Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1911DIRECT Sparkasse Ekonomisk
Forening
1
1st American Securities
2
2013 BEST INVEST
3
4
5
6
7
8
9
10
11
12
13
247 Holdings Group
4usignals.com
4XCELLENT Ltd
629 Plan
7M MANAGEMENT SERVICES Ltd.
A WALKER ASSOCIATES / ANDREW
WALKER ASSOCIATES / AW
ASSOCIATES
A WARNER ASSOCIATES / ANDREW
WARNER ASSOCIATES / AW
ASSOCIATES
A.S. Konstantinidis
AB Hutton Global Holdings
Abacus Financial Management
Country
forwarding
Address
warnings
Box 882, 114 79 Stockholm, Sverige, Klarabergsviadukten Sweden
70/Kungsbron, 107 24 Stockoholm, Sverige, Finduras
Group/European Bransch, Carrer de Porto Pi 8/8, 070 15
Palma de Mallorca, Baleares/Espana
Reason
unauthorized subject
Detailed information
www.fi.se/warning
632 Broadway, Suite 3002, Neww York NY 10012, USA
7/D Tung Wai Commercial Building, 109-111 Glocester
Road, Wan Chai, Hong Kong
www. 1stamericansecurities.com
www.kerstdis.nl
59 Thomas Street, Manchester M4 1NA, United Kingdom
www.2013bestinvest.com
Sweden
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Great Britain
http://4usignals.com
with headquarters in Cyprus, Great Britain and Israel,
www.4xcellent.com.
Italy
Cyprus
Italy
unauthorized subject
unauthorized subjec
unauthorized subject
France
Greece
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
www.cysec.gov.cy
http://www.consob.it/mainen/
index.html
Phone +33(0)1 5345 6031
tel.no. +30 210 33 77 100
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Greece
Cyprus
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
Clone of previously
FSA authorised firm
www.hcmc.gr
www.cysec.gov.cy
www.fsa.gov.uk
www.awalkerassociates.com
www.awarnerassociates.com
www.abhglobal.com
www.abacusfinancialmgmt.com
Telephone: 0207 193 9451
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Abberley Capital
14
15
16
Abbotts Investment Group
ABC Finance Ltd
Abel Myers Consulting
17
18
Aberdeen Pacific Group
Able Capital
19
20
Abney Associates
AC Alternative
21
22
23
24
Accedium Limited
Accer Mergers & Acquisitions
Access Broker Incorporated
Address
6A Centre Point
181-185 Gloucester Road
Wanchai
Hong Kong
Tel:+852 397 33851
www.abberleycapital.com
Koningsstraat 10, Suite 250, Brussels 1000, Belgium
www.abbottsinvestmentgroup.com
Windsor House, 192-194 Stafford Street, Walsall, West
Midlands, WS2 8ED
Ostenbachgasse 5,
CH8001,
Zurich,
Switzerland
Tel: 0041(0)445 087 349
Fax: 0044(0)208 1962246
www.abelmyers.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
68 Lombard Street, London EC3V 9LJ, United Kingdom
United
Bahnhofstrasse 26, 8001 Zurich, Switzerland,
Kingdom
Level 16, Suite 1, 380 Lexington Ave, NY 10168, USA
49/F Hopewell Centre, 83 Queen´s Road East, Hong Kong Belgium
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.fsma.be
36 Avenue Du X Septembre
1230 Luxembourg
www.ac-alternative.com
Tower Business Centre, 2nd Floor, Tower Street, Swatar,
Birkirkara BKR 4013, Malta
57 West 38th Street, New york NY 10130, USA
www.accerma.com
1024 Rockwell Ave. Cleveland, Ohio 44103.
www.abrokercorp.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Malta
unauthorized subject
Web:
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se
www.mfsa.com.mt
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Accredited Global Services Group
(AGSG)
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ace EU Markets
Tel: +44 (0) 203 318 1714
United
Fax: +44 (0) 203 318 1715
Kingdom
www.aceeumarkets.com <http://www.aceeumarkets.com/>
unauthorized subject
www.fsa.gov.uk
Ace Financial
9th Flr., Harue 4-chome, Edogawa-ku, Tokyo, Japan, 1340003.
www.ace-fin.com
Lexington Avenue, Manhattan-Midtown, Turtle Bay, New
York 10107
12th Floor, Sandton City Office Tower, 158 5th Street,
Sandton, South Africa
Fischhof 3, 1010 Vienna, Austria
Unit No: #10-01
4 Robinson Road
Singapore 048543
www.acquisitions-21.com
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.a-tvp.si
unauthorized subject
unauthorized subject
Phone +43 (0)124959-5106
www.fsa.gov.uk
25
Accredited Global Services Group
(AGSG)
26
27
28
29
30
31
32
Ackerman & Goldhart
ACM Gold
ACPM Consulting Group
Acquisitions 21 Pte. Ltd.
Address
Addresses used:
St John’s House, 53-54 St John’s Square, London EC1V
4JJ and,
57 Pitts Lane, Earley, Reading, Berks RG6 1BX
Tel: 0207 193 8420
Fax: 0207 900 3854
www.agsg.info
St John’s House, 53-54 St John’s Square, London EC1V
4JJ and,
57 Pitts Lane, Earley, Reading, Berks RG6 1BX
Tel: 0207 193 8420
Fax: 0207 900 3854
Website: www.agsg.info
Country
forwarding
warnings
United
Kingdom
Sweden
Sweden
Slovenia
Austria
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
33
34
35
36
Name
ADDERLEY DAVIS & ASSOCIATES
LTD
ADMINISTRACIONES TEMPLE BAR,
S. L.
Admiral Commodities Inc.
Adolphe Financial Management
Advance Partners LLC
37
Advent Capital GmbH
(Clone of UK incorporated firm)
38
Advice Europe
39
AdvisorCorp Ltd
40
41
42
43
Affinity Group Solutions
Affirmo Grupo Inverstor, S.L.
AFIN BROKERS, a.s.
AG Group Advisors
44
Address
Suite Z-12, PO Box 8497
Sharjah Airport Free Zone
Sharjah, UAE
Website: www.adderleydavis.com
B92025964, AVDA. NACIONES UNIDAS, CRISTAMARA36, PUERTO BANUS, 29660 Marbella
Charlottenstrasse 8, 10969 Berlin, Germany
www.admiralcommodities.com
www.adolphefinancial.com
1122 E Pike St., Seattle WA, USA, 98122
www.advancepartners.us
Mainzer Landstrasse 51
Frankfurt 60329
Germany
Tel: 0049 069 2992 0860
0203 384 5070
Email: [email protected]
Website: www.advent-capital.com
Holborn Gate, 330 High Holburn, London WC1, United
Kingdom
www.adviceeurope.com
13 The Topiary, Basingstokle, Hampshire, London RG24
8YX, United Kingdom
www.advisorcorpltd.com
Pobřežní 95/74, 187 00 Prague 8, Czech Republic
www.affinitygroupsolutions
C/Rocafort 91 Bis Átiko 1, 08015 Barcelona, Spain
Lidická 73, 602 00 Brno, Czech Republic
Floor 3, Liberation Station, Esplanade, St Helier, Jersey
JE2 3AS
www.aggroupjersey.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Spain
Sweden
unauthorized subject
unauthorized subject
www.cnmv.es
www.fi.se/warning
Luxembourg
Sweden
unauthorized subject
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Spain
Czech
Republic
United
Kingdom
unauthorized subject
license has been
revoked
unauthorized subject
www.cnmv.es
www.cnb.cz
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
45
46
Name
AGF EUROPE ADVISORS
AG-FOREXTRADE.COM
AIFA GOLBAL MARKET (name as
appears on firm’s website)
AIFA GLOBAL MARKET
47
48
49
AIM Law Associates
Aims World Asset&Investment
Management Services
AJ Nelson Consultants LLC
50
AJ WYMAN & ASSOCIATES
51
Akaishi Global
52
Akeman Capital
53
54
Akzenta SA
Address
11 Floor, 1 Canada Square, Canary Wharf, London E14
5AB, United Kingdom
www.ag-forextrade.com
Country
forwarding
warnings
United
Kingdom
Spain
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
33 THROGMORTON STREET, LONDON, ENGLAND
EC2N 2BR
SUITE 4705, JIN-MAO TOWER, 88 CENTURY AVE.,
SHANGHAI, CHINA 200121
Tel: +44 (0207) 156 5187 +86 (21) 6255 9828
Fax: +44 (0207) 156 5001 +86 (21) 5190 1945
www.aifafx.co.uk
www.aifagm.com
One America Plaza 6th Floor, 600 West Broadway, San
Diego, California, 921 08
600 17th Street, Suite 2800, South Denver, Co 80202-5428
Unit Level 13, Main Office Tower, Financial Park, Complex
Labuan FT, Malaysia
The Commerce Building, 708 Third Avenue, New York, NY
10017, USA
www.ajnelsonllc.com
1511 3rd Avenue, Seatle WA 98101, USA
www.ajwyman.com
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Kamiyacho West Building 4-3-21, Toranomon Minato
Ward, 105-0001 Tokyo, Japan
www.akaishi-global.com
Calle Camilo Jose Cela 1, l-5, Modulo 102, 41018 Sevilla,
Spain
www.akemancapital.com
France
Norway
unauthorized subject
www.finanstilsynet.no
unauthorized subject
Phone +45 33 55 83 89
fals and misleading
proposals
Phone +33(0)1 5345 6034
Sweden
Sweden
Denmark
France
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Al Reen Capital
55
56
57
58
ALAFX Markets Limited
Alberich Gerhard Securities Worldwide
(Aka A G Securities)
Aldermore International ú AI
International
Alderton Consultants
59
60
61
62
Alexander Solutions
All Property LTD
Allan Woods
Allass BVBA Advisory Group
63
64
65
Allconi Bank Administration Ltd
Allendale Financial Services Limited
1959
Country
forwarding
Address
warnings
113 NBB Bldg, 16th Floor, Rd 383, Manama 316, Manama, United
Bahrain
Kingdom
www.alreencapital.com
http://www.alafx.com
Cyprus
United
Kingdom
www.aldermoreinternational.com
United
Kingdom
Gottardstrassr 43
United
CH-8002 Zurich
Kingdom
Switzerland
Fax: 0872 115 5179
Website: www.alderton-consultants.com
Sweden
165 avenue du Pardo, 13008 Marseille, France
Denmark
Slovak
Republic
United
[email protected]
Kingdom
Birmingham Business Centre, 4225 Waterside Centre,
United
Birmingham B37 7YN
Kingdom
www.allassbvba.com
Ireland
Ireland
1 Berkeley Street
United
London
Kingdom
W1J 8DJ1
England
Tel: 0203 307 0998 (for existing investors)
Tel: 0203 307 0996; 0203 307 0991 (for other enquiries)
Website: http://allen-dale-ltd-1959.co.uk
E-mail: [email protected]
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.finanstilsynet.dk
www.nbs.sk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Alliance Capital Securities
66
Alliance Direct Management
67
Alliance Finance Plc
Address
7 Stretton Street, London W1J 8LT, United Kingdom
www.alliancecapitalsecurities.com
www.acsecurities.co.uk
1213 Kailash Building, K.G. Marg, Connaught Place, New
Delhi - 11001, India
www.alliancedirect.com
www.alliancedirectmanagement.com
www.alliancedirectmanagement.org
www.alliancefinanceplc.co.cc
68
69
Alliance Global Investors Fund
Management LLC
Alliance Investment Group
70
71
72
73
74
Alliance Partnership
ALLIANT HOLDINHS I INC
1040 Avenue of the Americas, 20th Floor Unit 8, Manhattan
New York, New York 10018, United States
Queensbury House, 3 Old Burlington Street, London W1S
3LD
www.aig-securities.com
30 Artillery Lane, Tower Hamlets, London E1 7LS, United
Kingdom
www.alliantholdingsiinc.com
Allianz Asset Management
ALLIANZ GLOBAL INVESTORS (Clone Telephone numbers used: 0203 239 4301
of FSA Authorised firms)
0203 318 1877
Email: [email protected]
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Jersey
Financial
Services
Commission
unauthorized subject
[email protected]
[email protected]
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Sweden
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Allianz International Group,
Address
WTC 3 Simon Bolivarlaan 30 (Ville de Bruxelles),
Brussels BR,
1827- Belgium
Tel: 00469222236508
Fax: 003225503636
www.allianzinternational.com
Allianz International Group,
WTC 3 Simon Bolivarlaan 30 (Ville de Bruxelles),
Brussels BR,
1827- Belgium
Tel: 00469222236508
Fax: 003225503636
Website: www.allianzinternational.com
75
76
77
78
79
80
81
82
Allied Champ Investments (Canada)
Allied Partners Financial Group Inc
260 Madison Ave. 8th Floor New York City, New York
10016, USA
Alpha Brokers S.R.
World Trade Center 25 Route de Prois
Geneva
CH-1215
Switzerland
Alpha Connect Capital GmbH (Clone of www.alphacapitalgmbh.com
FSA EEA authorised firm)
Unauthorised firm Tel: 0049 6922227903
Additional addresses found on the unauthorised firm’s
website:
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Luxemburg
Sweden
unauthorized subject
unauthorized subject
www.cssf.lu
www.fi.se/warning
United
Kingdom
unauthorized subject www.fsa.gov.uk
(Clone of previously
FSA EEA Authorised
firm)
The unauthorised firm www.fsa.gov.uk
is using the legitimate
German address of
the FSA EEA
authorised firm.
United
Kingdom
ALPHA CORPORATE CONSULTANTS 90 East Drive, Bleecker Street, New York, NY 10004, USA United
LTD
www.alphaconsultantsltd.com
Kingdom
unauthorized subject
Alpha Finance
unauthorized subject
United Kingdom
www.alphafinanceuk.com
Greece
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
ALPHA FUND MANAGEMENT
(Clone of FSA Authorised firm)
83
84
85
86
87
Alpha Securities S.A.
Altanus Limited (Swiss Money Report)
Altanus Limited (Swiss Money Report)
Alternative Financial Investments
Address
City Tower, 4 Basinghall Street, London EC2V 5DE
Other addresses: Suite 7, Capital House, Circular Road,
Isle of Man IM1 1AG
28-32 Upper Pembroke Street, Dublin 2, Ireland
Tel: +44 203 514 1996
Fax: +44 203 514 1997
+44 203 318 5521
Website: www.alphafundmanagement.com
Email: [email protected]
[email protected]
Country
forwarding
warnings
United
Kingdom
Greece
Markstraat 14, 7607 Almelo, The Netherlands
swissmoneyreport.net
Marktstraat 14, 7607 Almelo, Netherlands
Belgium
Norway
55 Avenue J.F. Kennedy, Luxembourg L-1855
20 Churchill Place, London E14 5HJ, United Kingdom
United
Kingdom
Reason
unauthorized subject
Clone of previously
FSA authorised firm
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cbfa.be
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Alternative Investments Advisors
88
Address
25 Canada Square
Exchange
Canary Wharf
Wacker Drive
London
Illinios
E14 5LQ, UK
Tel: 0207 558 8371
0541
Rue de Colonies 9
centre 183
1000 Brusselles
East
Belgium
2759
www.alternativeinvestmentsab.com
The Mercantile
30 South
Chicago,
60606, USA
+1 312 239
51/F Hopewell
Queens Road
Hong Kong
Tel: +852 8197
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Alternatives Research Group
89
90
91
Alv Group
ALVARO GOMBAU ASESORES
EMPRESARIALES, S.L.
Ambros Group
92
AMK TRUST LTD
93
Address
8G Eastern Commercial Centre
394 Hennessey Road
Wachia
China
and
PO Box 26
25 Sheik Zaid Road
Dubai
UAE
and
Bettinastrasse 26
Frankfurt
60323
Germany
1905, 19th floor, Tower 2, Lippo Centre, 89 Queensway,
Admiralty, Hong Kong
Avda. Reina Victoria 4 1º A
28003 Madrid
Schmalzhofgasse 7,1060
Vienna
Austria
and
12f Leighton Centre
77 Leighton Road
Causeway Bay
Hong Kong
Website: www.ambrosgroup.com
1001 4TH AVENUE PLAZA
SEATTLE
WA 98154
USA
Website: www.amktrust.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
AMR Business Services LLC
94
Anderson Goldstein
95
96
ANDERSON McCORMACK GROUP,
S.L.
Andreas Braasch
97
98
ANG Markets Ltd’
Antek Global Consultants Ltd
99
Aomori Group
100
Address
500 Union Street
Seattle WA
98101
www.amrkpo.com
Level 27, One Exchange Square Tower, 8 Connaught
Place, Hong Kong
www.andersongoldstein.com
Edifico Torre Europa, Paseo de la Castellana n 95, 15-A,
Madrid
16a Canada Square
Canary Wharf
London
E14 5AB
www.andreas-braasch.com
http://angmarkets.com.
One Pacific Place
88 Queensway
Hong Kong
Tel: 0085230199427
Fax: 00852800965421
http://antekglobalconsultants.com
Email: [email protected]
St. Luke´s Tower, 9-1 Akashi-Cho, Chuo-Ku, Tokyo 1040044, Japan
www.aomorigroup.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Cyprus
United
Kingdom
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
Austria
unauthorized subject
www.fma.gv.at
United
Kingdom
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
AOT Europe (Clone of previously FSA
EEA Authorised firm)
101
AOT Stock Specialist (Clone of
previously FSA EEA Authorised firm)
102
Aozora Alliance
103
Apex Holdings Ltd
104
Apex Holdings
105
106
Apex Investment Corporation
Address
Camomile Court
23 Camomile Street
London
EC3 7PP
Tel:
020 3608 1213
Fax:
020 3608 1214
Website: www.aoteurope.com
Email:
[email protected]
Camomile Court
23 Camomile Street
London
EC3 7PP
Tel:
020 8133 6194
Fax:
0872 331 5298
Website: www.aot-ss.com
Email:
[email protected]
[email protected]
World Udagawa Building, 3F, 36-6 Udagawa-cho, ShibuyaKu, Tokyo 150-0042, Japan
www.aozoraalliance.com
Hochhaus, Taunusanlage 12, 60325 Farnkfurt, Germany.
Waterhouse Square, London, EC1N 2SW.
www.apex-holdings.com
Hochhaus
Taunusanlage 12
60325 Frankfurt
Germany
www.apex-holdings.com
108 Park Avenue, Suite 4450, New York 10003, USA
www.apexinvestmentscorporation.com
Country
forwarding
warnings
United
Kingdom
Reason
Detailed information
unauthorized subject www.fsa.gov.uk
Clone of previously
FSA EEA authorised
firm
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Austria
unauthorized subject
www.fma.gv.at
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Denmark
unauthorized subject
www.finanstilsynet.dk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
APEX STOCK TRANSFER INC.
107
Apollo Financial Management
108
Apollo Tiger Fund
109
Applerton Associates
110
Apps Finance, Malta Group
Address
6147 S. EVERETT STREET
LITTLETON, CO 90123
USA
www.apexstinc.com
Tower 42, Old Broad Street 25, London EC2N 1 HN, United
Kingdom
Mainzer Landstrasse 16-24, 60325 Frankfurt, Germany
www.financialmanagementa.com
Tel: +44 (0) 845 528 0013
Fax: +44 (0) 845 528 0014
Tel: +44 (0) 845 528 0083
Fax: +44 (0) 845 528 0084
Tel: +44 (0) 208 133 1549
www.apollo-tigerfund.com <http://www.apollotigerfund.com/>
www.apolloguernsey.com
<http://www.apolloguernsey.com/>
www.apollofundsguernsey.com
<http://www.apollofundsguernsey.com/>
Floor 15. Canada Square, Canary Wharf, London E14
5DY, United Kingdom
www.appletonassoc.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
www.cysec.gov.cy
Malta
111
112 Aquila Financial Services Company
Cyprus
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
113
114
Ardea Capital LP
115 Archipelago Corporate Services Inc
Aris UK Advisory
116
117
118
119
120
Ariun Financial Group
Armstrong&Knight
AROS SECURITIES
Arrow Capital Management Inc
Arrow Merger Consultants
121
122 Artemis Financial
ARUS Asset Recovery Solutions
123
Address
Arcfin Group
712 5th Avenue, New York NY 10003, USA
www.ardeacapitalllp.com
350 Fifth Avenue, 34th Floor, New York NY 10004, USA
One Canada Square, Canary Wharf, London E14 5AB,
United Kingdom
AM Anger 3, Worthsee, DE82237 Germany
www.uk-advisory.com
www.ariunfg.com
Seefeldstrasse 69, 8008 Zurich, Switzerland
www.armstrongknight.com
Kaivokatu 8, Helsinki, Finland 00101
www.arrossec.eu
36 Toronto St, Suite 750, Toronto, ON M5C, Canada
www.arrow-capital.com
5th Floor, Yamamoto Building 14-7, Ebisu 1-chome,
Shibuya-ku, Tokyo 150-0013 Japan
www-arrow-mc.com
1146 Budapest, Mimoza utca 14, Hungary
4 Rue Jean Monnet
L2180
Luxembourg
www.arus.eu
and
1 Penn Plaza 6242 West
34th street midtown
South Manhattan
NY 10119
Country
forwarding
warnings
United
Kingdom
United
Kingdom
Sweden
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
United
Kingdom
unauthorized subject
unauthorized subject
www.kredittilsynet.no
www.fsa.gov.uk
United
Kingdom
Sweden
United
Kingdom
Denmark
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
United
Kingdom
No.
Name
ARUS Asset Recovery Solutions
124
ASA Capital Management
125
Ascensus International, and Ascensus
Direct
126
127 ASCOT ENERGY SERVICES Ltd.
ASCOT MANAGEMENT SERVICES
128
Ltd.
Asesores Financieros Independientes
129
(AFI)
Address
4 Rue Jean Monnet
L2180
Luxembourg
www.arsu.eu
and
1 Penn Plaza 6242 West
34th street midtown
South Manhattan
NY 10119
406, Paradise Complex, Sayajigunj, Vadodara - 390020,
Norway
India
www.asacapital.im
Adalbert-Stifter-Str. 5
United
85521 Ottobrunn
Kingdom
Germany
Tel: 004969222259955
46 Queen St
Exeter
Devon
EX4 3SR
Tel: 00448450753732
Website: www.ascensusinternational.com
Ascensus Direct
Website: www.ascensusdirect.de;
www.ascensusdirect.com
E-Mail: [email protected]; [email protected]
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fsa.gov.uk
www.ascotenergyservices.com
www.ascotmanagementservices.com
Spain
Spain
unauthorized subject
unauthorized subject
www.cnmv.es
www.cnmv.es
Spain
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Ashford Financial Group
130
Ashford Financial Group
131
ashford financial group
132
133
134
135
136
137
138
Address
26F Shinjuku Sumitomo Building, 2-6-1 Nishi-Shinjuku,
Tokyo, Tokyo-to, Japan, 163-0212
www.ashfordfinancialgroup.com
26F Shinjuku Sumitomo Building, 2-6-1 Nishi-Shinjuku,
Tokyo, Tokyo-to, Japan 163-0212
http://www.ashfordfinancialgroup.com.
