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This list of warnings and alerts on this page contains the names of businesses or individuals you should be wary of if you are planning to invest. The list is not exhaustive and there is no guarantee that the business or individual listed has not changed their name.
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We have warned a (former) registered financial adviser, Jonathan Simon Antony Branton-Casey, in relation to his professional conduct which fell short of the FMA’s expectations of a registered financial adviser under the Financial Advisers Act 2008 (FA Act) and/or under the Crimes Act 1961.
TradeFintech scam
Ainvestments could be involved in a scam
Alliance Investment Limited are an unregistered, unregulated entity who are falsely holding out as being associated with legitimate company, Alliance Investments Limited.
ZonggangCaifu is not registered, licensed, or regulated in New Zealand as claimed on its websites.
New Zealand residents have been receiving cold calls from Ideal Services DC and have been offered to invest in Alipay IPO at a low price.
WiseBanc is not registered on the Financial Service Providers Register, it is therefore not permitted to provide financial services to New Zealand residents
The FMA has issued a warning that Bitcoin Revolution Limited could be involved in a scam.
Solid Global Investment Limited could be involved in a scam
Atlantic Finance Partners, and the website www.atlanticfinancepartners.com have the hallmarks of a scam
We note a recent warning published by the Australian Securities and Investments Commission (ASIC) in relation to Igoten OU also knowns as BrighterTrade.
Mr Ferguson (FSP155185) contravened section 34 of the Financial Advisers Act 2008 (FA Act) by copying and pasting client signatures in insurance policy documents.
We are concerned that Messrs Preston and Harding are cold calling New Zealand residents purporting to be representatives from Harding and Company Advisors and offering the opportunity to purchase shares.
Oxford Finance Services could be involved in a scam. It is not associated with New Zealand registered Gilrose Finance Company Limited and Oxford Finance Limited as claimed on their website.
CCM Clearing Limited is not a registered financial service provider in New Zealand.
