
Link:  http://www.fsc.gov.im/ViewNews.gov?page=lib/news/fsc/abacusfinancials1.xml 
Posted by:  Financial Supervision Commission, Isle of Man 
Comments:  New website purporting to be genuine Isle of Man entity 
Company:  Wells Fargo Securities International Limited/Suncor 
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom 
Comments:  Clone of FSA authorised firm 
Company:  Gerrard Investment Management 
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom 
Comments:  Firm is cloning the details of a FSA Authorised Firm. 
Company:  Bridgeway Corporate Management 
Link:  http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 
Posted by:  Financial Services Authority, United Kingdom 
Company:  IMG Asset Management GmbH 
Link:  http://ww