26F Shinjuku Sumitomo Building
2-6-1 Nishi-Shinjuku
Tokyo Tokyo-to
Japan 163-0212
Tel:
+813 6745 9561
Fax:
+813 6745 9685
www.ashfordfinancialgroup.com
<http://www.ashfordfinancialgroup.com/>
Ashland Mergers & Acquisitions
Management (Japan)
Ashley Partners Mergers & Acquisitions 100 Pearl Street 11th floor, Hartford, CT 06103, United
States
Ashoka Financial Services
www.ashoka-financial-services.com
Ashton Lewis Group
Klarabergsviadukten 70, Stockholm 70396, S-107 24
Sweden
Ashton Trading Corporation
300 West Plaza Mayor, Centro Padre Pio, Office No.6,
Rohmoser, San Jose, Costa Rica, The International
Business Center, Room 201, 23rd Floor, 105 Dun Hua
South Road, Section 2, Taipei 106, Taiwan
Asia World Capital
2006-2007, Tower Two, Lippo Centre, 89 Queens Way,
Admiralty, Hong Kong
www.asiaworldcap.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Norway
unauthorized subject
www.kredittilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.mfsa.com.mt
www.fi.se/warning
Sweden
Netherlands
unauthorized subject
www.fi.se/warning
www.afm.nl
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Malta
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Asian Capital Group
Address
1 Yonge Street, Suite 1801, Toronto, ON M5E 1W7.
C203, Lufthansa Centre Office Building, No 50,
Liangmaqiao Rd. Chaoyang District, Beijing 100016, China.
www.asiancapitalgrp.com
Asian Capital Group
1 YONGE STREET, SUITE 1801
TORONTO, ON, M5E 1W7
CANADA
And
C203, LUFTHANSA CENTRE OFFICE BUILDING
NO 50, LIANGMAQIAO RD. CHAOYANG DISTRICT
BEIJING 100016
CHINA
Phone: +86 10 84053450
Fax: +44 207 9909838
Email:[email protected]
Leutschenbachstrasse 95, Zurich 8050, Switzerland,
Strawinskylaan 3051, Amsterdam 1077, ZX, Netherlands,
Viale Luca Gaurico )/11, Rome 00143, Italy
139
140
Aspen Payne Consulting
141
142 Asprey Group LLP
Asset Management Advisory Services
143
Spain, S.L ./ AMASS
Asset Restoration Facility
144
145
146
Asset Trust Management
ASSOCIACIÓ CORPORATIVA
D´EMPRESARIS IMMOBILIARIS
Country
forwarding
warnings
Švédsko
Reason
neautorizovaný
subjekt
Detailed information
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
One Financial Center, Boston, MA 02111, USA
Sweden
Spain
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cnmv.es
Magdalenasteenweg 324
7th floor
1000 Brussels
Hoofdstedelijk Gewest, Belgium
www.arfacility.com
110 Chauncy Street, Boston, USA
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Spain
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
Travessera de Grácia 56, 3, 08006 Barcelona, Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
147
Assure.se
148 Aston Markets
Astorg Partners
149
150 Atlantic Capital Management (Spain)
Atlantic Capital Trust LLC also known
as Atlantic Capital Trust Management
151
Atlantic International Partnership
152
153
ATLANTIC INTERNATIONAL
PARTNERSHIP
Atlantis Financial
154
Atlantis Financial
155
Address
Box 14, 114 79 Stockolm, Sweden
www.assure.se
www.astonmarkets.bg
1490 Arch Street
8th Floor
Philadelphia
PA 19102
USA
Tel: 0012155831030
Fax: 0012154053761
E-Mail: [email protected]
Website: www.atlanticct.com
Puerta de las Naciones, Ribera del Loira 46, Campo de las
Naciones, 28042, Madrid, Spain
www.atlanticinternationalpartnership.com.
Puerta de las Naciones, Ribera del Loira, 46.
Campo de las Naciones
28042, Madrid.
www.atlanticinternationalpartnership.com
3705 Bank of America Tower, Suite 221, 12 Harcourt
Road, Central Hong Kong,
C/ Antonio Suarez, 48-Bajo, Suite 101, 46021 Valencia,
Spain
Bank of America Tower Suite 221
Harcourt Road 12
3705 Hong Kong
E-Mail: [email protected]
[email protected]
[email protected]
Web: www.atlantis-financial.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
Norway
unauthorized subject
www.kredittilsynet.no
Spain
unauthorized subject
www.cnmv.es
Sweden
Spain
unauthorized subject
www.fi.se/warning
www.cnmv.es
Austria
unauthorized subject
www.fma.gv.at
Sweden
Cyprus
United
Kingdom
Ireland
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
Sweden
United
Kingdom
No.
Name
156 Atlantis Mergers & Acquisitions
Atlas Consultancy
157
158 Atlas Equities
159 ATM Capital
ATM Capital
160
ATX Group
161
162
Augumentum Macau
Aurea Negocios S.L.
163
AUREA NEGOCIOS, S.L. David
164 Samper Bravo a Francisco Guillén
Requena
Ava Capital Markets
165
Address
Reason
Detailed information
757 Melrose Ave., Atlamta, GA 30030
unauthorized subject www.fi.se/warning
16-C Rockefeller Plaza,
unauthorized subject www.fsa.gov.uk
New York,
NY 10020,
USA.
Tel: 0019145172745
Fax: 0019144624266
www.atlasconsultancyltd.com
Austria
Suite 155, Innovacion S/N, 41020 Sevilla, Spainwww.atlasequities.com
unauthorized subject t. č. +43 (0)1/24 959 5106
21F Mitsubishi Juko Yokohama Building, 3-3-1 Minato Mirai,Belgium
Yokohama, Kanagawa-ken
Japan and Viale Europa 42, I-00144 Roma,
unauthorized 220-8401,
subject [email protected]
3-3-1 Minato Mirai, Yokohama, Kanagawa-ken 220-8401, Norway
unauthorized subject www.finanstilsynet.no
Japan and Viale Europa 42, I-00144 Roma, Italy
www.atmcapital.com
Park Avenue Building, 76 East 55th Street, New york, NY, Sweden
unauthorized subject www.fi.se
10021, USA.
Wan Chai Tower, 12 Harbour Road, Wan Chai North,
Hong Kong S.A.R.
www.atx-group.com
Room 1709, 17/F, Centro Com. Si Toi. 619 Avenida da
Norway
unauthorized subject www.kredittilsynet.no
Praia Grande, Macau
C.I.F.:B-84379668, Parque Empresarial Las Mercedes,
Spain
unauthorized subject www.cnmv.es
Avenida de Aragón, No. 330, Edificio 6, 28022 Madrid,
Spain
Parque Empresarial Las Mercedes Avenida de Aragón, n Spain
unauthorized subject www.cnmv.es
330, Edificio 6, 28022 Madrid
Cambourne Business Park
Cambourne Road, Cambridge CB23 6DW
United Kingdom
www.avacmltd.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
166
Name
Avacia Investments / Avacia Limited /
Avacia Securities Limited
AVALON CONSULTANTS LTD.
167
168 Avery Kingston Capital
169 AVGITIDIS TRADING GROUP
AW ASSOCIATES (Clone of FSA
Registered firm)
also uses ANDREW WARNER
ASSOCIATES / A.WARNER
170
ASSOCIATES
AWI FINANCIAL
171
172
173
AXA Isle of Man
Axa Rosenberg Investment
Management Ltd
Country
forwarding
Address
warnings
City Point, 1 Ropemaker Street, London EC2Y 9HT, United United
Kingdom
Kingdom
www.avacia-investments.co.uk
www.avacia-securities.co.uk
60 MARKET SQUARE
United
P.O. BOX 364
Kingdom
BELIZE CITY
BELIZE
TEL.: 0032 2808 2187 AND 0032 2808 2553
WEBSITE: www.avalon-consultants.com
EMAIL ADDRESS: [email protected]
Tel: 0845 527 2857
0292 000 3520
Fax: 0292 000 8739
Website: www.aw-associates.co.uk
Email: [email protected]
[email protected]
[email protected]
Grand Millenium Plaza II, 181 Queen´s Road Island, Hong
Kong Island
www.awifinancial.com
www.fxaxa.co.uk
www.fxaxa.com
Tel: +44 (0) 203 384 6631
Fax: +44 (0) 203 384 6630
www.rosenberginvestmentmanagement.com
www.axarosenberginvestmentmanagement.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
Greece
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
Clone of previously
FSA authorised firm
www.fi.se/warning
Portugal
unauthorized subject
www.cmvm.pt
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Axis Corporate Finance
174
175
Axis Open Source Corporation
Axxess Swiss Trading/Axxess Swiss
Corp/IFGX Mergers and Acquisitions
176
Group
AZ Markets
177
B & T Brokers
178
179 B Cooke Ltd
B Gold International LLC
180
181
Baer Innes Stock broking & wealth
management
Baker & Bains .
182
Baker & Higgs Asset Management
183
Address
Level 5 Shinsaibashi Plaza Building, Shinkan 3-12-21
Minami-Senba, Chuo-Ku, Osaka 542-0081, Japan
www.axiscf.com
7741 E. Gray Road Suite 17, Scottsdale, AZ 85260 (Axis
Investor Realations Europe, Bucharest, Romania)
Medius House LG, 2 Sheraton Street, W1f8BH, London
UK, London City Point 9th Floor, 1 Ropemaker street,
ECZY9HT, London UK, 110 East Boward Boulevard Suite
1700, Fort Launderdale, FL 33301 USA
AZ Markets
15a Canada Square
Canary Wharf
London
E14 5GL
www.az-markets.com
4 Penman Way, Grove Business Park, 1st Floor Gateway
House, Leicester, LE19 1 SY, United Kingdom
www.btbrokers.net
22 Nottinghill Gate London W11 3JE.
13911 W Hillsborough Avenue, Office 112, Tampa FL
33635, USA
www-b-golds.com
Suit 31, Millenium Tower, Handelska, Vienna, A-12000
Austria
Odengatan 54, 113 22 Stockholm, Sweden
www.clickstocktransfer.com
22nd Floor, 70 Pine St., New York, NY 10005
www.baker-higgs.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
Sweden
unauthorized subject
www.fi.se/warning
Netherlands
unauthorized subject
www.afm.nl
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
Norway
Austria
Sweden
United
Kingdom
Sweden
unauthorized subject
www.kredittilsynet.no
www.fma.gv.at
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Baker & Higgs Asset Management
184
185
186
Balfour Beatty
Bank Sewell & Raydell
website: www.sewellraydell.com
Bankhurst Securities
10-12 Lower Thames Street, London EC3R, United
Kingdom
www.bankhurst.co.uk
C/Ramos Carrión, 2 Local D, 28002-Madrid, Spain
Av. Alfonso XIII, 19, 28002-Madrid, Spain
www.barc-trust.com
187
188
189
190
Address
70 Pine St., 22nd Floor
New York City, NY 10005,
New York
USA
Phone: (001) 646-727-4089
Fax: (001) 646-607-5424
www.baker-higgs.com
[email protected]
Barbell Duh, S.L.
Barclay Trust International
Barlow & Ramsey
Barrington Group
191
192 Barvetii Wealth Consultants
BARVETII WEALTH CONSULTANTS
193
Country
forwarding
warnings
Austria
United
Kingdom
Luxemburg
United
Kingdom
Spain
United
Kingdom
15th Floor, Sanno Park Tower, 2-11-1, Nagatacho,Chiyoda- Netherlands
ku, Tokyo 100-6113 Japan
Austria
541 Madison Avenue
United
New York
Kingdom
NY 10010
USA
Tel: 001917381694
Fax: 0019176778271
Website: http://barringtonconsultancy.com
Belgium
Paseo de la Castellana 95-15, 28046 Madrid, Spain
Paseo de la Castellana 95, Planta 15
Spain
Madrid 28046
www.barvetii.com
Reason
unauthorized subject
Detailed information
t. č. +43 (0)1/24 959 5106
unauthorized subject
www.fsa.gov.uk
unauthorized offer of
services
unauthorized subject
www.cssf.lu
unauthorized subject
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.afm.nl/warninglists
Phone +43 1 24959 5106
www.fsa.gov.uk
unauthorized subject
unauthorized subjec
www.cbfa.be
www.cnmv.es
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
194 Bauer & Weiss Associates
BEACON POINTE SECURITIES
195
BEAUMONT, GREENE & PARTNERS
196
Beijing International Market Exchange
197 (BEIMEX)
198 Belgium Financial Group
BELLFIELD INTERNACIONAL
199 ESPAÑA,S.L.
Address
Country
forwarding
warnings
Ireland
United
Kingdom
Reason
unauthorized subject
unauthorized subject
Detailed information
www.financialregulator.ie
www.fsa.gov.uk
24/F 750 THIRD AVENUE,
United
NEW YORK
Kingdom
10017 NY
UNITED STATES
TEL: 1-347-349-9243
FAX: 1-347-348-0705
EMAIL: [email protected]
www.beaumontgreene.com
Anzhen Building 2, An Ding, Men Wai Street, Beijing, China Norway
www.beimex.com
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
Grasmarkt/rue du Marché100, 1000 Brussel, Belgium
Calle Rafael Alberti 58, apartado 10, 17310 Lloret de Mar,
Gerona
www-bellfield-barna.com
unauthorized subject
unauthorized subject
www.cnmv.es
39/F THE CENTRIUM
54-60 WYNDHAM STREET
HONG KONG
Tel:
+852 3015 9566
+852 3693 1546
Fax: +852 3020 7303
+852 5808 1224
www.beaconpointesecurities.com ;
www.research.beaconpointesecurities.com
Belgium
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Bellview Financial
200
Belvedere Capital Partners
201
202
Benefit Planners Intl
Address
Riviera Minami,
Aoyama Building 4F,
Tokyo,
107-0062,
Japan
Tel: +813 45888 717
Fax: +813 67309 634
Website: www.bellviewfinancial.com
Email: [email protected]
Schweizergrasse 23
8001 Switzerland
www.belvederecapitalpartners.com
www.bpiwealth.com
BENTALL KENNEDY
25 OLD BROAD STREET
INTERNATIONAL FINANCIAL CENTRE CITY OF LONDON
EC2N 1HQ
203
Email Address: [email protected]
Tel: 02033184479
0203 608 1366
206
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Bergmann & Co. International
Room 2025, Tower 1, Lippo Centre, 89 Queensway,
Admiralty, Hong Kong
www.bergmannco-international.com.
Norway
unauthorized subject
www.finanstilsynet.no
Bergmannwhite Associates
The Center, 99 Queens Road, Central, Hong Kong
www.bergmannwhite-associates.com
1 Hamilton Place
London W1J 7DA
www.berkeleycapitalfinance.net
www.berkeleycapitalfinance.com
www.berkleyliquidation.com
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
204
205
Country
forwarding
warnings
United
Kingdom
Berkeley Capital Finance/Berkeley
Finance Group
207 Berkley Liquidation & Administration
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
208
Berkley Wyatt Asset Limited, S.L.
Berkley Wyatt Asset Limited, S.L.
209
210
Bernstein, Whitman & Lloyds
Berrington Fund Management
211
Berrscott, Elliott & Associates
212
BEST SELECT FINANZ
213
214 BFXOption
215 BH France
216 BH France
BI ASSET MANAGEMENT / BUSINESS
INTELLIGENCE
217
Address
B-92475326, María Auxiliadora, n 5, Edificio Marbella - 6,
Planta Baja, 29600, Marbella, MÁLAGA
Maria Auxiliadora, n 5, Edificio Marbella-6, Planta Baja,
29600, Marbella, Malaga Avenida Diagonal, n 605, 8, 3a,
08028 Barcelona
10 East 40th Street, New York NY 10016, USA
www.bwl.us
50 City Tower Basinghall Street
London
EC2V 5DE
www.berringtonmanagement.com
Suite 868, 260 Madison, East 38th Street, NW Corner To
East 39th Street, New York City NY 10016, USA
www.berrscottelliot.com
FIRST FLOOR
CHANCERY LANE 22
LONDON WC2 A1LS
Tel: 0203 519 0004
www.bestselectfinanz.com
www.bfxoption.com
145 Saint John Street, London, United Kingdom
145 Saint-John Street, London EC4, United Kingdom
16 Old Queen Street, London SW1H 9HP United Kingdom
Dubai International Financial Centre, Level 10, East Wing,
The Gate Building, PO Box 506511, Dubai, United Arab
Emirates
Sundkrogsgade 7, Kobenhavn o, DK-2100, Denmark
www.biamanagement.com
Country
forwarding
warnings
Reason
Detailed information
Spain
Spain
unauthorized subject
unauthorized subject
www.cnmv.es
www.cnmv.es
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.cbfa.be
www.amf-france.org
www.cbfa.be
www.fsa.gov.uk
United
Kingdom
United
Kingdom
Belgium
France
Belgium
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Country
forwarding
warnings
Denmark
Name
BI Asset Management
Fondsmæglerselskab A/S
Address
http://www.biamanagement.com/.
Billmen & Associates
Euro Business Center, 21-23 Hill Street, Edinburgh EH2
3JP, United Kingdom
www.billmenassociates.com
26th Floor
67-68, 8th Avenue
New York NY 10018
USA
Tel: 0016465028313
Fax: 0016467864623
Email: [email protected]
Website: www.binghamconsultinggroup.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
5 London Road, London SW179JR, United Kingdom
Poland
United
Kingdom
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.knf.gov.pl
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
218
219
BINGHAM CONSULTING GROUP
220
221 Bio-Investor Ltd
Bishop & Parkes Advisory
222
223
224
Black River Asset Management
Tel: 0203 608 2690
Black Rose Financial
Badenstrasse 176, P.O. Box 8026 Zurich 4, Switzerland
www.blackrosefinancial.com
Reason
Detailed information
unauthorized subject www.finanstilsynet.dk
These persons make
unauthorized use of
BI Asset Management
Fondsmæglerselskab
A/S' name, address
and registration
number. In addition to
this, the persons in
question use the
name Business
Intelligence.
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Black Swan Wealth Management
225
226
Blackstone Royalty Corporation
BLACKSTONE ROYALTY
CORPORATION
227
BLACKSTONE
228
229
BLACKSWAN MORGAN
Blake Capital Partners
230
Blanka Nova
231
Bloomfield Trust Management
232
233
BLUE RIDGE CAPITAL PARTNERS
Address
Schützenstraße 63
10117 Berlin
Germany; www.blackswanwm.com
88 Union Street, Jersey City, NJ 08081, USA.
www.blackstone-royalty.com
88 Union Street
Jersey City
Nj 08081
Usa
Tel:
+ 1 (201) 984-5228
Fax: + 1 (201) 604-6714
Website: www.blackstone-royalty.com
Email: [email protected]
Stocks Court
Stayners Road
London E1 4AH
: www.bskinternational.com
<http://www.bskinternational.com/>
120 East 59th Street, New York, NY 10022, USA
www.blackswanmorgan.net
2802 Admiralty Centre, Tower One, 18 Harcourt Road,
Hong Kong
www.blakecapitalpartners.com
1 Canada Square, Tcanary Wharf E14 5AA London, United
Kingdom
www.blankanova.com
1080 Broad ST Bloomfield, NJ 07003
United States
Zip 07003
Tel: +1 973-233-4430
Website: www.bloomfieldtm.com
233 S Wacker Dr, Chicago, IL 60606, USA
vvvw.blueridgeadvisory.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
[email protected].
uk www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Veľká Británia neautorizovaný
subjekt
www.fsa.gov.uk
United
Kingdom
www.fsa.gov.uk
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
234
235
Name
BLUE RIDGE FINANCIAL GROUP
Blue Sky Group Europe
Blue Sky Management
236
237
Blue Sky Solutions Inc.
Address
5623 34th Avenue NE Seattle, WA 98201 USA
vvvw.blueridgefinancialgroup.com
35 Great St Helen´s, London EC3A 6AP, United Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
1008 Raymond Boulevard Newark, New Jersey NJ 07102, Sweden
www.bluecrestintl.com
40 Bank Street, Herons Quays, Canary Wharf, E14 5HU
United
25 Park Lane, London W1K 1RA, United Kingdom
Kingdom
www.bluecrestwealth.co.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cnmv.es
www.afm.nl
Singapore Samsung Hub, Church Street, Singapore
Sweden
049483.
www.bmcigroup.com
701 Westchester Avenenue, White Plains, NY 10604 USA Sweden
www.bnymellon,com/wealthmanagement
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se
764 13th Street Northwest, Washington DC 20005, USA
www.gov.boif.us
unauthorized subject
www.fsa.gov.uk
Bahnofstrasse 52
Zurich ch-8001
Switzerland
www.blue-sky-management.com
No.07-24 Nihonbanshi Kabutocho, Chuo-Ku, Tokyo 1030026, Japan
BLUECREST CAPITAL MANAGEMENT
/ BLUECREST NEW INVESTMENT
238
CAPITAL HEDGE FUND (NEWCAP)
239
Bluecrest International Capital, Inc.
BLUECREST WEALTH / BLUECREST
WEALTH ASSET MANAGEMENT /
240
BLUECREST WEALTH SECURITIES
241
BLUESTAR MANAGEMENT
Blundell Oliver Ltd.
242
BMC Investment Group
243
BNY Mellon Wealth Management
244
245
Board of International Finance
Country
forwarding
warnings
United
Kingdom
United
Kingdom
United
Kingdom
Plaza Santa Eulalia N. 5 Oficina 1, 07001-Palma de
Mallorca
17 Square Edouard VII, 75009, Paris and Av. Da Ribera,
Casa yz APTO 2-11, 299660 PTO, Banus Marbella, Spain
Spain
Netherlands
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
BOLERO BPO LLC
246
Bolsarentable Asesores Financieros
247
248
Bond Asset Management
249 Bordeaux Advisory B.V.
Borsa Financial
250
251
Boston Private Equity
252 Boulton Capital Partners
BOY MALON 21, S.L. (EUROPEAN
253 FINANCIAL SERVICES)
BP Holdings
254
255 BR CONSULTANCE ALFAZ, S.L.
BRADFORD SECURITIES LLC
256
257
Bradley King M & A
Brady & Bell Acquisition Ltd
258
Address
701 Bricknell Ave
Miami
FL 33131
USA
Website: www.bolerobpo.com
12 Wall Street floor 19
10005 Manhattan, New York
www.bolsarentable.com
11-15 Saint Mary at Hill, London EC3R 8EE
www.bondassetmanagement.com
Via Barberini 3/A, 00187 Rome, Italy
www.borsafinancial.com
51 Custom House Street, Boston, MA 02110-3513.
www.bostonpe.com
C/ França 11
43816 Querol
Tarragona
BP Business Center, Calle de Jerez de los Caballeros,
28042 Madrid, Spain
16/F Miramar Tower, 132 Nathan Road, Tsim Sha, Tsui,
Kowloon, Hong Kong
C/Tabarca, Arabi Plaza n 24, L Alfas del Pí, Alicante
Smith St Farmingdale, NY 11735-1023
www.bradfordsecuritiesllc.com
Albert Complex, 60 Albert Street, Singapore, 189969.
www.bradleykingma.com
12th and Midtown, 1075 Peachtree Street NE, At-lanta, GA
30309
www.bradybellacq.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
Netherlands
Belgium
Ireland
Švédsko
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.afm.nl
www.cbfa.be
financialregulator.ie
www.fi.se/warning
Ireland
Spain
neautorizovaný
subjekt
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.cnmv.es
Belgium
Spain
unauthorized subject
www.cbfa.be
www.cnmv.es
Spain
United
Kingdom
Sweden
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
www.fi.se
Sweden
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
BRACHMANN INTER DEALER
259 SERVICES
260
Braun and Brandt Consulting Firm
Brenner and Associates
261
Brentwood Capital Ventures
262
263 Brentwood Group Ltd
Brentwood Trust Company
264
265
Brewer Consulting Group
266 Bridge Investment Network
Bridgestone Trading
267
268
Bridgeway Corporate Management
Bridport Advisory
269
Country
forwarding
warnings
United
Kingdom
Address
Reason
20-22 KING EDWARD STREET
unauthorized subject
LONDON EC1A 1HQ
www.brachmann-ids.com
401 W 26th Street New York, USA
United
unauthorized subject
www.braunbrandtconsulting.com
Kingdom
West 112th Street
United
unauthorized subject
New York
Kingdom
NY 10018
USA
www.brennerconsultancy.com
E-mail: [email protected]
11TH STREET
United
unauthorized subject
11TH FLOOR
Kingdom
NEW YORK
NY 10003
USA
Austria
Level 14, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku,
Tokyo,
unauthorized
Japan 100-0005
subject
8270 Woodland Center Blvd. Waters Tampa, Florida
Sweden
unauthorized subject
33614 United States of America
N Boadway Street 3, Chicago, Illinois 60657, USA
United
unauthorized subject
www.brewerconsultants.com
Kingdom
www.bridgeinvest.dk
Denmark
unauthorized subject
18th Floor Kyoung Am Bldg, Gangnam-gu, 157-27
Belgium
unauthorized subject
Samsung-dong, 135-010 Seoul, Korea
Hong Kong
United
unauthorized subject
www.bridgewaycm.com
Kingdom
14 Rye Jean-Petitot
United
unauthorized subject
Geneva – CH 1211
Kingdom
a tiež:
117 Fenchurch Street
London EC3M 5DY
www.bridportadvisory.com
Detailed information
www.fsa.gov.uk
www.fsa.gov.uk
www.fsa.gov.uk
www.fsa.gov.uk
www.fma.gv.at
www.fi.se/warning
www.fsa.gov.uk
www.finanstilsynet.dk
www.cbfa.be
www.fsa.gov.uk
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Bright Bridge Wealth Management Inc.
270
BRM International
com
271
BROKER'S SOCIETY SOCIEDAD DE
272 GESTIÓN Y TRAMITACIÓN
FINANCIERO ASEGURADORA, S.L.
Bronte Financial
273
Address
Talstrasse 40
Zurich 8001
www.brightbridgewm.com
St Martins House
16 Saint Martin's Le Grand
City of London
EC1A 4EN
Tel: 0203 280 3635
E-mail: [email protected]
Avenue des Morgines 12
1213 Petit-Lancy, Geneva
Switzerland
Tel: 0041 44 580 0244
Fax: 0041 44 508 7320
E-mail: [email protected]
Level 21
99 Queen's Road Central
Central Hong Kong
E-mail: [email protected]
Bettinastr. 30
Frankfurt am Main
60325
E-mail: frankfurt@brminternational.
www.brm-international.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
C.I.F. B-83044354, c/Ortega y Gasset n 40, Madrid
Spain
unauthorized subject
www.cnmv.es
International Commerce Centre, Union Square, Yai Tsim
MongKowloon, Hong Kong
www.brontefinancial.com
Sweden
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Brookes & Associates
274
Brookes and Hargreaves
275
276
BROOKFIELD PARTNERS, S.L.
Brooks and Hawthorne Consulting Ltd
277
278
BROOMPARK INVESTMENTS LTD
Address
628 Hutchison House
10 Harcourt Road
Hong Kong
Tel: +852 397 33748
www.brookes-associates.com
Level 18, 40 Bank Street, Canary Wharf, London E14 5NR,
United Kingdom
www.brookes-hargreaves.com
B-63263545, C/ROGER DE LLÚRIA 137-BAJOS, 08037
BARCELONA
22nd Floor, Suite 2232, Mori Tower, Roppongi Hills, 6-10-1
Roppongi, Minato-Ku, Tokyo 106-0032, Japan
www.brooks-hawthorne.com
Website: www.b-pll.com
16/Fn Sterling Centre, 11 CHEUNG, YUE Street,
CHEUNG SHA WAN, HK – KOWLOON, HONG KONG.
BROWN AND WENGER
70 Linden Oaks, Rochester, New York 14625, USA
280
CONSULTANCY FIRM
www.brownwengerconsult.com
BROWN BROTHERS HARRIMAN SCA 32 Threadneedle Street, City of London EC2R 8AY, United
Kingdom
2-8 Avenue Charles de Gaulle, Luxembourg L-1653
281
Suite 1500, 410 Park Avenue, New York, NY 10022, USA
www.bbhretail.com
279
282
Browell Limited
Brubacher & Associates
283 Bruno Beuriot Gestion
284 Brunswick Capital
Bryant Shaw LLC
285
8583 Boulevard Saint-Laurent, Montreal, Quebec, H2P
2M9
France
www.brunswickcapital.net
29/F, Two International Finance Centre, 8 Finance Street,
Hong Kong
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
[email protected]
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
France
Spain
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
Phone +33(0)1 5345 6464
www.cnmv.es
www.fsa.gov.uk
United
Kingdom
United
Kingdom
Belgium
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Bryce and Sons. Ltd.
286
287 Bull and Bear Advisory (Ireland)
Bull Investment Advisors
288
Burlington Corporate Management
289
BUSINESS CASTLE FENIX, S.L.
290
291
Byrd Fleming and Associates
Cadden International Ltd.
292
Address
Oak Brook, 2021 Midwest Road, Ste.100, Oak Brook,
Illinois, 60523 USA
120 Fenchurch Street
London
EC3M 5BP
Tel: 0203 519 2082, Fax: 0207 806 8089
Email: [email protected]
Websites:
www.bullinvestmentadvisors.com
www.bullinvest.co.uk
www.bull-invest.com
18 Hanover Square
London
W1S 1HX
And
8-9 New Street
London
EC2M 4TP
Tel: 0203 394 0577
www.burlington-corp.com
Av. Castilla 53 Pl. 2º
28830 San Fernando de Henares (Madrid)
www.castlefenix.com
41 Madison Ave, New York NY 10017, USA
www.bfandassociates.com
1275 Glenlivet Dr.
Allentown, PA
USA, 18106
Ph: +1 (484) 357-1969
www.caddenintl.com
Country
forwarding
warnings
Sweden
France
Netherlands
Ireland
United
Kingdom
Reason
unauthorized subject
unauthorized subject
unauthorized subject
Detailed information
www.fi.se/warning Phone
+33 0 1 5345 6031
www.afm.nl/warninglists
www.financialregulator.ie
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
293
294
295
296
Name
Cadogan United Securities
Caltherm Co Private Equity LLC
Camelot Advisors
Camelot Advisors Immobilien
297 Cameron McDonald & Co
Cameron Poe & Associates Inc.
298
Campbell Merger Solutions
299
Campbell Stewart Advisory
300
Cantata Equity Management, LLC
301
Address
18 William Street, New York, NY 10005, USA
www.calthermco.com
The Center, 99 Queens Road, Central, Hong Kong
www.camelotadvisors
The Center, 99 Queens Road, Central, Hong Kong
www.camelotadvisors
625 4th Ave S, Minneapolis, MN 55415, USA
Cricket Square, Hutchinns Drive, P.O. Box 2681, Grand
Cayman KY - 1111, Cayman Island
www.cameronpoe.com
8th Fl., Fukimoto Sawa Bldg.,
17-22, Koishikawa 4-chome,
Bunkyo-Ku,
112-0002, Tokyo, Japan
Website: www.campbellmerger.com
E-mail: [email protected]
52nd Street Avenue South
Seattle Washington 98105
USA
Tel: 0012063190046
Website: www.campbellstewartadvisory.com
Email: [email protected]
125 High St.
Boston, MA 02110
USA
www.cantataem.com
Phone number: 617-517-3092
Fax: 617-830-9781
Country
forwarding
warnings
United
Kingdom
Spain
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
Norway
unauthorized subject
www.kredittilsynet.no
Denmark
unauthorized subject
www.dfsa.dk
Sweden
Denmark
unauthorized subject
unauthorized subject
www.fi.se/warning
www.finanstilsynet.dk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Address
Cantor Index / Cantor UK (Clone of FSA Tel: +44 20 3026 2539
Authorised firm)
Fax: +44 20 3026 2538
Website: www.cantorfsa.com Emails:
[email protected]
www.cantor-fsa.com [email protected]
302
www.cantorint.com [email protected]
www.ukcantorhk.com [email protected]
www.ukcantor.net [email protected]
www.ukcantor.com
303
304
Capital Acces Limited
Capital Alliances Ltd
Capital Edge Group
305
Capital Edge Group
306
1725 Street NW,Suite 3001 Farragut Office Centre,
Washington, District of Colombia 20006, USA
46 Great Marlborough St, W1F 7JW, London, United
Kingdom
Flurstrasse 30
CH-8048 Zurich
Switzerland
Tel: 0041 (44) 586 82 40
www.capitaledgegroup.net
[email protected]
Flurstrasse 30
CH-8048 Zurich
Switzerland
Tel: 0041 (44) 586 82 40
www.capitaledgegroup.net
[email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Clone of previously
FSA authorised firm
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
France
unauthorized subject
www.amf-france.org
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
CAPITAL INVEST TRADING
307
Capital Investors Asset Management
A.G.
309 Capital Investors S.A. .
Capital Management Foundation of
310
North America
311 Capital Managements Schotts, S.L.
Capital Markets
312
308
313 Capital Partners, a.s.
Capital Registrars Group
314
Capital Securities International
315
316
317
318
Capitalium Consult SCRL
Address
EVELYN COURT BUSINESS CENTRE
DEPTFORD ROAD
LONDON SE8 5AD
AND
10/11 RUE GUDIN
PARIS 75016
AND
15TH FLOOR, EMIRATES TOWER
SHEIKH ZAYED ROAD
DUBAI
www.citrading.net
Switzerland
Luxembourg
391 NW 179th Ave, Aloha, Oregon 97006, USA
Fleet House, New Bridge Street, London EC4V 6AL, United
Kingdom
www.capitalmarketsuk.com
Česká republika
2 Grand Canal Square, Dublin 2, Ireland
383 Madison Avenue, New York USA 10179
2 Exchange Square, Hong Kong
www.capseinternational.com
route de Genval 31, 1380 Ohain
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
Greece
Greece
France
unauthorized subject
unauthorized subject
+33 (0)1 5345 6029
Spain
United
Kingdom
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
Greece
United
Kingdom
unauthorized subject
unauthorized subject
www.cmc.gov.gr
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cbfa.be
unauthorized subject
www.cbfa.be
unauthorized subject
www.fi.se/warning
Sweden
Belgium
Capitalium Europe SA
CapitalSys
route de Genval 31, 1380 Ohain
c/Comtes de Bell-Lloc, 170, 08014 Barcelona, Spain
www.capitalsys.com
Belgium
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Capitol Acquisition Management Inc.
319
Capstone Alliance Group
320
321
Capstone Capital Group
Capstone Financial Group UK
322
Carbon Wealth Advisors
323
324 Card Guard AG
Carlisle-Conroy Ventures
325
Carlson Group Consultancy
326
Address
509 7th Street, 8th Floor, N.W.
Washington DC 20004
United States of America
Tel.: 1 202 552 1017
www.capitolami.com
www.capami.com
Level 7 Toranomon 40 MT Building, 5-13-1 Toranomon,
Minato-ku, Tokyo, Japan
www.capstone-alliancegroup.com
160 Rivington Street, New York, NY 10002, USA
www.capstonecapital.com
Tower 42, International Financial Centre, 25 Old Broad
Street,
City of London
Tel: +44 (0) 203 318 2627
www.capstonefinancialuk.com
<http://www.capstonefinancialuk.com/>
Kemp House, 152-160, City road, London EC1V 2NX.
www.carbonwealthadvisors.com
Neuhausen am Rheinfall
Kudan Horie Bldg., 25F, 4-3-14 Kudan-kita, Tokyo 1020073, Japan.
Carlisle-Conroy
www.carlisle-conroy.com
87C West 11th Street,
New York,
NY 10001.
Tel: 009145172746
Fax: 0019144623270
Website: www.carlsonconsultancy.com
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Switzerland
Sweden
unauthorized subject
unauthorized subject
www.swx.com
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
327
328
Name
CARLTON CAPITAL INC
Carlton Global Management
329 Cartius Finance
Cartwright & Keating
330
Cartwright Investment Group
331
Castle Rock Corporate Finance
332
CASTLE TRADE INTERNATIONAL
333
334
Castlepeak and Sons, Ltd.
335 Cathay Asset Management
336 Cayo Flow Capital
CDV Investments
337
Address
48 Wall Street, New York, NY 10005, USA
www.carltoncapitalinc.com
18th Floor Kyoung Am Building, 157-27 Samsung-dong,
Kangnam-ku, Seoul, 135 090 Korea
Country
forwarding
warnings
United
Kingdom
Sweden
Belgium
Sun Truet Plaza, Suite 2410, 303 Peachtree Street, Atlanta,
Georgia 30303, USA
www.cartwrightandkeating.com
Kensington Olympia
Crown House
72 Hammersmith Road
London W14 8TH
UK
10th Floor Togin Building
4-2 Marunouchi 1-chome
Chiyoda-ku
100-0005
Tokyo
Japan
Sweden
United
Kingdom
United
Kingdom
Website: www.castlerock-cf.com
E-mail: [email protected]
X-Tower, Floor 2, Osaka Bay 1-3-1 Benten, Osaka, Osaka - Portugal
fu, Japan
www.castletradeinternational.com
Blue Ash 11427 Reed Hartman Highway, Cincinnati, OH
Netherlands
45241, USA
Netherlands
www.cayoflow.com
Cyprus
40 Bank Street, Canary Wharf, London E14 5NN, United
United
Kingdom
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.cbfa.be
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cmvm.pt
unauthorized subject
Phone +31 (0)20 5535 535
unauthorized subject
unauthorized subject
unauthorized subject
www.afm.nl/warninglists
www.cysec.gov.cy
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
CEEM Central & Eastern European
Markets Asset Management
with alleged place of business
Burgring 16, A-8010 Graz, Austria
http://ceemam.com
Phone: +43 720 88 07 17
Fax: +43 720 88 07 18
Austria
unauthorized subject
Phone +43 (0)1/24 959 5106
Centaur Global Advisors
509 Olive Way Seatlle, WA 98101 USA.
www.centaur-advisors.com
27th Floor, Ark Mori Building, W-12-32, Akasaka 1-chome,
Minato-ku, Tokyo, Japan 107-6030
www.centerfinancemanagement.com
440 W. 33 Street, New York, NY 10001
www.ctmgtcorp.com
Burgring 16, A-8010 Graz, Austria
www.ceemam.com
703 Wiles Rd., Suite 311, Coral Springs, FL 33067, USA
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Belgium
unauthorized subject
www.cbfa.be
Sweden
unauthorized subject
www.fi.se/warning
No. A-90, Lajpat Nagar 2, New Delphi, 110024 India
www.centurydirectgroup.com
United Kingdom head office, China branch
www.sfimarkets.com
LP 405 Lexington Avenue, 41 st. Flr, New York NY 10174,
USA
www.cfmtradings.com
Trading Office, 29th Floor, 1 Canada Square, Canary
Wharf, E14 5DY
78 Sir John Rogerson Quay, Dublin 2, Ireland
www.cfsplc.co.uk
The
Netherlands
Slovenia
Cyprus
unauthorized subject
www.afml.nl
unauthorized subject
unauthorized subject
unauthorized subject
www.a-tvp.si
www.cysec.gov.cy
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
CENTER FINANCE MANAGEMENT
341
343
344
345
Centrade Management Corp.
Central & Eastern Markets Asset
Management
Centurion Capital International , Inc.
Century Direct Group
346 CertiGroup
347 CF Invest Ltd
CFM Trading
348
CFS PLC
349
Detailed information
t.č. +43 (0)124959-5106
Address
Mariahilfer Strasse 123
1060 Vienna
Phone: +43 (0) 720 880 227 ext. 351
+43 (0) 720 880 227 ext. 352
339
342
Reason
unauthorized subject
Name
CDV Investments (Europe)
338
340
Country
forwarding
warnings
Austria
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
350 Ci Com SA
351 CIAR INVESTMENT CORP
CIB Malta PLC
Address
2236 Albert Hoy Street, Belize City
http://cibmalta.eu
Country
forwarding
warnings
Switzerland
Spain
Malta
Reason
unauthorized subject
unauthorized subject
Detailed information
www.swx.com
www.cnmv.es
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
Spain
United
Kingdom
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
Clone of FSA EEA
Authorised firm
www.fi.se/warning
www.fsa.gov.uk
Ireland
Sweden
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fi.se/warning
352
353
CISA, S.L., Corporate Investment
Services
Citi Capital Partnership
354
355 CitiFund Asset Management Inc
CITILIFE FINANCIAL (Clone of FSA
EEA Authorised firm)
356
357 Citilife Financial Limited
358 City Capital MA
B-63734974, Calle Balmes, n 152, 3, 2a, 08080 Barcelona
400 Park Avenue
New York
NY 10022-4699
USA
www.citicapitalpartnership.com
399 Park Avenue, 8th Floor New York, New York
29 Throgmorton Street 1 Northwall Quay
London
Dublin 1
EC2N 2AT County Dublin
Ireland
Tel: 0207 193 2824 00 (353) 1443 4076
Fax: 0203 514 2602 00 (353) 1696 8961
www.citilifefinancial.com
Email: [email protected];
[email protected]
Ireland & UK
6990 W. Cedar Ave., Lakewood, CO 80226 USA
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Citywide Associates
359
Clairmont Capital Partners
360
361 Claridon Asset Management (UK)
Clarity Capital Markets
362
Classicus AG
363
CLAYBOURNE GROUP
364
Claymore Capital
365
366
Clayton Pressman Ivy International
CLOSE CAPITAL INVESTMENTS
367
368
Close on, S.L.
Address
12-14 Old Street
London
EC2A 4AA
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.fsa.gov.uk
unauthorized subject
Phone +43 (0)1/24 959 5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
Tel:
0203 284 8374
Fax:
0203 284 8375
Marunouchi Kitaguchi Bldg, 6-5,1 Marunouchi, Chiyoda-ku, Sweden
Tokyo, Japan
www.clairmontcapitalpartners.com
Ireland
Lansdowne House, 57 Berkeley Square, London W1J 6ER, United
United Kingdom
Kingdom
www.claritycapitalmarkets.com
Feldkircher Straße 48
Austria
9494 Schaan
Liechtenstein
[email protected]
Tesbury Center, 24-32 Queens Road East, Wanchai, Hong
Kong
www.claybournegroup.com
51 Fitzwilliam Sq.W., Droichead Na Dothra, Dublin 2,
Ireland
PO Box 1917, Dublin 2, Ireland
www.claymorecapital.com
www.cpi-i.com
10 EXCHANGE SQUARE
PRIMROSE STREET
LONDON EC2A 2BY
www.close-capital.com
c/Diego de León 28, 28006 Madrid, Spain
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
CLUB DE INVERSIÓN DE ALTO
369
RENDIMENT (CIAR)
370 CMBS Portfolio LLC
CNB Acquisitions Inc.
371
CoachTrader
Address
Avenida 300, n. 13, bajos 1a, Castelldefels, 08860Barcelona, Spain
Financial Street Centre, No. 9 Financial Street, XiCheng
District, Beijing 100033
Lloyds Building, 12 Leadenhall Street, EC3V 1LP
www.cnbacquisitions.com
www.coachtrader.com.
Country
forwarding
warnings
Spain
Ireland
United
Kingdom
France
Reason
unauthorized subject
unauthorized subject
unauthorized subject
www.cnmv.es
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
Tél. : 01.53.45.58.71 - Fax :
01.53.45.58.70
[email protected]
372
Cohen Corporate Consulting
45D Mariaville Road, Pattersonville, New York 12137, USA United
www.cohencorporateconsulting.com
Kingdom
unauthorized subject
www.fsa.gov.uk
Coleman and Partners
124 Fulton Street, New York, USA
www.colemanandpartners.com
1645 Dr. Martin Luther King Drive, Suite 1201, St. Louis,
MO USA 63106
Amber Commercial Building, 70-72 Morrison Hill Road,
Hong Kong
Paseo de la Castellana, 210.14-6
28046 MADRID
http://comfimo-inversiones.com
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
Spain
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
Ohio, USA
www.commodoreasset.com
53rd Street Marbella, World Trade Center, 1st Floor
Commercial Area, Panama City, Panama 0832-00155
www.thecommonwealthalliancecorp.com
Norway
Belgium
Sweden
unauthorized subject
www.kredittilsynet.no
www.cbfa.be
www.fi.se/warning
373
374
375
376
Coleman, Peterson & Associates
Collingbourne Group
COMFIMO INVERSIONES, S.L.
377
378
Commodore Asset
Commonwealth Alliance Corporation
379
Detailed information
unauthorized subjec
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
United
Kingdom
No.
Name
Companies Investment Holdings Ltd
380
Complete Commodity Trading
381
Concept Fund Solutions
382
383
384
CONCEPTS FINANCIAL
CONSULTANTS SA
CONINVER ASESORES, S.L.
Connelly Peterson Ltd.
385
Address
Zephyr House, 122 Mary Street, PO Box 709, Grand
Cayman KY1-1107
1 Gwynne Gardens, East Grinstead, West Sussex RH19
1PY, United Kingdom
www.companiesinvestment.com
Tower A, 23/F Center Plaza, 161 Lin He Xi Road, Tian He Norway
District, Guangzhou 510620
www.completcommodity.com
29th Floor, One Canada Square, London E14 5DY, United United
Kingdom
Kingdom
www.conceptfundsolutions.com
C/Barbadillo, 4-1 a planta, 28042 Madrid, Spain
www.coninver.es
200 West Madison Street, P.O. Box 57680, Chicago, IL
60606.
www.connellypeterson.com
Tel:
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fsa.gov.uk
0845 686 1766
Greece
Spain
unauthorized subject
www.cnmv.es
Sweden
unauthorized subjec
www.fi.se/warning
United
Kingdom
unauthorized subject www.fsa.gov.uk
Clone of previously
FSA registered firm
The firm Connors
Thompson Reed
Limited, which
appears on the FSA
register under the
Firm Registration
Number 200645, is no
longer FSA
registered.
unauthorized subject www.finanstilsynet.no
386
Conquest Private Equity LLC
Detailed information
www.fsa.gov.uk
unauthorized subject
Connors Thompson Reed
387
Reason
unauthorized subject
1127 Avenue of Americas, New York, NY 10036, USA
www.conquestpe.com
Norway
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
388 Constant Financial Services
CONSULTRADING
389
SOLUTIONS GROUP
Cooper and York
390
391
392
393
394
Cooper Company Management
Cornerstone Worldwide
CORNHILL MANAGEMENT, S.L.
Corolla Financial
Corporate One Asset Management
395
Address
www.cfdivisas.com
www.hispatraders.com
Office 2606, 26/F, Richmond Commercial
Bldg. 109, Argyl St, Mong Kok, Kowloon, Hong Kong
2 Penn Plaza, New York, NY 10001, USA
www.coopercompanymanagement.com
129 Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minatoku, Tokyo, Japan 105-003
Calle Balmes, C.I.F.: B-64385909 n 152, 3o, 2a, 08080
BARCELONA
Yebisu Garden Place Tower, Ebisu, Shibuya-ku, Tokyo,
Japan
Koda
Building 11F, 10-2 Nishi-Tenma 2-chome, Kita-ku, 5300047, Oska, Japan.
www.corporateoneassetmgm.com
Corporate One Asset Management
396
Corporate One Asset Management
397
398 CorporateBonds.pl Sp. Z o.o.
Koda Building 11F, 10-2 Nishi-Tenma 2-chome, Kita-ku,
530-0047, Oska, Japan.
605 Horie Blg., Kudankita 4-3-14, Chiyoda-Ku, 102-0073,
Tokyo, Ja-pan.
www.corporateoneassetmgt.com
Koda Building 11F
10-2 Nishi-Tenma 2-chome
Kita-ku
530-0047
Osaka
Japan
Tel: +81 6 4560 4046
Website: www.corporateoneassetmgmt.com
Rajców 4, 00-220 Warsaw, Poland
Country
forwarding
warnings
Cyprus
Spain
Sweden
United
Kingdom
Reason
unauthorized subject
Detailed information
www.cysec.gov.cy
unauthorized subject
unauthorized subject
www.cnmv.es
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Sweden
Spain
unauthorized subject
www.cnmv.es
Belgium
unauthorized subject
www.cbfa.be
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Poland
unauthorized subject
www.knf.gov.pl
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
399
Name
Courtney Brown Group
Courtney Brown Group
400
Cover Capital Partners
401
CP Brokers
402
CPI International
403
Crawford & Knight
404
Crawford Capital Partners
405
Address
42, allée Scheffer, L-2520 Luxembourg
www.thecourtneybrowngroup.com
42 Allee Scheffer
Luxembourg City
Luxembourg L2520
www.thecourtneybrowngroup.com
1722 John F Kennedy Blvd, Philadelphia PA 19103, USA
www.covercp.com
Admirals Way, Canary Wharf, London E14 9XG
Taunusanlage 12, Frankfurt, Hesse, Germany
www.cpbrokers.co.uk
Equitable Building, Floor 23 Suite 1996
120 Broadway
Manhattan
New York10271
USA
Tel: 0016463891920
Fax: 0016463891923
E-mail: [email protected]
Website: www.cpiint.com
Platz der Einheit 1
60327 Frankfurt am Main
Germany
www.crawfordknight.com
112 East 50th Street
New York
10022, New York
U.S.A.
Tel.: 001 631 415 9996
Email: [email protected]
Website: www.crawfordcapitalpartners.com
Country
forwarding
warnings
Luxemburg
Reason
unauthorized subject
Detailed information
www.cssf.lu
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
406
407
408
Name
Credi Corp Securities
Credible Solutions Inc.
Credit Suisse (UK) Limited
409 Crickmore & Lutz
CROMWELL AND GOODWIN
410
Crossbridge Partners
411
Crossley Acquisitions
412
413
Crown Point Mergers & Acquisitions
Limited
Cruse & Associates
414
415
CT Lambson and Associates
416 CTA Bank
CulverHouse Capital
417
418
419
420
Cunningham Hyatt Mergers &
Acquisitions, LLP
CV Global Corp LLC
D.Keffel-Fallahi
Address
: 18 Bleicherweg 8002, Zurich, Switzerland
http://www.credicorpsecurities.com/. Finanstilsynet
345 California Street, San Francisco, CA 94104
www.credible-solutions.us
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.kredittilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
Luxemburg
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cbfa.be
www.cssf.lu
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Phone +43 (0)124959-5106
22, rue/avenue de la Gare, L-1610 Luxembourg
221 E 18TH ST # 1 NEW YORK
NY 10003-3620
UNITED STATES
www.cromwellgoodwin.com.
19F Hing Wai Centre, 7 Tin Wan Praya Road, Hong Kong Sweden
Island, Hong Kong.
www.crossbridgepartners.com
1233 20th Street NW #104
United
Washington D.C.
Kingdom
www.crossleyacquisitions.com
Shinjuku Park Tower, 163, 1030 Tokyo, Japan
Sweden
Suite 1003, 9/F Bank of America Tower,12 Harcourt Road, Norway
Central, Hong Kong
www.cruseandassociates.com.
432 Park Avenue South, Manhattan, NY 10016, USA
United
www.ctlambson.com
Kingdom
www.ctabank.com
Belgium
L-1248 Luxembourg, rue de Bouillon
Luxemburg
website: www.culverhousecapital.com
First National Plaza, 70 West Madison St., Three First
Sweden
National Plaza, Chicago, Illinois 60602-4270
140 4th Avenue North, Seatle, WA 98109, USA
United
www.cvglobalcorp.com
Kingdom
119 C. Jara, E-29630 Benalmadena, Spain,e-mail:
Austria
[email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Dai-ichi Securities
421
422 DAILY REPORT, S.A.
Damon and Callus
423
424
425
DANT AND COMPANY LLC
Dauphin Asset Europe
Address
15th Floor, KDDI Otemachi building, 1-8-1 Otemachi,
Chiyoda-Ku, Tokyo 100-0004, Japan
www.dai-ichi-securities.com
A-63429765, Avd. Diagonal 615, 8 A, 08028 Barcelona
743 Third Avenue, Suite 22A, New York, NY 10017, USA
750 7th Avenue, New York, NY 10019, USA
www.dantcompany.com
Seefeldstrasse 69, 2nd Floor, Zurich, Switzerland
426 Davenport Chadwick & Co. Ltd
Davidson Capital Partners (USA)
427
Detailed information
www.finanstilsynet.dk/sw126
7.asp
Spain
Sweden
unauthorized subject
unauthorized subject
www.cnmv.es
www.fi.se/warning
United
Kingdom
Sweden
Netherlands
Cyprus
Ireland
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.afm.nl
www.cysec.gov.cy
www.financialregulator.ie
98 – D EAST MAIN STREET
SUITE 209
BATAVIA
NEW YORK
14021
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Davis & Co LLC
One Commerce Plaza, 99 Washington Ave, Albany, NY
12231
www.daviscompanyllc.com
Liberty Street, Financial District, New York City, New Your
10006, USA
www.davis-rudell.com
Doosan Building, 10th Floor, 105-7 Nonhyun-dong,
Gangnam-Ku, Seoul 135-010, South Korea
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.cbfa.be
www.kredittilsynet.no
www.fma.gv.at
www.afml.nl
unauthorized subject
www.fma.gv.at
429
Davis & Rudell LLC
430
Davis Mayer Group
431
Davis Ward & Beck Partners LLC
Dawson & Crane Inc.
433
Reason
unauthorized subject
DAVIDSON CAPITAL PARTNERS
428
432
Country
forwarding
warnings
Denmark
Sweden
Belgium
Norway
Austria
444 North Capitol Street, Washington, D.C., USA
The
www.dwbpartners.com
Netherlands
37th Floor, The Center, 99 Queen´s Road Central, Central Austria
Hong Kong
www.equicap-corp.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Dawson & Fielding Inc
434
435 Dc Digital Finance
De Vos
436
437
Dealers Quality Consulting, S.L.
438 Dean Witter Consultancy (USA)
Decker Investors Corporation
439
440
441
442
443
444
445
446
Deep Blue Group Corporate Center
Address
8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-ku,
Tokyo, 100--0005, Japan
www.dawsonfielding.com
Cyprus
[email protected]
[email protected]
[email protected]
c/Diego de León 28, 28006 Madrid, Spain
www.dealers.com.es
http://www.deckercorporation.com:
Calle de la Ribera del Loira, 28042 Madrid, Spain
www.deepbluegroup.com
Delacour Investments / Delacour Group 8-12 Salisbury House, London Wall, London EC2M 5QN,
Ltd
United Kingdom
11th Floor, Guangdong Finance Building, ConnaughtRoad
West, Sheung Wan, Hong Kong
www.delacourinvest.com
Delta IMT
62A, Mihai Bravu Avenue, Commercial Center Spectrum,
1. Floor, sector 2, Bucharest, Romania
Delta Trade Financial Group
Promenade 11, 1170 Peachtree Street N.E., Atlanta, GA
30309 USA, Stephanie Square Centre, Avenue Louise 65,
1050 Brussels, Belgium
Delta West Financial Management
1553 4th Ave # 600, New York, New York 10017
www.deltawestfinancialmgt.com.
Delta West Financial Management .
1553 4th Ave # 600, New York, New York 10017
www.deltawestfinancialmgt.com
Denhman Ogilvie
The Compass Center, 97B Queen's Road, Central Hong
Kong.
www.denhman-ogilvie.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Italy
Netherlands
unauthorized subject
unauthorized subject
t. č. +31 (0)20 797 3751
unauthorized subject
www.cnmv.es
Spain
Ireland
Cyprus
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.cysec.gov.cy
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Denmark
unauthorized subject
www.finanstilsynet.dk
Sweden
unauthorized subject
www.fi.se/warning
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Phone +43 (0)124959-5106
Netherlands
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.afm.nl
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
Austria
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fma.gv.at
Digital 1 Media, Inc.
1 Canada Square, London E14 5AA
www.devonshireholdings.co.uk
Towers Perrin I S R 71 High Holborn, Greater London
WC1V 6TP, United Kingdom
www.dietrich-sohn.com
3307 NW 55th Street, Bldg. 14, Fort Lauderdale, FL 33309 Sweden
unauthorized subject
www.fi.se/warning
Di-La et Thalia Assurances
Rue du Champ de Mars 5, 1050 Brussels.
Belgium
unauthorized subject
[email protected]
Tel: 0203 514 2065
Fax: 0203 514 2067
Email: [email protected]
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Sea Fort Square center Building, 2-3-12 Higashi-Shingawa, Norway
Tennozu Isle, Shinagawa-ku, Tokyo, Japan
www.directcapitalconnection.com
17th Floor, Resona Maruha Building, 1-2 Otemachi 1United
chome, Tokyo 100-0004, Japan
Kingdom
www.directmergersacq.com
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fsa.gov.uk
Denko Group
447
448 Denton Mergers and Acquisitions
Department of Financial Trading
449
450
451
452
Department of Foreign Investment
Control
Devonshire Holdings
Dietrich & Sohn London
455
DIRECT BROKERS INVEST / DB
INVEST (Clone of former FSA
Registered firm)
456
may also use DIRECT BROKERS
INVESTMENTS
Direct Capital Connection
457
Direct Mergers & Acquisitions Inc
458
1048 12th Street Northwest, Washington DC, 20005, USA
www.gov.dfic.us
www.dfic.us
DeVere & Partners UK Limited
453
454
Address
35th and 36th Floor Singapore UOB Plaza 1 Centre, 80
Raffles Place, Singapore 042624
www.denkogroup.com
56, Fultonstreet, New Yourk, NY 10038, USA
18th Street Northwest, Washington DC, USA
Country
forwarding
warnings
Sweden
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
459 Direct Settlements Pte Ltd.
DISTRESSED ACQUISITIONS
COMMISSION
460
461
462
463
464
465
466
467
468
Address
Dammstr. 19, CH-6301 Zug, Switzerland
18 HARBOUR ROAD
WAN CHAI
HONG KONG
www.distressedac.com
Diversified Capital
18th Floor, One International Finance Centre, 1 Harbour
View Street, Central Hong Kong
www.div-capital.com
Diversified Capital Management Ltd
Suite 3102, HSBC Building, 1 Queen's Road, Central Hong
Kong, P.O.Box 392, 51 Main Street, Road Town, Tortola,
British Virgin Islands
Diversified Portfolio Management Invest Unit 177 Carnegie Hall Tower, 152 West 57th Street,
(DPM Invest)
Midtown, Manhattan, New York City, NY 10019, USA
www.dpminvest.com
Dividium Capital, S.L.
Gran Vía Asima 20, 07009 Palma de Mallorca
DMR Consulting, LLC
1500 JFK Boulevard Suite 200, Philadelphia, PA 19102,
USA.
Cerulean Tower, 26-1, Tokyo, 150-0031 Shibuya-ku,
Japan.
44 Market Street, Sydney NSW 2000, Australia.
Calle de Velázquez, 85, 28006 Madrid, Spain.
www.dmrconsultingllc.com
Dominion Royal Ekonomisk Forening
Donaldson and Turner Ltd.
30 N. La Salle Street, #2800A
Chicago, IL 60602-3349
USA
Phone: +1 312 957 6007
Fax: +1 312 275 7666
[email protected]
www.donaldsonandturner.com
Doncaster Wealth Management /
34 Queens Street, Witchurch, Cardiff CF10 2BW, United
Doncaster Wealth Management
Kingdom
(Brokers) Ltd
www.doncasterwm.co.uk
Country
forwarding
warnings
Norway
United
Kingdom
Reason
unauthorized subject
unauthorized subject
Detailed information
www.kredittilsynet.no
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Netherlands
unauthorized subject
www.fi.se/warning
www.afm.nl
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Spain
Sweden
unauthorized subject
unauthorized subject
www.cnmv.es
www.fi.se
Sweden
Austria
unauthorized subject
unauthorized subject
www.fi.se/warning
Phone +43 (0)1/24 959 5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
469
470
471
472
473
Name
Doyle John Joseph Ilp
Dragon International
Dragon Partners Inc.
Dragon Securities
DRAKE & CHILDS GOBAL
TRANSFERS
Drake Merger Management
474
Drexel Lambert Mergers and
475 Acquisitions
Drexel-Bearns Consulting Group
476
477
478
DSB Singapore Pte.
DT Group Business Solutions
DTZ Investment Group Financial
479 Securities
480 Dufresne and Andy International
Address
2 Rector Street, 21st Floor, New York, NY 10006, USA
www.doylejohnjoseph.com
The 57, West 57 Street, New York, NY 10019, USA
www.dragonmergers.com
2 Jian Guo Men Wai Ave, 18, Beijing, China
www.dragonptsn.com
502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyukuku, Tokyo 162-0825, Japan
15 Upper Bank Street, London E14 5EE, United Kingdom
Country
forwarding
warnings
Sweden
United
Kingdom
USA
Detailed information
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.gov.im
unauthorized subject
www.financialregulator.ie
Belgium
Norway
United
Kingdom
8th Flr., Kanematsu Bldg., 14-1, Kyobashi 2-chome, Chuo- United
ku, Tokyo, Japan, 104-0031
Kingdom
www.drakemerger.com
1221 Avenue of the Americas
United
New York, NY 10220
Kingdom
www.drexellambertmergersandacquisitions.com
8th Avenue
United
Suite 401
Kingdom
New York 10018
USA
Tel: 0016467559013
Fax: 0016462249557
E-mail: [email protected]
Website: http://drexelbearns.com;
www.computeratwork.com/drexelbearns
32 Maxwell Road, #03-07 White House, Singapore 069115 Sweden
115 E 54th Street, New York NY 10022, USA
www.dtgconsult.com
Isle of Man
Reason
unauthorized subject
United
Kingdom
Isle of Man,
United
Kingdom
Ireland
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
481 Dufresne and Andy International
Dunleavy Management Ltd
482
483
Dupont Conseille AG
Durdan Heyer Ltd
484
Dyman Associates
485
486
487
488
Dynamic Wealth Management
Dynamic Wealth Management
Address
USA
Level 9, Edobori Cener Building, 211 Edobori, Nishi-Ku,
Osaka 550-0002, Japan
Selnaustrasse 28, Postfach 8021, Zurich, Switzerland
www.dupontconseille.com
415 W Mercer Street
Seattle, WA 98119
Tel: +1 (202) 462 5341
+1 777 889 1731/1734
www.durdanheyer.com
[email protected]
10-1, Roppongi 6-chom, Minato-ku, Tokyo, 106-6114,
Japan
27 Avenue de l´Opera, 75001 Parus, France
www.dymanassociates.com
Schuetzengasse 4, 8001 Zurich, Switzerland
www.dynamicmanagement.com
Schutzengasse 4, 8001 Zurich, Switzerland.
http://www.dynamicwmanagement.com.
Reason
unauthorized subject
unauthorized subject
Detailed information
www.financialregulator.ie
www.fi.se/warning
The
Netherlands
United
Kingdom
unauthorized subject
www.afm.nl
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
France
unauthorized subject
t.č.+33(0)1 5345 6034
unauthorized subject
www.fsa.gov.uk
Edificio Compostela c/ Leganitos no 47, 10, 28013 Madrid
United
Kingdom
Ireland
Spain
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.cnmv.es
1675 Broadway, 30th FL., New York, NY 10019-5820
www.eastfinancialgroup.net
unauthorized subject
www.fi.se/warning
Sweden
EAGLE ADVISORS
489 Eagle Commerce Group (USA)
EAGLE STAR INTERNATIONAL
490
GROUP
East Financial Group
491
Country
forwarding
warnings
Ireland
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
EAST FUND MANAGEMENT
492
493 Eastern Property Holdings Limited
Eastman Asset Management
494
Eastman Pierce Partners Mergers &
495 Acquisitions
Eastman Pierce Partners Mergers and
Acquisitions
496
Easton Corporate Finance
497
498 Easy Tech Solutions
Country
forwarding
Address
warnings
Website: www.ef-management.co.uk
United
Address: 1 Cabot Square, Canary Wharf, London E14 4QR Kingdom
Telephone: 0207 193 7828
Fax: 0203 514 0464
Email: [email protected]
previously using the following contact details:
Website: www.efm-consulting.co.uk
Address: 1 Canada Square, London E14 5DY
Telephone: 0208 144 2837
Fax: 0203 318 4411
Email: [email protected]
www.eastmanasm.com
Chrysler Building,
405 Lexington Avenue, New York, NY 10017
www.eastmanpierce.com
Chrysler Building
405 Lexington Avenue
New York
NY 10017
USA
Tel: 001 646 810 3882,
Tel: 001 212 359 1686
Fax: 001 212 658 9677
Fax: 001 646 514 5425
E-mail: [email protected]
1 West Street
New York
USA
www.eastoncorporate.com
www.easytech-ltd.com
Reason
unauthorized subject
Clone of previously
FSA EEA authorised
firm
Detailed information
www.fsa.gov.uk
Switzerland
Sweden
unauthorized subject
unauthorized subject
Sweden
unauthorized subject
www.swx.com
www.fi.se
[email protected]
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
499
500
Name
Eaton Capital Americas
Eaton Capital Americas
(Belize/Guatemala)
Eclipse Advisory B.V.
501
Eclipse Options Ltd Europe / Eclipse
502 Trading
503 Ecominvest.co.uk
Eden Management Partners
504
505
Edenbourg Advisory Services
EDENSTONE CONSULTING
506
Edge Capital Markets
507
508
EDGELAKE MERGERS &
ACQUISITIONS
Address
12 calle 1-25, zona 10, Torre sur Oficina 1107, Gemimis
International Mall, Guatemala City, Guatemala
Country
forwarding
warnings
Sweden
Norway
unauthorized subject
Detailed information
www.fi.se/warning
www.finanstilsynet.no
www.cssf.lu
unauthorized subject
Phone +43 (0)1/24 959 5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
www.ecominvest.co.uk
Asia Pacific Centre, 8 Wyndham Street, Central and West
Hong Kong
www.eden-management-partners.com
Place Sainte-Gudule/Sinter Goedeleplein 17, 1000
Brussels, Belgium
42 BAHNHOFFSTRASSE
FLOOR 6-8
CH8001 ZURICH
SWITZERLAND
Tel:
+41 44 586 5423
Slovenia
unauthorized subject
unauthorized subject
www.a-tvp.si
www.fi.se/warning
unauthorized subject
www.cbfa.be
United
Kingdom
unauthorized subject
www.fsa.gov.uk
International Commercial Centre, 11th Floor, 1 Austin Road
West, Kowloon, Hong Kong
www.edgemltd.com
79 ROBINSON ROAD
SINGAPORE
068897
www.edgelakema.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subjec
www.fsa.gov.uk
984 Orteliuslaan
3526 Utrecht
Holland
Tel: +31-308-903263
Fax: +31-303-100151
http://eclipse-advisory.com/
[email protected]
35 Great St Helen´s, London EC3A 6AP, United Kingdom
Luxemburg
Austria
Sweden
Belgium
Reason
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
509
Name
Edgewood Equities Capital Investment
Inc
510 Edmund Rome Corporate
Edward Evans Group
511
Edward Jones Group
512
513 Edzel Ventures
EFG Associates
514
515
El Toro Consult, S.L.
Eldridge Financial
516
Eldridge Financial
517
518 Electronic Money Inc.
Address
25 Old Broad Street, EC2N 1HQ London, United Kingdom
350 Park Avenue 18th Floor, New York, NY 10022, USA
www.edgewoodequities.com
65, Avenue Louise, 1050 Brussels, Belgium
www.edwardevansgroup.com
Financial Center at the Gardens
3801 PGA Boulevard, Floor 600
Palm Beach Gardens
Florida, 33410
United States of America
Tel.: +1 (561)2838430
Fax: +1 (561)2829208
www.edwardjonesgroup.com
[email protected]
Sokolovská 93, 186 00 Praha 8, Czech Republic
Two International Finance Centre, 8 Finance Street,
Central Hong Kong, Hong Kong S.A.R.
www.efg-associates.net
Can Ribera 4 1 A, 070 12 Palma de Mallorca
Pastoritx 2, 07013 Palma de Mallorca
Suite 306-310, Rue De La Terrassiére 43, 1207, Genéve,
Swit-zerland
www.eldridgefinancial.com) using the fol-lowing address
Suite 306-310, Rue De La Terrassiére 43, 1207, Genéve,
Swit-zerland
www.eldridgefinancial.com) using the fol-lowing address
www.autochange.page.tl
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Belgium
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.cbfa.be
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
Norway
unauthorized subject
unauthorized subject
www.fi.se/warning
www.finanstilsynet.no
unauthorized subject
www.cnmv.es
unauthorized subject
www.fi.se/warning
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.cysec.gov.cy
Spain
Sweden
Ireland
United
Kingdom
Cyprus
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
519
520
521
522
523
524
525
526
Name
Address
ELITE EEA INVESTMENT PORTFOLIO TOWER 42, INTERNATIONAL FINANCIAL CENTRE
25 OLD BROAD STREET
LONDON
EC2N 1HQ
UK
www.elite-eea.com
ELITE INDEPENDENT FINANCIAL
53 65 STATION ROAD
ADVISERS
PORT TALBOT
WEST GLAMORGAN
SA13 2NW
www.elite-ifa.co.uk
Elliott & Laurence Consultancy Group
(USA).
ELLIOTT AND LAURENCE
142A SOUTH CLARK
CONSULTANCY GROUP
CHICAGO
ILLINOIS
60603 , USA
TEL: 01404 891 5588
TEL: 0013124898414
FAX: 001312 2776016
WEBSITE: www.elliottlaurenceconsult.com
EMAIL: [email protected]
Ellis Harper & Co LLC
1511 3rd Avenue, Seattle WA 98101, USA
www.ellisharperco.com
Ellis Stanley Alden
Wheelock House, 20 Pedder Street, Central, Hong Kong
PRC
www.esaglobalservices.com.
Emerald Securities
30 King Street, City of London EC2V 8AU, United Kingdom
www.emerald-securities.com
Emerson Capital Ltd
527 Empire Investments
14 Robinson Road, 13-00 Far East Finance Building,
Singapore 048545
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Nórsko
unauthorized subject
www.fsa.gov.uk
neautorizovaný
subjekt
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
unauthorized boiler rooms
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
528 Empire State Consultants
529 Englefield Capital
EPICON FINANCIAL
530
531 Epsilon Capital Management
Equicap Corporation
532
533
Equinity Registars Group
Equinox Ventures Corporation
534
Equinox Ventures Corporation
535
536 Equities Europe
Address
110 Wall Street, 11th Floor, New York, NY 10005, USA
Country
forwarding
warnings
Sweden
Belgium
United
Kingdom
Reason
unauthorized subject
unauthorized subject
unauthorized subject
Detailed information
www.fi.se/warning
[email protected]
www.fsa.gov.uk
Switzerland
Ireland
477 Madison Avenue, New York 10022, USA
Austria
68 King William Street, London EC4N 7DZ United Kingdom
www.equicap-corp.com
unauthorized subject
unauthorized subject
www.centralbank.ie
www.fma.gv.at
United
Kingdom
61 Windsor Avenue, Wimbledon, London, United Kingdom, Sweden
SW19 2RR.
www.equinoxventurescorp.com
61 Windsor Avenue, Wimbledon, London, United Kingdom, Sweden
SW19 2RR.
www.equinoxventurescorp.com
Ireland
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subjec
www.fi.se/warning
unauthorized subject
www.financialregulator.ie
25 Canada Square
London E14 5LQ
www.epiconfinancial.com
<http://www.epiconfinancial.com/>
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Ernest Weiss Securities
537
Escrow Advisory Group/Escrow
538 Advisory Ltd
ESIP Finance
539
Address
Office 8-14
Floor 11
5 Canada Square
London
E14 5AQ
Tel: 0203 582 9968
Fax: 0203 284 1145
[email protected]
[email protected]
15th Floor
380 Lexington Avenue
New York
10168
Tel: 001 914 4373 7856
[email protected]
Floor 2
Herrengasse 6
1014 Vienna
Austria
[email protected]
www.ernest-weiss.com
1 Canada Square
Canary Wharf
London E14 5AX
17 Queens Terrace, Southampton, Hampshire SO14 3QL,
United Kingdom
www.esipfinance.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
ESPA FINANCIAL (Clone of previously
FSA EEA Authorised firm)
540
Estlander & Ronnlund Capital
Management
542 Eternity Funds
Euro American
543
541
Euro Benefit Network
544
545 Eurocapital Trading
EuroConsult International Mergers &
546
Acquisitions Ltd
Europa Capital Group
547 Granville House
Europa Financial Group
548
549
550
Europe Ventures
European Value Partners Advisors
Address
The Gherkin
30 St Mary Axe
London EC3A 8BF
Tel: 020 7416 6778
+43 5 0100 11490
Fax: 0872 110 4317
Website: www.espa-financial.com
Email: [email protected]
Aleksanterinkatu 50 a 9.00100 Helsinky, Finland
www.eandrcapital.com
www.eternityfunds.com
75 Harrington St., Dublin
www.euroamericanonline.com
Box 1230, Kitsa, Sweden SE 16428
68 Lombard Street, London EC3V 9LJ, United Kingdom
www.eurobenefitnetworks.com
www.eurocapitaltrading.com
132-135 Sloane Street
London SW1X 9AX
www.europa-capital-group.com
Karlplatz 14
80335
Munich
Germany
Corso Colombo 1, 20144 Milano, Italy
www.europeventures.com
49 Tilney Street, London W1J 7AL, United Kingdom
www.europeanvaluepartneradvisors.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Clone of previously
FSA authorised firm
Detailed information
www.fsa.gov.uk
United
Kingdom
France
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
Phone +33(0)1 5345 6031
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Spain
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Austria
United
Kingdom
unauthorized subject
www.fi.se/warning
Phone +43 1 249 59-0
www.fsa.gov.uk
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
European Ventures Capital Advisors
551
552
553
554
555
556
557
558
Address
Level 33, 25 Canada Square, Canary Wharf, London
E145LQ
www.evcadvisors.com
EuroStock Group
Rudolfsplatz 6-8, A1010 Vienna, Austria
www.eurostock.at
Eurotex Global Savings and Trust, S.A. 10 Rue Jean Baptiste Esch, L-1473 Luxembourg
www.egsavings.com
Eurowork Ltd
29 Harley Street, London W1G 9QR,
United Kingdom
Evercrest Law Firm & Management
28/A ICBC Tower, Citibank Plaza, 3 Garden Road, Central,
Hong Kong
1844 7th Avenue, New York, NY 10026, USA
www.evercrest.us
Stockerstrasse 39, P.O.Box 1665, CH-8027 Zurich,
Everest Asset Management AG
Switzerland
www.everestam.com
Evolution Market Group Inc (commercial Calle 50, Global Bank Tower, Piso 16, Oficina 1607,
name - FINANZASFOREX)
Panama, Apartado Postal 0819-12496 El Dorado, Republic
of Panama
Evolution Securities (ES)
www.evolutionsec.co.uk
EVV Group
559
77-91 Castlewood House
New Oxford Street
London
WC1A 1DG
Tel: +44 (0)845 075 5852
Fax: +44 (0)203 280 3649
Email: [email protected]
www.evvgroup.com
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Spain
unauthorized subject
www.cnmv.es
unauthorized subject
Phone +33(0)1 5345 6031
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
France
Sweden
Sweden
Spain
United
Kingdom
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Excelsus Business Services
560
561 EXELYUM Ltd
Extend Capital Corp. (Group)
562
563
564
Fairfield and Hayes
Fairvesta
Fairway Associatess
565
566
Falon Group Limited
Farrel, Thornton, Lloyd & Brown
567
Fast Line Legal
568
FAXTOR SECURITIES
569
Address
International Commerce Centre, 1 Austin Road West,
Hong Kong, Japan / 81 Robinson Rd, Singapore 068893,
Singapore
http://excelsusbusinessservices.com.
105 Sham Peng Tong Plaza, Victoria, Mahé, Seychelles
Ricardo Arias Avenue Advanced Tower, 11th floor Suite B,
Panama, Republic of Panama,
Hammarby fabriksvag 21A 7th floor, SE-12033- Stockholm,
Sweden
14th Floor, Shinjuku Maynds Tower 2-1-1 Yoyogi, ShibuyaKu, 151-0053 Tokyo, Japan
Konrad-Adenauer Str. 15, D-72072 Tübingen, Germany. Its
website at: www.fairvesta.de
46/F, The Central Building, 99 Queens Road, Central Hong
Kong
www.fairwayassociates.com
14 Robinson Road, 13-00, Far East Finance Building,
Singapore 048545
2000 Market Street, Suite 2122, Philadelphia, PA 19103,
United States
www.ftlbpa.net
Plaza De La Iglesia, Local 9, Planta 2, Malaga, 29631
Spain
www.fastlinegal.com
35 Bew Broad Street House, New Broad Street, London
EC2M 1NH, United Kingdom
www.faytorsecurities.co.uk
Country
forwarding
warnings
Norway
Reason
unauthorized subjec
Detailed information
www.finanstilsynet.no
France
Sweden
unauthorized subject
unauthorized subject
www.amf-france.org
www.fi.se/warning
Norway
unauthorized subject
www.kredittilsynet.no
France
unauthorized subject
Phone +33(0)1 5345 6031
Austria
unauthorized subject
www.fma.gv.at
unauthorized subject
www.fi.se/warning
unauthorized subjec
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
FCV BROKER (Clone of FSA EEA
Authorised Firm)
570
FEINLER MANAGEMENT GROUP
571
FENTON POWER INTERNATIONAL
572
Ferrell & Associates
573
Ferrer Invest
574
575 FERROFORTIA LTD
576 FIA COPRPORATION SA
FIB TRADING, S.L.
577
Address
Address: 10 Fenchurch Avenue
London
EC3M 5BN
Tel: 0203 582 9618
Fax: 0203 411 9358
Website: www.fcvbroker.com
Emails: [email protected] [email protected]
[email protected] [email protected]
[email protected] [email protected]
[email protected] [email protected]
90 Broad Street, 11h Floor, New York, NY 10004, USA
8F, Hannover Square, 64 Wall Street New York 10004,
USA
www.feinlergroup.com
4-3, Nihonbashi-Muromachi 2-Chome Chuo-ku, 103-8303
Tokyo, JAPAN Kingsfordweg 151 1043 GR Amsterdam
NETHERLANDS Av. Paulista 1079 São Paulo, BRAZIL Email: [email protected];
[email protected]; [email protected]
Website: www.fentonpower.com
23A Seventh Avenue, New York USA
Tel: 001 914 517 2752
Fax 001 646 619 4542
C/Coronel Ildefonso Valls de la Torre, 7 2 G, Arrecife (Las
Palmas), Spain
Avda.Mancomunidas, 8 Arrecife (Las Palmas), Spain
www.ferrerinvest.com
www.planetoption.com
Avda.Ricardo Soriano, 1, Edificio Capitol, 2 Planta, 09602
Marbella, Málaga
Country
forwarding
warnings
United
Kingdom
Reason
Detailed information
unauthorized subject www.fsa.gov.uk
Clone of previously
FSA EEA authorised
firm
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Portugal
unauthorized subject
at [email protected].
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
Cyprus
Greece
unauthorized subject
unauthorized subject
unauthorized subject
www.cysec.gov.cy
Spain
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
United
Kingdom
United
Kingdom
United
Kingdom
No.
578
579
Name
Fidelis Research Group
Fidelity Global Recovery
FIL Investment Management
580
Fileamin Invest Ltd. & Fileamin Limited
581
FIMB International Remittance Bank
582
Final Hurdle Ltd
583
584
Finance Asset Recovery
585 Financial Advisors Online
Address
Bahnhofstrasse, CH - 8001, Zurich, Switzerland
www.fidelis-swiss.com
1380 Broadway Ave, 3rd Floor, Suite 7, New York, NY
10001, USA
Canada Square, Canary Wharf, London E14 5LQ, United
Kingdom
www.filinvestments.com
Lodin Lepps gt 4, 5003 Bergen
Norway
Cefalon House, 100 Pall Mall, SW1Y 5EA London, United
Kingdom
BSL Centre 5A, 2nd Floor, Birkirkara Road, Kappara, SGN
4197, San Gwann, Malta
www.fileamin.com
452 Ocean Avenue, Long Branch, New Jersey 4572,
Sweden
United States of America.
46, Lansdowne Terrace, Gosforth, Newcastle Upon Tyne,
NT7 4GY, United Kingdom.
Sarawak House Complex, 46 Jln Kampung, 45278 Sibu,
Sarawak, Malaysia.
www.fimbintbk.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fi.se/warning
Berkley Square House
Berkley Square London
W1J 6BD
London
United Kingdom
Tel: 02033182633
Fax: 02033182634
Website: www.final-hurdle.com
E-mail: [email protected]
Avenue de la Toison d'Or 24, 1050 Brussels, Belgium
http://www.financeassetrecovery.org
Rue Abbe Cuypers 3, 1040 Brussels, Belgium
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Denmark
unauthorized subject
www.finanstilsynet.dk
Belgium
unauthorized subject
www.cbfa.be
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Financial Consulding World Ltd.
respectively
586 EU Financial Consulding World Ltd.
FINANCIAL IMPROVE 2008, S.L.
587
FINANCIAL INVESTMENT GROUP
588 SPAIN, S.L.
589
590
591
Financial Research Advisors
Financial Solutions
FINANCIAL TRADING BOARD
592 Finata Plc
FinAXA Settlements Inc
593
Address
6023 Larnaca
61-63 Lord Byron Street 5th floor No: 83358
Mail: [email protected]
Telefax: +357-240 230 40
www.wfb-financ.com
Domicilio social: c/ Diego de León nº 28. Entreplanta izda.
28006 Madrid.
c/ Serrano nº 8. 1ºD.
28001 Madrid
www.financialimprove.es
Is
Po. de la Castellana 141
Stureplan 23, 114 35 Stockholm, Sweden
www.melquinvest.com
NY 1006, 165 Broadway New York, Suite 3625
www.financialsolutions.com
1091 Vermont Ave NW, Washington DC, 20005, USA
www.dov.fintb.us
London, United Kingdom
Suite 300 JFK BLDG., 1800 JFK Blvd., Philadelphia, PA
19103
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
tel.no. +43 (0)124959-5106
Spain
unauthorized subject
www.cnmv.es
Spain
unauthorized subject
www.cnmv.es
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cbfa.be
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
telč. +39 06 84 77 277
www.fi.se/warning
Sweden
Belgium
United
Kingdom
Italy
Sweden
Slovenia
Ulica mesta Grevenbroich 13, 3000 Celje, Slovenia
- http://www.fin-svetovanje.si/,
594
- http://www.garancija-invest.com and
Fin-Svetovanje, družba za finančno - http://www.fin-invest.eu/.
in poslovno svetovanje, d. o. o.,
www.a-tvp.si.
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Firkin Asset Consultants
Address
5-501 Senba Center Building, Chuo-ku, Osaka, 541-0055,
Japan
12 Hilton Plaza, West Office, Tower 222, Umeda Kita-ku,
Osaka 5300001, Japan
www.firkinac.com
FIRST ALLIED CAPITAL
22F NAMBA PARK TOWER
2-10-70 NAMBANAKA
NANIWA-KU
OSAKA, 556-0011
JAPAN
Tel:
+81 6 7635 4825
Fax: +81 6 7635 4817
www.firstalliedcapital.com
Email: [email protected]
Seiroka Tower, 8-1 Akashicho, Chuo-ku, Tokyo, Tokyo-to,
Japan
www.firstcatholicfinancial.com
8730 Stony Point Parkway, Richmond, VA 23229, USA
www.firstfinancialmgmt.com
Panama
www.firstfreebank.com
Oreintal Plaza 1 East Chang Av., Level 6, Toqer W2, Dong
Cheng District, 100738 Bejing, China,
www.firstchinacmg.com
Tower 2, Exchange square, 8 Connaught place, Hong
Kong
www.firstincltd.com
Tower 2
Exchange Square
8 Connaught Place
Hong Kong
www.firstincltd.com
595
596
First Catholic Financial
597
598 First Diminion Capital Corp
599 First Financial Management
First Free Bank - Forex Investment
600
Brokers
First China Corporate Management
601 Group
First Inc Limited
602
First Inc Limited
603
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Sweden
Norway
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.kredittilsynet.no
www.a-tvp.si
Slovenia
Austria
unauthorized subject
Phone +43 (0)124959-5106
Sweden
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
First Inc Ltd.
604
First Initial Asset Management
605
606
First Nevada Securities Ltd.
607
First Prime International
First Private Clients Ltd
608
Address
Tower 2, Exchange square, 8 Connaught place, Hong
Kong
http://www.firstincltd.com.
56-61 Tabernacle Street
London EC2A 4AA
www.firstinitialassetmanagement.com
5300 Scarsdale Circle, Reno, NV 89502-9692
www.firstnevadasecurities.com
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
(clone of formerly
FSA registered firm)
Phone +47 22 93 98 00www.fi.sePhone +31
www.fsa.gov.uk
Norway
Sweden
Netherlands
6-1-6-503 Minami-Aoyama, Minato-ku, Tokyo, Japan 107-0062
1 Berkley Square
United
London
Kingdom
W1 8DJ
Tel: +44 (0) 203 137 7278
Fax: +44 (0) 203 137 7278
www.firstprivateclients.com
E-mail: [email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
First Standard Management
609
First Swiss
610
First Trade Europe
611
612 First Zurich Group
Address
20th Floor, Central Tower
28 Queen's Road
Central
Hong Kong
Tel: 00 852 4738 7535
Hardturmstrasse 181
CH-8005
Zürich
Switzerland
Tel: 00 4143 5081 642
15 Harcourt Street
Dublin 2
Dublin
Ireland
Tel: 0808 189 1495
Fax: 00 3530 1437 0711
E-mail: [email protected]
Websites: www.first-standard.net,
www.firststandardmanagement.com
Lowenstrasse 61
CH-8001
Zurich
Swit
Cambourne Business Park, Cambourne Road, Cambridge
CB23 6DW, United Kingdom
7th Floor, International Commercial Centre, 1 Austin Road
West, Kowloon, Hong Kong
www.fteuk.com
Tel: 01223 790007
Fax: 01223 280239
: www.novauklimited.com and www.novaukltd.com
www.firstzurich.org
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Switzerland
unauthorized subject
www.zurich.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Address
Fischer & Schultz Independant Financial Canary Wharf
Advisors
1 Canada Square, Floor 14
London
613
E14 5AX
E-Mail: [email protected]
Website: http://fischerandschultz.webs.com
620 Forbes First Financial Corporiation
Forest4YOU Capital S.A.
621
Gorenjska cesta 39, 4202 Naklo, Slovenia
www.fiss.si
3705 Bank of America Tower, 12 Harcourt Road, Central,
Hong Kong
Noreveien 30, 5542 Karmsund, Norway
www.flaaten-invest.no.
663 King´s Road, Hong Kong
www.flagshipcsld.com
World Wide House, 19 Des Voeux Road, Central Hong
Kong
www.flexcapitalpartners.com
Yoshimura Building, Kitahama, 2-6-12, 541-0041 Chuo-ku,
Osaka, Osaka-fu,Japan, and Andrassy ut 12, H-1061
Budapest,Hungary.
8011 Clayton Road, St Louis, Missouri 63105
5, rue Jean Monnet, L-2180 Luxembourg
www.forest4you.eu
622 FOREX GLOBAL FX
623 FOREX PLACE LTD
624 ForexTrada
www.forexglobalfx.com
www.4xp.com
www.forextrada.com
614
615
616
617
Fiss Finance, storitveno podjetje d.o.o.
Fitzwilliam Group Limited
Flaaten Invest AS
Flagship Consolidated
Flex Capital Partners
618
Focus Point Capital
619
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.a-tvp.si
Slovenia
Sweden
unauthorized subject
www.fi.se/warning
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
Norway
unauthorized subject
www.finanstilsynet.no
Belgium
unauthorized subject
[email protected]
Sweden
Luxemburg
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cssf.lu
Spain
Cyprus
Belgium
unauthorized subject
unauthorized subject
unauthorized subject
www.cnmv.es
www.cysec.gov.cy
www.cbfa.be
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Forextradingservice AG Ltd.
Address
61-63 Lord Byron Street 5th floor
6023 Larnaca
Cyprus
and
Maria Waldburga Straße 1
6845 Hohenems
Austria
www.forextradingservice.ch
[email protected]
Fortress Investment Group
23rd FloorE, Tokyo-to Shinjuku-ku 3 20-2, Japan
Bleicherweg 33, Zurich, Switzerland
www.fortressig.com
1-5-3 Muromachi, Nihonbashi, Chuo-ku, Tokyo 103-0022,
Japan
www.fosassetmanagement.com
Paseo de la Castellana, 95-15
28046 Madrid
www.frandistrans-group.co.uk
625
626
FOS Asset Management Co. Ltd
627
FRANDISTRANS GROUP
628
Country
forwarding
warnings
Austria
United
Kingdom
Austria
Spain
Reason
unauthorized subject
Detailed information
Phone +43 (0)1/24 959 5106
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Phone +43 (0)1/24 959 5106
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
FRANDISTRANS GROUP
Address
1 CANADA SQUARE
CANARY WHARF
LONDON
E14 5AA
0208 816 8626;
Paris Medeleine
19 Boulevard Malesherbes ;
Madrid
Financial District Torre Europa
Paseo de la Castellana 95-15
Frank Goldenberg Yoshi
Level 23, One Island East, 18 Westland Road, Island East,
Hong Kong
www.fgy.com.hk
Neue Mainzer Strase 47, 60311 Frankfurt am Main,
Germany
www.frankfurtcg.com
Bank of Amerika Plaza, 901 Main Street, Dallas TX, 75202
states that its address is “Avenue Marnix 26, 1000
Brussels”.
5 Gloucester Road, Revenue Tower, Floors 6-9, Wan Chai,
Hong Kong
www.freud-capital.com
Empire State Building, 33rd Floor, 350, 5th Avenue, New
York, NY 10118
www.frontierforex.com
629
630
Frankfurt Capital Group
631
Franklin Rankin LLC
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Belgium
unauthorized subject
[email protected]
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
Cyprus
Malta
unauthorized subject
www.cysec.gov.cy
www.nfsa.com.mt
632
633
Franz Watermann AG
Freud Capital
634
635
636
Friedman Holland & Associates
Frontiers Group Investment Ltd
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
637
Name
Frost Capital Partners
Fuehrende Investitionen Limited
638
FUND ADVISERS EUROPE
639
640
Fund Logic
Fusion Capital Management
641
Address
52 Broad Street, Boston, Massachusetts 02109, USA
www.frost.com
Carpenter Court 1 Maple Road, SK7 2DH Cheshire, United
Kingdom
www.fiss-solutions.com
www.fiss-investments.com
LONDON WALL BUILDINGS
140 LONDON WALL
THE CITY
EC2M
Tel:
0203 514 0810
Fax:
0203 514 0811
Website: www.faeurope.com
42 Brook Street, London W1K 5DB, United Kingdom
Euro Business Center, 21-23 Hill Street, Edinburgh EH2
3JP, United Kingdom
642 Future Trading Club
Kronhusgatan 12, 411 05 Goeteborg, Sweden
643 FX Greece Ltd
Glyfada, Greece
644 FX Trident 365 Ltd
www.tridentfx.com
FXDealer / FX Dealer / FX Direct Dealer
645
www.fxdealer.us
646 FXOpen Investments Inc.
www.fxopen.com
FX-RUN LTD
Suite 2, Portland House, Glacis Road, Gibraltar
Exchange Tower, Docklands, London E14 9GE, United
647
Kingdom
World Trade Center, Dunajska 156, 1000 Ljubljana,
Slovenia
G R A F-Kantor OHG
An der Autobahn 1, 02828 Görlitz, Neisse, Deutschland
648
www.grafkantorohg.com
address:
649 Gaston Capital Group
http://www.gastoncg.com
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
unauthorized subject
www.a-tvp.si
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
Greece
Cyprus
Malta
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
t.č. +30 210 33 77 100
www.cysec.gov.cy
www.mfsa.com.mt
Cyprus
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.a-tvp.si
Slovenia
Sweden
unauthorized subject
www.fi.se/warning
Cyprus
unauthorized subject
www.cysec.gov.cy
Slovenia
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
650
Name
Gatemoor Securities Inc
Gatemore Capital Management
651
652
653
654
GC Investment Credit & Trust
Ekonomisk Forening, GCICT
GCI Financial Ltd
Genesis Transfer Group
Geneve Invest (Europe) S.a.r.L /
Geneve Invest Wealth Management /
655
Geneve Invest S.a.r.l
656 Geneve Invest Ireland
Genève Invest, whose headquarters
657
658
Genius Funds
GERRARD INVESTMENT
659
MANAGEMENT
660 GIG HOLDINGS Ltd
GIGA INVEST
661
Address
Country
forwarding
warnings
United
Kingdom
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Clone of FSA
authorised firm
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Gordon House, 4th Floor, 1 Coney Drive, Belize City, Belize Spain
unauthorized subject
www.cnmv.es
Bahnhofstrasse 53, 8001 Zurich, Switzerland
www.genesistransfergroup.com
Block A, Sweepstakes Centre, Ballsbridge, Dublin 4,
Ireland
8-10 rue Mathias Hardt, L-1717, Luxembourg
www.geneveinvestireland.com
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Ireland
France
unauthorized subject
unauthorized subject
Central Bank of Ireland
t.č.+33(0)1 5345 6034
France
unauthorized subject
United
Kingdom
Greece
United
Kingdom
unauthorized subject
Tel: 0203 318 1273
Fax: 0203 318 1275
Email: [email protected]
Frejgatan 13, 114 79 Stockholm, Sweden
6, place Chevelu, CH-1201 Geneva, Switzerland.
http://www.geneveinvest.com.
Cyprus
www.geniusfunds.com
GIGA Invest GIGA
Canary Wharf Queens Road East
London E14 5LQ Invest (Asia)
Canada Square Hopewell CenterHong Kong
United Kingdom
Tel: +44 (0)207 193 4833 +852 3103 1011
Fax: +44 (0)203 163 1722
Website: www.gigainvest.net
Sweden
unauthorized subject
unauthorized subject
Clone of previously
FSA EEA authorised
firm
t.č. +33 0 1 5345 6031
www.fsa.gov.uk
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Giles & Hochman Consulting
Address
56 East 11th Street, New York, NY 10001, USA
www.gileshochmanconsulting.com
Glendale Management Group
1553 4th Ave # 600, New York, NY USA 10017
http://glendalemgt.com/.
Centrum House, 39 Queen Street, Glasgow G1 3DX,
United Kingdom
[email protected]
662
663
Glenn Stephen Edwards
664
665
666
667
Global Administrative Providers Inc
Global Analytical Solutions
Global Asset Group
Global Asset Management
668
669
Global Broker
670 Global Capital Group
Global Capital Management
671
Global Capital Markets Worldwide
672
Country
forwarding
warnings
Ireland
United
Kingdom
Denmark
Reason
unauthorized subject
Detailed information
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
unauthorized person
www.fsa.gov.uk
United
Kingdom
Address, telephone and fax numbers or website details are United
unknown.
Kingdom
Beulstrasse 20, Hergisvil, Switzerland 6052
Sweden
www.global-asset-group.com
14 Hanover Street
United
Hanover Square
Kingdom
London
W1S 1YH
Tel: 0203 284 8370
Fax: 0203 281 7996
Website: www.gamanagement.co.uk
Email: [email protected]
www.global-broker.net
United
Kingdom
www.gcgco.com
Denmark
1681 Pines Street corner South 17th Street, Philadelpia
Sweden
Pennsylvania, USA.
(www.globalcapmgt.com
538 Broadhollow Road, #315 E, Melville, New York 11747. Sweden
575 Broadway, Suite 4000, New York, New York 10012.
ww.gcmworldwide.com
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
(Clone of FSA
authorised firm)
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subjec
www.finanstilsynet.dk
www.fi.se/warning
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Global Corporate Partners
673
674
675
Global Direct Asset Management
GLOBAL DIRECT EQUITIES LLC
Global Endowment LLC
676
677
Global Energy Opportunities
Global Equities Capital Markets
678
Global Equity Partners/GE Partners
679
Global Financial Corp Worldwide, GFC
680
Country
forwarding
Address
warnings
30th Street Columbus Circle, 8th Floor, New York NY, USA United
www.globalpartners.com
Kingdom
40 Wall Street, New York, NY 10005
ww.globaldirectam.com
www.globaldirectequities.com
7028 West Waters Ave, Suite 206, Florida 33634, USA
80 SW 8th Street, Suite 2000, Miami FL 33130, USA
www.globalendowmentllc.com
Weinerbergstrasse 9/131, 1100 Vienna, Austria
www.globalenergyopportunities.com
Tel: 0208 099 5446/5436
Fax: 0208 099 5420
Website: www.ge-capitalmarkets.com
Email: [email protected]
1 Berkeley Street, London W1J 8DJ, United Kingdom
5499 N Federal HWY Suite D, Boca Raton, Florida FL33487, USA
100 Washington Avenue North, Suite 1319, Minneapolis
55401, USA.
632 Broadway Suite 407, Manhattan New York, New York
10012, USA.
Global Financia
www.gfcworldwide.com
United
Kingdom
United
Kingdom
Sweden
United
Kingdom
United
Kingdom
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Clone of FSA EEA
authorised
/unauthorised firms
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Global Financial Products (Clone of
FSA EEA authorised
firm)
Address
2-6 Colmore Row,
10th Floor,
Birmingham,
B3 2QD.
Tel: 0871 218 0706
Website: www.mglobalfinance.com
Email: [email protected]
Global GECR
3 London Wall Buildings, London EC2M 5SY United
Kingdom
www.global-gecr.co.uk
2nd Floor, Cayman Corporate Centre, 28 Hospital Road,
PO Box 1993, Grand Cayman
www.ghfgroup.net
Avenue J.F Kennedy, 1855 Erpeldange, Luxembourg
www.gif-group.com
4-3-1 Toranomon, Minato Ku, Tokyo 105-6027, Japan
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
United
Kingdom
Netherlands
France
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.afm.nl
Phone +33 01 5345 6029
Global Investment Partners (Clone of
FSA EEA Authorised firm)
Address: 3 St James Court
St James Place
Whitefriars
Norwich NR3 1SH
Tel: 0845 154 6840
Fax: 01603 298129
Website: www.globalinvestmentpartners.net
Email: [email protected]
United
Kingdom
unauthorized subject www.fsa.gov.uk
Clone of previously
FSA EEA authorised
firm
Global Investments Ltd
7 King William Street, London EC2N 4DA, United Kingdom United
Tel: 0845 686 1766
Kingdom
681
682
Global Hedge Fund Group Ltd.
683
684
Global Intermediate Finance / The GIF
Group / The GIF Group Zurich
Global International Trading
685
686
687
Country
forwarding
warnings
United
Kingdom
Reason
Detailed information
unauthorized subject www.fsa.gov.uk
Clone of previously
FSA EEA authorised
firm
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
GLOBAL LIFESTYLE GROUP S.A.
Address
(WorldFXClub)
Division worldfxclub
Suite # 1056
P. O. Box 2284
#16 Albert Hoy Avenue, Belama Phase 1
BELIZE CITY, BELIZE
CENTRAL AMERICA
www.worldfxclub.com
Global Link Mergers & Acquisitions
50 Raffles Place, # 44-02/03, Singapore Land Tower,
048623 Singapore
Tower Executive Suites, # 10940 Wilshire Blvd, Suite 1500,
Los Angeles, CA 90024, USA
405 Lexington Avenue, New York 10017, USA
3rd Flr., Area Shinagawa. 9-36, Konan 1-chome, Minatoku, Tokyo 102-8112, Japan.
www.globalmergerscorp.com
4695 MacArthur Court 11th Floor
Newport Beach
California
CA 92660
USA
295 GREENWICH STREET (WALL STREET)
NEW YORK
NEW YORK 10007
USA
Suite 2812, One International Finance, 1 Harbour View
Street, Central Hong Kong.
www.globalpartnersea.com
688
689
690
Global Management Inc
691 Global Mergers and Acquisitions Inc.
Global Mergers Corporation
692
Global Network Fiduciary LLC
693
GLOBAL ONE INTERNATIONAL
694
Global Partners EA
695
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
www.fma.gv.at
Sweden
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.afm.nl
www.fi.se/warning
Sweden
Netherlands
Sweden
Veľká Británia neautorizovaný
subjekt
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Global Partners Securities
696
697
Address
Country
forwarding
warnings
Sweden
Denmark
Reason
unauthorized subject
Detailed information
www.fi.se/warning
www.dfsa.dk
FL 33309, USA.
www.globalpartnerssecurities.com
Global Pension Plan
GLOBAL PLUS INVERSIONES,
698 S.A.(GPI)
www.globalplus-es.com
unauthorized subject
SwedenAustria
Spain
unauthorized subject
Global Venture Group 1
151F Chase Tower, 21 S Clark Street, Chicago, IL, 60603- Norway
3203, USA
www.1gvg.com.
Global Wealth Management
Geneva, Switzerland
United
700
Kingdom
Global World Mergers and Acquisitions Hong Kong
Ireland
701
www.fi.se/warning
Phone +43 1 249 59-0
www.cnmv.es
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.financialregulator.ie
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Belgium
unauthorized subject
www.cbfa.be
Slovenia
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.atvp.si
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
699
Globalbanc Financial Services Limited
702
Globaleye SPRL / Globaleye SA /
Globaleye Belgium
704 Globe Invest AG,
Glover Capital Group
705
703
706
GMC EUROPE
One Great Cumberland Place
London
W1H 7AL
www.globalbancgroup.com
Avenue Louise, Louzalaan 367, 1050 Brussels, Belgium
Vienna, Austria
578 Madison Avenue, 10 New York NY 10022, USA
www.glovercapitalgroup.com
Tollhouse Hill, Nottingham, NG1 5FS, United Kingdom
www.gmc-europe.net
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
GMM Equity Holding
707
708 Godfrey Brooks Investment Advisory
709 Goff Private Equity Limited
Gold Asset Managers
710
711
712
713
Gold Coast Investments
Gold Seal Trading
Goldberg & Associate
Goldberg Capital Group Ltd
714
Goldberger & Decadenet
715
716 GOLDEN PURSE FUND
Address
GMM Equity Holding
New Bond House
124 New Bond Street
London
W1S 1DX
www.equityholding.com
Switzerland
Ireland
Rue de Namur 46
Suite 205
1000 Brussels
Belgium
Website: www.goldassetmanagers.com
Email: [email protected]
Tel: 0032 2808 2187
Wienerbergstrasse 11, Twin Tower, 1100 Vienna, Austria
Mooslackengasse 17, 1190 Vienna, Austria
www.zukunft-neu.eu
Wall Street, New York City, New York 10005, USA,
www.goldberg-newyork.com
1-4 Bury Street, The Gherkin Plaza, London, United
Kingdom
www.goldbergcapitalgroup.com
Frankenberggasse 8
1040 Veinna
Austria
www.goldberger-decadenet.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Ireland
Ireland
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.financialregulator.ie
www.fsa.gov.uk
Austria
unauthorized subject
Phone +43 (0)1/24 959 5106
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Austria
unauthorized subject
Phone+43 (0)1/24 959 5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Greece
unauthorized subject
Phone +30 210 33 77 100
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Goldman and Lyle Consulting Group
717
718
719
720
721
Goldman Asset Management (GAM)
Goldman Sachs International
Goldmill Wagner & Associates (Costa
Rica)
Goldsmith & Harris
722 Goldwater Global Management
Gordon, Tait & Co. LLC
723
724 Gotthard Capital Partners
GRAN CANARIA CONSULTORES Y
725
ASESORES, S.L.
Grand Financial Management
726
727
Address
332 Smith St,
Winnipeg,
MB R3 2H6,
Canada
Tel: 1 204 272 2353
Fax: 1 204 480 4825
Website: www.goldmanandlyleconsulting.com
Email: [email protected]
Bastion Tower, Levels 20 & 21, 5 Place du Champ de
Mars, 1050 Brussels, Belgium
Grand Meridian Private Equity Ltd
80 Pine Street, New York, NY 10005
www.ghasset.com
“134 - 136 Avenue des Vaillants 12, Brussel”.
818 Stewart St., Seatle, WA 98101, USA
www.gordontait.com
C.I.F.B 35773969, C/Carvajal 18 esquina Luis Doreste
Silva, 35004 Las Palmas de Gran Canaria
1140 Broadway
New York
NY 10001
Tel 1 646 918 8806
Fax 1 646 862 9519
E-Mail: [email protected]
www.grandfinancialmgmt.com
25E Wahington Street, Chicago, Illinois 60602, USA
www.grandmeridianltd.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cssf.lu
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
[email protected]
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.cnmv.es
unauthorized subject
Phone +43 (0)1/24 959 5106
unauthorized subject
www.fsa.gov.uk
Luxemburg
Sweden
Belgium
United
Kingdom
Ireland
Spain
Austria
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
728
729
730
731
732
Name
Great Basin Scientific, Ltd.
Great Cities Media, Inc.
Green Cap Financial LLC
GREEN PLANTS INVESTMENT
MANAGEMENT Ltd
Green Valley Venture Capitalist
733 Greenbird Financial
Greenfield and Associates
734
735 Greenfield Consulting Ltd
Greenfield Securities Ltd
736
Country
forwarding
Address
warnings
375 West 200 South, Salt Lake City, UT 84101, 6036 South Sweden
Fort Apoache, ste. 110, Las Vegas, NV 89148
5900 N. Andrews Ave. Suite 920, Ft. Lauderdale, FL 33309 Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
unauthorized subject
www.fi.se/warning
14001 Wells Fargo Building, 2030 Main street, Suite 1200, Sweden
Irvine California 92614 USA
http://gplants.org/
Malta
unauthorized subject
www.fi.se/warning
unauthorized subject
www.mfsa.com.mt
86 Orville Drive, Bohemia, NY 11716 www.gvventure.com
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.finanstilsynet.no
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
www.gbfintl.com
213 One Wall Street
New York
NY 10286
USA
Tel: 0016 46502 8310
Fax: 0016 4660 73408
E-mail: [email protected]
Website: www.greenfieldconsultancy.com
02-04-203 Ogikubo Suginami-ku, Tokyo
65-68 Lexington Avenue, East 51st Street, New York
10022, USA
www.greenfieldltd.com
Sweden
Norway
United
Kingdom
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Greengate Advisors
737
738
GreenIndex International Ltd
Greenway Consultancy
739
Greenwood Capital Advisors
740
Greenwood Capital Advisors
741
Address
Limmatstrasse 73
Suite 40
8005 Zurich
Switzerland
and
Handelsstraat 53
Office 304
1000 Brussels
Belgium
www.greengateadvisors.com and www.greengateadvisors.com
Louizalaan 149/24, 1050 Brussels, Belgium
www.greenindex-international.com
104D US Route 67N
Ellicottville
NY 14731
New York
USA
Tel: 001 646 502 8229
Fax: 001 646 839 2838
E-mail: [email protected]
Website: www.greenwayconsultancygrp.com
504 5th Avenue
New York
NY 10110 USA
Tel: 0016465642760
Fax 0016467864831
504 5th Avenue
New York
NY 10110 USA
Tel: 0016465642760
Fax 0016467864831
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Belgium
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Greenwyn M&A (‘Greenwyn’)
Address
Lippo Centre
89 Queensway Road
Hong Kong
Phone: 0085239733859
Fax: 0085230159362
Website: www.greenwyn.com
AND
54F Two International Finance Centre
8 Finance Street
Hong Kong
Phone: 0085239733756
Fax: 0085230158669
www.greenwyn.com
Greyhill Consultants
54 York Street, Marylebone, London, W1H 1GD, United
Kingdom
40 Wall Street,
New York,
NY 10005
United States
www.greysonconsultinggroup.com
95 Wilton Road, Suite 3, London, SW1V 1BZ
Po. de la Castellana 141
28046 Madrid
China West Fortune Plaza, 113 TiyuDong Rd., 510620
Guangzhou, Guangdong, China
www.gzcom.org
address: New York Times Building, 620 Eight Avenue, New
York 10018, USA, Sea Meadow House, Level 2, Road
Town, Tortola VG 1110, British Virgin Islands and First
Canadian Place Level 16, 100 King Street West,
Concourse Level, Toronto, On M5X 1A9, Canada
http://www.guardian-inter.com/.
742
743
Greyson Consulting Group
744
745 Grundbuchzertifikat Ltd.
GRUPO FINANCIERO ORIÓN, S.L.
746
Guangzhou Commodity Exchange
747
Guardian International
748
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Austria
Spain
unauthorized subject
unauthorized subject
Phone +43 (0)1/24 959 5106
www.cnmv.es
unauthorized subject
www.fi.se/warning
unauthorized subject
www.finanstilsynet.no
Sweden
Norway
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Guardian Securities
Address
London Office
193 Old Street
EC1V 9LT
Tel: +44 20 3514 0880
Fax: +44 870 6262085
Switzerland Office
Ackerstrasse 44
CH-8005 Zurich
Switzerland
Tel: +41 115 800 910
Fax: +41 8706 262 086
Website: www.guardian-securities.com
<http://www.guardian-securities.com/>
Gulf Oil Exploration Corporation Inc
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
www.mfsa.com.mt
Two Allen Center 1200 Smith Street, Houston, Texas, USA The
www.gulfoilexploration.com
Netherlands
unauthorized subject
www.afm.nl
H.B.Management
2000 Rue St. Catherine Quest, Montréal, Québec, Canada Sweden
unauthorized subject
www.fi.se/warning
H.S.F. IBZ, S.L.
C.I.F.:B-57030785, Calle Juan Tur, no 11. Edificio Punta
del Mayol, Santa Eulalia del Río, 07840 IBIZA
3rd Floor
28 Throgmorton Street
London
EC2N 2AN
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
unauthorized subject www.fsa.gov.uk
(not to be confused
with FSA authorised
firm Henyep Capital
Markets (UK) Limited;
FSA FRN 186171,
which operates under
trading name HY
Markets).
749
750
751
752
H.Y. Markets
753
Country
forwarding
warnings
United
Kingdom
Malta
Tel: 0044 203 514 2976
Fax: 0044 203 514 2719
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
754
Name
Haberman Brothers International
Hadley Richards
755
HadleyRichards
756
Haffkin-Roth
757
758 Hachiro Mergers & Acquisitions
Halmark Financial Solutions
759
760
761
Hamilton and Pricehouse Consultancy
Hamilton Hastings & Associates
Address
55 King St. W. And Bay St., 3rd Floor, TD Tower, Toronto,
ON M5K 1A2
Shinjuku Monolith 12F,
2-3-1 Nishi-Shinjuku,
Shinjuku-ku, 163-0913
Tokyo, Japan.
Tel: +81 3 449 660 16
Fax: +81 3 449 660 26
Email: [email protected]
www.hadleyrichards.com
Shinjuku Monolith 12F, 2-3-1 Nishi-Shinjuku, Shinjuku-ku,
163-0913, Tokyo, Japan
www.hadleyrichards.com
Asia Trade Tower, COEX Center, 159 Samsung-dong,
Gangnam-gu 135-729, Seoul, Korea
www.haffkin-roth.com
2-4-1 Chiyoda-ku, Tokyo, 100-8919 Japan
4 Troton Square, Regents Place, London NW1 3HG,
United Kingdom
42/44 Bishopsgate, City of London EC2N 4AH, United
Kingdopm
International Commerce Centre, Floor 8, 1 Austin Road
West, Hong Kong
Level 41 Emerates Towers, Sheikh Zayed Road, Dubai,
UAE
www.halmarkfinance.com
127 D West 81st Street, New York, NY 10017, USA
www.hamiltonpricehouse.com
Av. Diagonal 640, Planta 6, 08017 Barcelona
www.hamiltonhastings.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Sweden
Austria
unauthorized subject
Phone +43 (0)1/24 959 5106
Denmark
unauthorized subject
www.finanstilsynet.dk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
HAMILTON HOUSE INTERNATIONAL
762
763
764
765
Hamilton International Group
Address
SEEFELDSTRASSE 69
ZURICH 800
SWITZERLAND
www.hamiltonhouse.com
8/F 37 West 82nd Street, New York NY 10024, USA
www.hamiltonintl.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
United
Kingdom
Belgium
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
5/B Hang Sebg Tower, 33 Wai Yip, Kowloon Bay, Kowloon, United
China
Kingdom
unauthorized subject
unauthorized subject
www.kredittilsynet.no
www.fsa.gov.uk
Hamilton Pierce
Hamilton Trading Ltd
Hammond Global Solutions LLC
766
Hammond Global Solutions LLC
767
768 Hampshire Consultants LLC
HANG SENG BANK
769
Country
forwarding
warnings
United
Kingdom
OBF Center, Artha Graha Building, 6th Floor, JI. Jend
Sudirman Kav, 52-53 Jakarta 12190
1700 Seventh Avenue,
Seattle,
WA,
USA,
98101
Tel: + (206) 452 3469
Website: www.hammondglobal.com
Email: [email protected]
1700 Seventh Avenue,
Seattle,
WA,
USA,
98101
Tel: + (206) 452 3469
Website: www.hammondglobal.com
Email: [email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Hanglung Group
770
Hannover & Rothchild Consultancy
771
772 Hannover Sterling Ltd
Hanover Group
773
774
Hanson Business Services LLC
775 Hanson Group International
HARAMI CONSULTORES, S.L.
776
Harbert European Fund Advisors
777
778
779
Harcourt Wells & Associates
Harden-Krause Private Equity
Address
Hong Kong The Center 62/F & 66/F,
The Center, 99 Queens Road,
Central Hong Kong
Web : www.hanglung-group.com
Email: [email protected]
Tel: +852 3012 9659
Fax: +852 3012 9660
10th Avenue Headquarters Suite, New York, NY 10018,
USA
www.hannoverandrothchildconsultancy.com
40 Berkeley Square, London W1J 5AL, United Kingdom
Postrasse 23, Hamburg 20354, Germany
www.hanover-group.com
140 4th Avenue North, Seatle, WA 98109, USA
www.hansonkpo.com
Strandvagen 7A, S-11456 Stockholm, Sweden
Plaza Fábrica de Paños, nº 2, esc. 2-2º L
28830 San Fernando de Henares (Madrid)
www.haramiconsultores.es
Brookfield house 5th floor,
44 Davies Street,
London
W1K 5JA
www.habertfa.co.uk
One Penn Plaza, 230 West 34th Street, 29th Fl, Manhattan,
New York City, New York, 10119
1301 16th Avenue, New York, NY 10019, USA
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
www.fma.gv.at
Ireland
United
Kingdom
Sweden
United
Kingdom
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
United
Kingdom
Sweden
Spain
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cnmv.es
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fi.se
Norway
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Hardwicke Advisory
Address
Frankfurt Herriot’s
Herriotstrasse 1
Frankfurt
60528
www.hardwickeadvisory.com
Harper & Davis Associates
1875 Century Park East Suite 2541, Century City, CA
90067 United States
472 Old Worthington Road Westerville, OH 4308 USA
Hopewell Centre, 28/F 183 Queen’s Road East, Wan Chai,
Hong Kong.
1405/44 Montgomery Street, San Francisco, CA 94104,
U.S.A.
www.harris-james.com
80 Broad Street, New York City, New York 10004, USA
780
781
782 Harrington Holdings Inc.
Harris & James Company Ltd.
783
784
Harris James Associates
Harris Trust Private Wealth
Management
Harrison Fairmount Global Mergers &
786
Acquisitions Inc
Harrison Research (AG)
785
787
HARRISON-STOLTZ & ASSOCIATES
788
789
790
Hartford Asset Management
Hartford Group International
Bahnhofstrasse 92b, 8001 Zurich, Switzerland
www.harris-trust.com
Chrysler Building, 405 Lexington Avenue, New York, NY
10174 www.harrisonfairmount.com
Borsenstrasse 22
8001 Zurich,
Switzerland
www.harrisonag.com
SEEFELDSTRASSE 69,
ZURICH 8008
SWITZERLAND
TEL.: 0041 44 586 6002
www.harrison-stolz.com
Tong Building, 302 Orchard Rd, Singapore.
www.hartfordasm.com
Taipei Hsin Center 16 F No 89, Songren Road, Taipei
www.hartfordgroupinternational.org
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
Sweden
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fi.se
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subjec
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
791 HARTFORD MANAGEMENT GROUP
Hartman-Benetti & Associates
792
Harvard Alliance
793
Harvey Capital Partners
794
795
Hass Associates
Hatfield Oak International SA
796
797
798
799
Haven Link Commodities
Hawkins & Doyl
Hayes Associates
Address
C/Aribau, 221 Bajos # 169, 08021 Barcelona
15th Floor, 410 Park Avenue, Manhattan Business Center
Country
forwarding
warnings
Spain
Sweden
Reason
unauthorized subject
unauthorized subject
Detailed information
www.cnmv.es
www.fi.se/warning
Selnaustrasse 30
Postfach 8021
Zurich
Schweiz
Tel: (+41) 435 080 775
Fax: (+41) 435 080 776
Canary Wharf
One Cabot Square
London
E14 4QJ
Tel: (+44) 0207 060 6101
Fax: (+44) 0207 060 6102
www.harvardalliance.eu
Email: [email protected]
[email protected],
[email protected]
Havnegade 27, 1271, Copenhagen K, Denmark
www.harveycpt.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Denmark
unauthorized subject
www.finanstilsynet.dk
Calle de Antonio, Maura 7, 28014 Madrid, Spain
Wheelock House, 20 Pedder Street, Central Hong Kong
Ocean Business Plaza, 16th Floor, Suite 5, Aquilino De La
Guiardia Ave, Panama
www.hatfields-oak.com
Postdamer Strasse 58, 10785 Berlin, Germany
www.havenlinkcommodities.com
18th Floor, JT Building, 2-2-1 Toranomon, Minato-Ku, 1050001 Tokyo, Japan
13 Commercial St, St. Helier, Jersey JE2 3QA
www.hayesassociates.org.
Norway
unauthorized subject
www.finanstilsynet.no
Spain
unauthorized subject
www.cnmv.es
Norway
unauthorized subject
www.finanstilsynet.no
Norway
unauthorized subject
www.kredittilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Hayes Capital Management
800
801
802
803
Haynes – Hamilton Ventures
HB Capital Partners
Hedges Mergers & Acquisitions
Heintzman, Warren, Wise & Fornella,
P.C.
808 Hellas Financial Services
Helm Capital
809
807
810 Helvetia Wealth AH (Switzerland)
Hemmington Capital Markets
811
Heritage Investment Management
812
813
Herman Brothers Group
Herrington Global
814
55 Water St. 11F-2E Manhattan, NY
Sweden
www.haynes-hamilton.com
Calle de Valencia 224, Suite 112, 080 11 Barcelona, Spain Norway
HCS Worldwide
804 HCS Worldwide
Heckart Associates LLC
805
806
Country
forwarding
Address
warnings
31 Broad Street, Jersey, JE2 4WE
United
145-147 John Street, London EC1V 4PW, United Kingdom Kingdom
Via Monti 8, 10123 Milano, Italywww.hcsworldwide.com
295 Madison Ave, New York 10017, USA
1700 Seventh Avenue, Seatle, Washington 98101, USA
www.heckartassociates.net
1400 Broadway, New York, NY 10018m, USA
www.hmaworld.com
35th Floor, Gulf Tower, 707 Grant Street, Pittsburg,
PA 15219
France
Denmark
Austria
United
Kingdom
Sweden
Sweden
Greece
Roppongi Hills Mori Tower, Tokyo Roppongi Hills, Minato- Belgium
ku, Tokyo 106-6111
Japan
Ireland
West Business Centre, 11/B Finance Street, 852-2118
Central Hong Kong
Sweden
www.hemmington-cm.com
Yue Xiu Building, 160-174 Lockhart Road, Wan Chai, Hong Sweden
Kong Island, Hong Kong.
www.heritageinvestmentmanagement.com
23-24 Tiemann Pl, New York, NY 10027-3305, USA
United
www.hermanbrothersgroup.com
Kingdom
Taikoo Business Centre, West Tower, 971/B King´s Road, Norway
Quarry Bay, Hong Kong
www.herrington-global.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.finanstilsynet.dk
unauthorized subject
unauthorized subject
t. č. +43 (0)1/24 959 5106
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.cmc.gov.gr
www.cbfa.be
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
815
Hersh Edelman
Hesketh Leihner
816
HEWITT & STERN
817
818
Hexagon Financial (Clone of FSA
registered firm)
Address
19/2 Des Voeux Road, Central Hong Kong, Hong Kong
www.hersh-edelman.com
Infinitus Plaza, 199 Des Voeux Road Central, Sheung
Wan, Hong Kong, Hong Kong
www.hesketh-leihner.com
RUE DE PLANTAPORRETS
1205 GENEVA
SWITZERLAND
www.hewittstern.com
www.hexagonltd.com
www.hsgjt.com
Tel: +44 (845) 226 4303
819 HFX Global Ltd
820 HG Ventures
Hibber Bothwell Capital Partners
821
www.hfx.com
Na Výsluní 201/13, 100 00 Praha 10, Czech Republic
Calle Valencia, 214, Suite 102, 08011 Barcelona, Spain
822 Highland International Advisors
Hobart Roth LLC
823
BCB Bachstrasse 1, CH-9606 Butschwil
1420 Fifth Avenue, Seatle WA 98101, USA
www.hobartroth.com
Chai Wan, E-Trade Plaza, 24 Lee Chung Street, Hong
Kong
www.hodeninternationalclearing.com
8 Bleicherweg
Schweiz 8001
Zurich
Switzerland
www.hoffmanmueller.com
Hoden International Clearing
824
Hoffman Mueller
825
826
827
HOLLERMAN & COMPANY LLC
Hollinger Newcastle Limited
110 East 59th Street, New York, NY 10022, USA
www.hollermanllc.com
Level 28, Central Plaza, 34 Jalan Sultan Ismail, Kuala
Lumpur 50250, www.hollingernewxastle.com
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
t.č. +43 (0)124959-5106
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Cyprus
Denmark
Sweden
Denmark
Sweden
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.finanstilsynet.dk
www.fi.se/warning
www.finanstilsynet.dk
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Hong Kong Finance
828
Hoover Bright Independent Finance
Advisor
830 Hopewood and Company
Houston Derivates Exchange
831 (HOUDEX)
829
Howard Gary & Company
832
833 Howell And Johnson Associates
Hoxton Associates
834
HPC FOREX TRADING
835
HUCARO GESTION FINANCIERA Y
836 DESARROLLO PATYRIMONIAL, S.L.
Address
27B Park Place 1601,
Nanjing Road west,
Shanghai
200040
The People’s Republic of China
www.hkfincn.com
20/F, 1 Federal St Boston, MA 02110, USA
www.hooverbright.com
413 4th Ave. S Columbus, MS 39701 USA
Allen Centre Downtown, 1400 Smith Street, 77002,
Houston, Texas, USA
www.houdex.org
4141 North Miami Avenue, Suite 307, Miami, FL 33127.
12671 High Bluff Drive, Suite 350, San diego, CA 92130.
500 Fift Avenue, Suite 1640, New York, NY 10110.
50 Milk Street, 21st Floor, Boston, MA 02109.
www.howardgaryandco.com
1422 Euclid Ave.Cleveland, OH 44115, USA
Rue de Lausanne 56, 1202 Geneve, Switzerland
Fort Lauderdale, Florida, USA
www.hoxton-associates.com
Plaza Pablo Ruiz Picasso, 1-Torre Picasso, 28020 Madrid,
Spain
www.hpccorp.com
Plazza del Marqués de Salamanca, 11-Entreplanta, 28006
Madrid, Spain
www.hucarogestion.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Sweden
Norway
unauthorized subject
unauthorized subject
www.fi.se/warning
www.finanstilsynet.no
Švédsko
neautorizovaný
subjekt
www.fi.se/warning
Sweden
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
United
Kingdom
Spain
unauthorized subject
www.cnmv.es
Spain
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
HUDSOM MUNROE
Address
Rue de la Carroteria no 12, 1204 Geneva, Switzerland
Quai Du Mont-Blanc 21, 1201, Geneva, Switzerland
407 N. Michigan Ave, Suite - 3301, Chicago IL 60601, USA
Suite 2809, 28/F, Two Pacific Place, 88 Queensway,
central District, Hong Kong
Shanghai World Financial Centre, Suite - 7912, 79/F, 100
Century Avenue, 200120, Pudong New Area, Shanghai
China
Hudson Asset Management
Hunter Rowe Financial (Germany)
Hunter William Associates
Huntington Asset Management Group
Hutchinson Partners
Avenue Louise 151/26, 1050 Brussel, Belgium
837
838
839
840
841
842
Hypo Venture Capital / HVC Asset
843 Management Limited / HVC Securities
Limited
844 HZ Capital
Chapman Butler Llc
845
846
847
CHARLES PEARSON INVESTMENT
INTERNATIONAL
Charles Schwab
Hagenholzstrasse 20, Zurich
Rue de Stand, Geneva 1204, Switzerland
Uranianstrasse 40, Zurich 8001, Switzerland
www.hypovc.com
www.hz-investgroup.com
Equitable Building, Floor 23 Suite 1996, 120 Broadway,
Manhattan, New York 10271
USA
www.cpearsoninvi.com
3/2, Molfelder Strasse 113, D-65451 Kelsterbach,
Frankfurt, Germany
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Belgium
Ireland
Sweden
Ireland
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.cbfa.be
www.financialregulator.ie
www.fi.se/warning
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Luxembourg
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.cssf.lu
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
CHARLES SCHWARTZ
INTERNATIONAL
848
Address
11th Floor
1 Canada Square
Canary Wharf
London
Tel: +44 (0)20 3372 4008
www.charlesschwartzinternational.com
849 Charlton Hayfield and Company
Chartered Investments
30 E Broad St, Columbus, OH 43215, USA
18-22 LEVEL 28
CANARY WARF
LONDON
850
E14 5AX
Tel: 0203 026 6887; 0203 137 0623; 0203 051 6661;
0203 318 2638
Charterhouse Trust Credit Union Ek. for. c/o ABT, Box 45088, 104 30 Stockholm, Sweden
851
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se/warning
Charterhouse Wealth Management
Two International Centre, 8 Finance Street, Central Hong
Kong
www.chartehousewealthmanagement.com
Sweden
unauthorized subject
www.fi.se
Chelsea Asset Management
14 North Colonade
Canary Wharf
E14 5HS
London
England
[email protected]
St James Hall, Moore Park Road, SW62JS London, United
Kingdom
www.chelseafinancial.org
168 Robinson Road #12-04, Capital Tower, Singa-pore
068912.
www.chenglong-international.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
852
853
Chelsea Financial
854
Chenglong International
855
Country
forwarding
warnings
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Chenglong International
856
CHESTERFIELD LTD
857
858
Chesterfield Lyons
China International Corporation Capital
859 Limited (CICC)
860
CHRISTIAN LAVIGNE
Iberia Securities
Manuel Lasala 2, 5006 Zaragoza, Spain
www.iberiasecurities.com
IBG & Associates
601 Union Street,
Suite 900,
Seattle WA,
98101
Tel: 0012064205447
Fax: 0012062609156
Website: www.ibgandassociates.com
Email: [email protected]
861
862
Address
Head Office
168 Robinson Road #12-04,
Capital Tower,
Singapore 068912.
Tel: +65 6491 5722
Fax: +65 6491 5720
www.chenglong-international.com
Email: [email protected]
44 York Street
London W1U 8PZ
Chesterfield Road
Brimington
Chesterfield S43 1AB
www.chesterfield-ltd.com
1-42-27 Chuo Dori, Chiyoda-Ku, Tokyo, Japan
www.chesterfieldlyons.com
28th Floor, China World Office 2, No 1 Jian Men Wai
Avenue, Beijing 1000004, China
www.cicc.com.cn
tel: 020 3608 0614
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Norway
Belgium
Spain
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.kredittilsynet.no
www.cbfa.be
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
863
Country
forwarding
warnings
Spain
Name
IBOLUTION.BLOGSPOT.COM
Address
http://ibolutionserv.blogspot.com www.ibolution.net
ICON FINANCIAL PARTNERS
12TH FLR., HAMAMATU-CHO S.S. BLDG.
12-9, SHIBA DAIMON 2-CHOME, MINATO-KU
TOKYO 105-0012, JAPAN
TEL.: +81 3 4579-5558
FAX: +81 3 6745-8905
WEBSITE: www.iconfp.com
EMAIL: [email protected]
United
Kingdom
unauthorized subject www.fsa.gov.uk
associated to the
company:
INTERNATIONAL
MERGERS &
ACQUISITIONS
ADMINISTRATION
17TH FLR., FUJINO
BLDG.,
15-18, NIHONBASHI
KODENMA-CHO
CHUO-KU, TOKYO
103-0001, JAPAN
TEL.: +81 3 45780375
FAX: +81 3 67459514
WEBSITE:
www.internationalmaa.org
EMAIL:
enforcement@interna
tional-maa.org
Ideal Merger Group
Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku,
Osaka City, Osaka 541-0052, Japan
Hungary
United
Kingdom
France
unauthorized subject
864
865
iForex
(corporate name: iFOREX Befektetési
866 Szolgáltató Zrt.)
Reason
unauthorized subject
Detailed information
www.cnmv.es
www.fsa.gov.uk
a
Phone +33(0)1 5345 6031
six-month suspension
to the approval,
beginning from 7 July
2011
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
I-investorclub Ltd.
867
868
869
Ikko Investments
IMG AS
Norway
Italy
unauthorized subject
Norway
unauthorized subject
www.kredittilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Impact Finance
225 Franklin Street 26th Floor, Boston, Massachusets
Norway
02110, USA
11 Boulevard Prince Henri, Luxembourg Campagne,
Sweden
Luxembourg
www.impaktonlinemarketing.com
The Hancock Center, 875 N. Michigan Avenue, Suite 2600, Sweden
Chicago, IL 60611, United States
Netherlands
Casa Sentupada, CH-7165 Breil/Brigels
Austria
Suite 17, Tower 42, Liverpool St, EC2M 7PY
United
Kingdom
Franz-Josef-Strasse 15, 5020 Salzburg, Austria
Sweden
Spain
c/Diego de León 28, 28006 Madrid, Spain
Av. Ricardo Soriano no 72, 29601 Marbella, Malaga
Spain
www.inversionprotegida.com
C/Juan Hurtado de Mendoza, 13 3ºG
Spain
28036 Madrid
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
unauthorized subject
www.afm.nl/warninglists
www.fma.gv.at
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cnmv.es
www.cnmv.es
unauthorized subject
www.cnmv.es
34 Kirby Street, London EC1N 8TE, United Kingdom
www.ini-securities.com
unauthorized subject
www.fsa.gov.uk
Impakt Online Marketing
Imperial Quest Ventures Ltd
874 Imperial Trust LLC
875 Incentive Breil/Brigels SA
Independent Private Consultants
876
877 Indices International Group (IIG)
878 Información Qualificada Bolsa, S.L.
INFORMATICA Y GESTIÓN COSTA
879
DEL SOL, S.L. (I&G c.s., S.L)
INGESTRA CAPITAL, S.L.
880
881
Detailed information
www.kredittilsynet.no
Bahonfstrasse 42,
Zurich 8001,
Switzerland.
Tel: 0041445800244
Fax: +448721155335
872
873
Reason
unauthorized subject
IMG Asset Management
870
871
Address
Suite B, 29 Harley Street, London WG1 9QR, United
Kingdom
www.i-investorclub.com
Great Britain
www.ikkotrader.com
225 Franklin Street, Suite 1402, Boston MA 02110, USA
Country
forwarding
warnings
INI Securities GmbH
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Innis Financial Service LLC
882
883 Insta Sofia Ltd.
884 InstaForex
INTAX KIKIA, S.L.
885
Inte-Citi Capital
886
887 Integral Commodities Incorporated
Integrated Investment Group
888
889 Inter Credit Group
Inter Global Equity
890
891
892
Interactive Investor Trading Limited /
Share Price UK
Intercapital Management Fund Limited
Interdealer Brokers (IDB)
893
Address
370 Lexington Avenue
New York
NY 10017
USA
www.innisfs.com
Russia
C/Bravo Murillo, 16
28015 Madrid
www.intaxkikia.com
St. Clements House, 27-28 Clements Lane, London, EC4N
7AE, United Kingdom
www.interciticapital.com
www.integralcommodities.com
Rue Rothschild 50, 1202 Geneve, Switzerland
www.integratedinvestmentgroup.com
040 Kiev, Prospekt Frunze 22 OF 113, Ukraine
Citibank Plaza, 3 Garden Road, Central Hong Kong
www.interglobalequity.com
www.shareprice.co.uk
550 Mamaroneck Ave., Suite 330, Harrison, NY 10528,
United States of America
Canada Square
Canary Wharf
London,UK
www.idb.herobo.com
433 North 6th Street, Philadelphia, PA 19123, USA
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.fsc.bg
www.fsc.bg
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.finanstilsynet.no
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fma.gv.at
www.finanstilsynet.no
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Bulgaria
Bulgaria
Spain
United
Kingdom
Norway
United
Kingdom
Austria
Norway
895
Clearing & Trading Centre, London EC4M 7LS, United
Kingdom
United
Kingdom
United
Kingdom
896 International Equity Portfolio
522 Fifth Avenue, New York, NY 10036
Sweden
894
International Board of Mergers and
Acquisitions
International Brokers Worldwide
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Address
International Financial Court (IFC) Hong
897
Kong
INTERNATIONAL FINANCIAL
1091 VERMONT AVE. NW
TRADING COMMISSION
WASHINGTON D.C.
20005
UNITED STATES OF AMERICA
TEL: 1 (202) 552 1511
898
TEL: 1 (202) 534 3926
TEL: 1 (202) 595 2867
FAX: 1 (202) 403 3289
www.gov.intftc.us
EMAIL: [email protected] AND [email protected]
International Investor Commission
899
International Merger Services
Group/IMS
900
International Mergers, Inc.
901
INTERNATIONAL REGULATION
SERVICES
902
Silver Fortune Plaza
1 Wellington Street
Hong Kong
www.internationalic.com
Dorey Court, Admiral Park, St Peter Port, Guersey, GW1
2NE
www.imsfinance.com
www.imsfinance.net
www.internationalmergerservices.com
www.ims.group.com
CitySpire Center Level 4, 150 & 156 West 56th Street,
Manhattan, New York, U.S.A.
www.internationalmergers.com
Calle 10 De Abril No 702
Col. Satelite
Cuernavaca, Morelos
Mexico
CP 62240
Tel: +52 55 5018 1028
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subjec
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
903
904
905
906
Name
International Stock Transfer
Administration
Internationale Zurich Gruppe
Intraday Investment Group
Intraday Investment Group
Intuition Capital Corporation
907
INVESCO PERPETUAL - INVESCO
908 GOLD PRECIOUS METALS FUND
909
910
911
912
913
Invesco Perpetual
Invest Direct Group
Investec Asset Management Limited
Investec Capital Corporation
Investec Fund Managers Limited
Investment Capital Consultants (ICC)
914
915
Investment House Limited
916 Investment Network Incorporated
INVESTMENT OF HERITAGE, S.L.
917
918 Investment Solutions Ltd
919 Investor Relations Corp.
Address
8025 Corporate Drive, Nottingham, MD 21236, USA
www.stocktransfer.org
www.interzurich.com
Ireland
Commonwealth of Dominica and Ireland
T: 0207 02240804
Website: [email protected]
Tel: 020 7193 0745
[email protected]
www.invesco-perpetualfunds.com
Website: www.invescoperpetualfunds.com
Affolternstrasse 14, 8050 Zurich, Switzerland
www.invest-direct-group.com
www.investec-wealth.co.uk
225 West 34th Street, New York 10122, USA
www.investeccapitalcorpinc.com
[email protected]
[email protected].
Tel: +44 (0) 203 281 7982
Fax: +44 (0) 203 281 7983
www.investmentcapitalconsultants.co.uk
C/Londres 70 esc. B 1/1 08036 Barcelona, Spain
www.ihforex.com
www.investmentnetworkincorporated.com
C/ Fuente del Berro, 20 1ºB
28009 - Madrid
www.accionfinanciera.es
Switzerland
Country
forwarding
warnings
United
Kingdom
Switzerland
Ireland
Ireland
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.zurich.com
www.financialregulator.ie
www.financialregulator.ie
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
Norway
Spain
unauthorized subject
unauthorized subject
www.kredittilsynet.no
www.cnmv.es
Greece
Ireland
unauthorized subject
unauthorized subject
www.financialregulator.ie
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Investors Management Services
920
921 Investors Relations Corp.
922 iOption Global Group 2012 Ltd
IP International Service / Banq of Broker
923 / Ikkotrader / trader369 / AJ Browder
Capital
IRONBRIDGE CAPITAL
924
925
IRS Clearing Consultancy
Irwin Mitchell (Clone of FSA authorised
926 firm)
Isaac Capital Management
927
Isaac Paige Associates
928
929
ISIS CAPITAL MANAGEMENT
Address
Dreikönigstrasse 31
8002 Zürich
Switzerland
Website: www.imsinvestorsmanagementservices.com
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Switzerland
www.ioption.com
Ireland
Cyprus
Belgium
unauthorized subject
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.cysec.gov.cy
www.fsma.be
99 Bishopsgate Tower, London EC2M 3XF, United
Kingdom
www.ironbridge-capital.com
CBC BLDG Business Center, 66766 Paseo de Roxas,
Makati, PH – PHILIPPINES.
Tel: 012102497006
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Belgium
unauthorized subject
[email protected]
United
Kingdom
www.fsa.gov.uk
24 Rue Edward Steichen
2540 Luxembourg
Tel: +35 22786 0031
Fax: +35 22786 0032
Website: www.isaaccapitalmanagement.com
Email: [email protected]
PO Box 65345
Seattle
WA 98131-1477
USA
Tel: 001 206 350 0802
Website: www.isaacpaige.com
Tel: 020 3608 1582
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
unauthorized subject
unauthorized subject
www.fsa.gov.uk
United
Kingdom
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
iTaxation Corporation Ltd
930
931
932
933
Address
Equitable Building
Level 11
Lower Manhattan
New York City NY
USA
www.itaxation.com
Izard Quin Division Holding Limited
(Switzerland)
J. S. Knight & Co. Ltd.
Jacobson Group
Jacoby & Associates, Plc
934
Jarvis Cohen Associates
935
936 JCI Asset Inc
937 Jean-Pierre Gallien
JEFFERSON BROOKES
938
939 JFS Credit Union Ekonomisk forening
Jinghua International Group
940
357 West 58th Street, New York, NY 10019, USA
www.jacobsongroup.net
One Liberty Place, 1650 Market Street Suite 1660,
Philadelphia, Pensylvania 19103,
www.jacobyassociatesplc.com
Floor 4, The Triangle, 5-17 Hammersmith Grove, London
W60 LG, United Kingdom
www.jarviscohen.com
33 Stockerstrasse, Zurich, Switzerland
WORLD TRADE CENTRE
LEUTSCHENBACHSTRASSE 95
8050
ZURICH
SWITZERLAND
www.jeffersonbrookes.com
Box 882, 114 79 Stockholm, Sweden
Jinghua South Street, Floor 14, Office Park CBD, Chaoyang District, Beijing, 100020.
www.jinghuaintgroup.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Ireland
unauthorized subject
Central Bank of Ireland
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
Sweden
France
United
Kingdom
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se
Phone +33 (0)1 5345 6034
www.fsa.gov.uk
Sweden
Sweden
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fi.se/warning
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
JLS Capital Group
941
942
943
JM Financial Services Ltd.
John Windsor and Associates
JOHNSON & STERLING
CONSULTANCY SERVICES
944
Johnson McQuade Acquisitions Corp.
945
Address
Toho Twin Tower Building 5F
1-5-2 Yarakucho Chiyoda-Ku
Tokyo 100-0006
Japan
Tel: +81 367 302 760
Fax: +81 367 309 525
Website: www.jlscapitalgroup.com
Country
forwarding
warnings
United
Kingdom
United
Kingdom
United
Kingdom
United
Kingdom
04 Rue Delausanne, Geneva, Switzerland
www.johnwindsorandassociates.com
156 East 27th Street
Suite 189A
New York
NY 10165
USA
Website: www.johnsonsterlingconsultancy.com
<http://www.johnsonsterlingconsultancy.com/>
60 State Street, Suite 700, Boston, Massachusetts 02109, Sweden
United States
United
www.johnsonmcquadeacquisitions.com
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Jones Capital
946
947 Jones Falls Securities
948 Jordan & Cole Investments Ltd
Jordan Parkinson Group
949
950
Jorge Rafael Calderón Zamanillo
www.jones-capital.com
Suite 4000, 2576 Broadway, 10025 New York, USA
504 Fifth Avenue, New York NY 10110, USA
www.jordanparkinsongroup.com
c/Clara del Rey, 44, 28002 - Madrid, Spain
Belgium
Ireland
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.cbfa.be
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
unauthorized subject
www.fi.se/warning
Spain
Joseph Cooke Ltd.
951
Address
Wienerbergstrasse 9, Suite #123
Vienna 1100
Austria
Tel.: +43 192 802 12
Fax: +43 192 802 13
And
UK Office:
Suite 247, 155 Minories
London EC3N 1AD
United Kingdom
Tel.: +44 203 318 9966
Fax: +44 870 626 2044
Country
forwarding
warnings
United
Kingdom
Geneva Rue du Rhone, Rue du Rhone 14, 1204 Geneva,
Switzerland
Panama City World Trade Centre, First Floor Commercial
Area, Calle 53, Marbella, Panama City, P.O. Box 083201295
Ocean Club West Plaza, Unit 108, P.O. Box 646,
Providenciales, Turk & Caicos Islands, British West Indies
Dubai Burjuman, Burjuman Tower, 18th Floor, P.O: Box
121828, Dubai 43659, United Arab Emirates
One International Finance Centre, 1 Harbour View Street
33/F, Hong Kong
www.jbcooke.com
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
JSM Financial
952
Detailed information
www.fma.gv.at
Yoyogi Building, Sendagava 5, Shibuiya-ku, Tokyo, Japan Sweden
www.kaimonglobal.com
unauthorized subjec
www.fi.se/warning
Kaimon Global
Yoyogi Building, Sendagava 5, Shibuiya-ku, Tokyo, Japan
www.kaimonglobal.com.
Norway
unauthorized subject
www.kredittilsynet.no
KAISER YOUNG ASSOCIATES
Bockenheimer Landstrasse 78, D-60323 Frankfurt am
Main, Germany
www.kaiseryoungassociates.com
520 Pike St., Seattle, WA 98101, USA
www.kallebc.com
100-6103, Tokyo, Sanno Park Tower, Japan
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Sweden
Jersey,
English
Channel,
England
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se
www.jerseyfsc.org
954
955
Kalle Business Consulting LLC
957 Kanagawa Associates
Kapital Equity Unlimited
958
Reason
unauthorized subject
Kaimon Global
953
956
Address
One Liberty Plaza Suite 3625, 165 Broadway
1006 New York City, NY
USA
as well as
Central Plaza, Harbour Road
Wan Chai District, Hong Kong, 225300
Phone: +1646-918-5152
Fax: +1646-786-4918
www.jsmfinancial.com
http://jsmfinancial.com
[email protected]
Country
forwarding
warnings
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Kapital Pool 2010 CP2010 Ltd.
959
960 Karantania Investments LLC
Karl Johan Fonds ASA
961
Kawwii International Group
962
KAYABAS HEADQUARTERS
963
964
965
KB Panamá
Kedington Advisory
Keizai Group
966
Address
P.O. Box 1251
Gibraltar
http://www.kapitalpool.biz/
[email protected]
P.O:Box 556, Main Street, Charlestown, Nevis
Iwanami Shoten Hitotsubashi Bldg. 4-3-12, Toranomon,
Minato-ku, Tokyo 105-8012
www.kawwii.com
mit angeblichem Sitz in
Kayabas Level 25,
One Raffles Quay, South Tower,
Singapore 048583
www.kayabas.com
E-mail: [email protected]
Tel: +65 6491 5214
Fax: +65 6491 5215
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
tel.no. +43 (0)124959-5106
Slovenia
United
Kingdom
Sweden
unauthorized subject
unauthorized subject
www.a-tvp.si
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Austria
unauthorized subject
t. č. +43 (0)1/24 959 5106
unauthorized subject
www.afm.nl
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fma.gv.at
1st Floor - World Trade Center, P.O.Box 0832-0588 WTC, Netherlands
C/53 Merbella, Panamá, Republic of Panamá
Regent Street, Belize City, Belize
Sweden
www.kedingtonadvisory.com
6th Floor, Glass City Shibuya,
Austria
16-28 Nanpeidai-cho, Shibuya-ku.
Tokyo 150-0036.
Japan.
Tel: +81 3 6730 2711
Fax: +81 3 6730 2712
E-Mail: info@keizaigroup
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Kendall Morgan Partners
967
968
Kennedy & Lang Limited
Kensington Advisory & Investment
969 Group
Kensington Reserve LLC
970
Kent Capital Ltd
971
Kessler and Partners
972
KEY SOLUTIONS, S.L.
973
974
975
KIEFER BUSINESS SERVICES LLC
Kimura Financial
Country
forwarding
Address
warnings
Akihabara, Dai Building, 76 Sotokanda 1, Chiyoda-ku, 101- Norway
0021 Tokyo, Japan
www.kendallmorganpartners.com
60 East 42nd Street, Suite 1516, New York, N.Y. 10165,
Sweden
www.kennedylang.com
350 Fifth Avenue Suite 5620, New York,
Norway
NY 10118, USA
www.kensingtonaig.com
5944 Coral Ridge Drive 143, Coral Springs, FL 33076
United
10693 Wiles Road, Suite 179, Coral Springs, FL 33076
Kingdom
USA
W.Washington Street Suite,
United
1500 Chicago,
Kingdom
Illnois 60602,
USA
Phone: 001 7733376346
Website: www.kent-capltd.com
Email: [email protected]
32 Thread Needle Street, London EC2R 8AY, United
Kingdom
An der Welle 4, 60322 Franfurt, Germany
52b Two International Finance Tower, 8 Finance Street,
Central Hong Kong
www.kesslerandpartners.com
C/Bravo Murillo, 120 1A
28020 Madrid, Spain
www.solutions-key.com
1100 Olive Way, Seatle WA 98101, USA
www.kieferservices.com
63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun,
Aomori 039-2402, Japan
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
unauthorized subject
www.fi.se/warning
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
Denmark
Austria
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.dfsa.dk
www.fma.gv.at
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
KINGFISHER EQUITIES
976
977
KingsleyStone
Kingson Financial Group
978
Kirayaka International
979
980 Kirkland Group Associates
KKR
981
Address
PLACE DU PORT 19,
LAUSANNE, CH-1006
SWITZERLAND
TEL.: +41 435081643
FAX: +41 435081644
EMAIL: [email protected]
WEBSITE: www.kingfisherequities.com
4th Floor, Centreville House Collins Avenue, P.O.Box
N8303, Nassau, Bahamas, www.kingsleystone.com
3011 Tower 2, 89 Queensway, Hong Kong
Dubai International Financial Centre, Gate Precinct 3, Level
3, PO Box 33538, Dubai, UAE
www.fingstone-fg.com
17th Fl, Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2chome, Chiyoda-ku, Tokyo 100-0011, Japan
www.kirayakainternational.com
125 Baxter Street New York, NY 100-13-3603 USA
Devonshire House, 1 Devonshire Street, London W1W
2DR, United Kingdom
L-2449 Luxembourg, 26, boulevard Royal
www.klienwort
KLM Law Associates
875 Third Avenue, 27th Floor, New Yourk City, New York
983
10022
Knightsbridge Advisors
Stockerstrasse 39, P.O. Box 1665, 8027 Zurich,
984
Switzerland.
www.kbridgeadvisors.ch
Knightsbridge Wealth Management AG Seefedstrasse 307, Zurich, Switzerland, CH-8008
985
982
986
Kleinwort Finance
Knowl, Brew and Zimmer
2150 Highway 35 Brook 35 Plaza, Suite 255, Sea Girt, NJ
08750 United States
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
Luxembourg
unauthorized subject
www.cssf.lu
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Knowlton Group
987
988
989
990
991
992
993
994
995
996
997
Knox D´Arcy Investment Management
Limited
Knox Securities Corp.
Address
47C Broad Street
New York NY 10004
Tel: 0019145172749
Fax: 0019145602286
www.knoxdarcy.co.uk
Country
forwarding
warnings
United
Kingdom
United
Kingdom
1794 Liverpool Rd, Unit 7, Ontario, L1V 1V9
United
www.knoxsc.com
Kingdom
Kooij
Netherlands
Koyal Group
Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo, Norway
Japan
KPR Associates
Bahnhofstrasse 52, 8001 Zürich, Switzerland.
Sweden
Bharat Building, 3 Raffles Place, Singapore 048617.
United
333, 28th October street, 3106 Limassol, Cyprus.
Kingdom
www.kpr-associates.com
KSI / Karamanof / Karamanof Securities Canada Square, Canary Wharf, London E14 5LQ, united
United
& Investment Services
Kingdom
Kingdom
Hopewell Center, Queens Road, Hong Kong
www.karamanofinvestments.com
KTI TRADING INC
Greece
Kubitz, Gold & Chubb
PO Box 27106
United
Maple Valley
Kingdom
Seattle
Washington State 98381
Tel: 0014256064353
Fax: 0014256064373
Website: www.kubitzgoldchubb.com
Email: [email protected]
Switzerland
Kuoni Travel Holding Ltd.
Kyodo Securities
Meiji Yasuda Seimei Building, 2-2-1 Marunouchi, Chiyoda- Norway
ku, Tokyo, 100-0005 Japan
www.kyodosecurities.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
t. č. +31 (0)20 797 3751
www.finanstilsynet.no
unauthorized subject
www.fi.se
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.hcmc.gr
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.swx.com
www.finanstilsynet.no
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
KYODO SECURITIES and SATORI
998
GROUP,
Kyoto Commodity Exchange
999
Lakepointe Capital Advisors
1000
1001
1002
Lakepointe Capital Advisors
Lakewood Securities, Inc.
Landen Options and Futures
1003
1004
Lansley Everett and Moore LLC
Lantau Goldwell
1005
Lantau International
1006
Lantau International
1007
Address
both of which are headquartered in Japan.
33 Karasudamori Shiokoji-sagaru, Hagashi Shiokojicho,
Shimogyo-ku, Kyoto 600-8555, Japan
Level 10 The Plaza, 100 Old Hall Street, Liverpool, L3
9QJ, United Kingdom)
www.lakepointeglobal.com.
Level 10 The Plaza, 100 Old Hall Street, Liverpool, L39QJ,
United Kingdom.
Fifth Avenue Professional Center, 1852 Fifth Avenue, San
Diego, CA 92101
which claims to offer investment services from premises at
Avenue Louise/Louizalaan 149, 1050
Brussels however,
it is not situated at the address provided
18 Oliver Street, Boston, MA 02110, USA
www.lansleyeverettmoore.com
22F Wu Chung House, 213 Queen's Road East,
Wan Chai, Hong Kong.
www.lantau-goldwell.com
22F Wu Chung House,
213 Queen's Road East, Wan Chai, Hong Kong
website www.lantau-international.com
22F Wu Chung House,
213 Queen's Road East,
Wan Chai,
Hong Kong
Phone: +852 3012 9640
Fax: +852 3012 9641
www.lantau-international.com
[email protected]
Country
forwarding
warnings
France
Reason
unauthorized subject
Detailed information
Phone +33(0)1 5345 6031
Norway
unauthorized subject
www.finanstilsynet.no
Norway
unauthorized subject
www.kredittilsynet.no
Belgium
unauthorized subject
[email protected]
Sweden
unauthorized subject
www.fi.se/warning
Belgium
unauthorized subject
www.fsma.be
The
Netherlands
Denmark
unauthorized subject
www.afml.nl
unauthorized subject
www.finanstilsynet.dk
Norway
unauthorized subjec
www.finanstilsynet.no
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Larsson Group
Address
www.larssongroup.com
Country
forwarding
warnings
Malta
Reason
unauthorized subject
unauthorized subject
Detailed information
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
Phone + 33 0 0 5345 6031
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Phone +43 (0)1/24 959 5106
unauthorized subject
unauthorized subject
www.a-tvp.si
www.finanstilsynet.dk
unauthorized subject
www.fi.se/warning
1008
1009
1010
1011
1012
1013
1014
1015
Law Associates Mergers & Acquisitions
Lawrence James & Associates
France
United
Kingdom
United
Kingdom
Austria
90 Broad Street, 9th Floor, New York, NY 10004, USA
www.ljamesassociates.com
LAWSON KNIGHT GROUP
Bd Georges Favon 43, Geneva, Switzerland
www.lawson-knight.com
LCB (London City Broker) International, 4th Floor, 100 New Bond Street
Inc.
Mayfair, London W1S 1 SP
Großbritannien
www.lcbroker.net
[email protected]
Tel: +44 (0) 207 692 8248
Fax: +44 (0) 207 692 8249
and
280 Madison Avenue, #912 – 9th
Floor New York, NY 10016
Tel: +1 212 252 44648
USA
www.leadmanagementgroup.com
Lead Management Limited
Slevenia
Leaders Asset Management
Nagatacho Housou Building 509, 2-21, 2-Chome Akasaka, Denmark
Minato-ku, 107-005, Tokyo, Japan and the company's
homepage is www.leaders-am.com.
Lear Capital Group
Tower S Building, 1-5-25 Kiba, Fukagawa Gatharia, Kotoku, Tokyo 135-0042, Japan
Sweden
www.learcapitalgroup.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1018
Address
13 Austin Friars, City of London, EC25 3HE, United
Kingdom
www.ledburymoore.com
Suite 26. 3 Level 26 Menara IMC, 8 Jalan Sultan Ismail,
50250 Kuala Lumpur, Malaysia.
www.leebyers.com
Infinity Building, 197C Des Voeux Road Central, Sheung
Wan, Hong Kong
1019 Legacy Capital Management
Legacy Global Wealth
1020
Via Barberini, 3/A, Rome, 00187 Italy
www.legacyglobalwealth.com
Ledbury Moore
1016
Lee Byers Ltd
1017
Lefroy Hudson
1021 Legend Merchant Group, Inc.
Lehman Reilly
1022
Leighton Corporate Services LLC
1023
LEK Consulting Group
1024
1025 Lemanium SA
Leonard Ullrich Neumann
1026
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subjec
www.fi.se/warning
Sweden
United
Kingdom
Ireland
Sweden
Belgium
Austria
Netherlands
United
Kingdom
United
Kingdom
Ireland
United
Kingdom
unauthorized subject
www.fi.se
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.fi.se/warning,
www.cbfa.be
www.fma.gvt.at
Phone +31 (0)20 5535 535
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
LEK Consulting Group
unauthorized subject
New Bond House
124 New Bond Street
London
W1S 1DX
www.clicklekconsulting.com
Richemont Building, Rue du Petit-Chene 18, 1003 LausanneNorway
www.lemanium.com
unauthorized subject
Goeldelerring 5, 04109 Leipzig, Germany
United
unauthorized subject
II International Finance Centre, 8 Finance Street, Hong
Kingdom
Kong
www.leonardulrichneumann.com
www.fsa.gov.uk
30 Broad Street 38th Floor, New York, NY 10004, USA
88 Lower Camden Street, Dublin 2, Ireland
www.lehmanreilly.com
520 Pike Street, Seattle, Washington WA 98101, USA
www.leightoncorp.com
t.č. +47 22 93 98 00
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Leroy Philips Consulting/Leroy Phillips
Consortium,
1027
Lexicon Mergers and Acquisitions
1028
Lexington Direct
1029
Lexington International Group Inc
1030
Lexington International Group Inc.
1031
1032
Liberty Asset Management
1033 LifeClub / World Mazo Inc.
Lima Resource Partners Inc
1034
Address
Odengaten 54,
11322 Stockholm,
Sweden.
Tel: 00441652628372
00442081445867
00442081449285
004855922160
www.leroyphilips.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
904 Kioi-TBR Building, 5-7 Kojimachi, Chiyoda-Ku, 1020072 Tokyo, Japan
www.lexiconma.com
The Century Tower, 4th Floor, Office 401-32B, Via Ricardo
J. Alfaro, Panama City, Panama
www.lexingtondirect.com
Financial District, 99 Queen Victoria Street, London EC4N
4TR, United Kingdom
www.lex-inter.com
Financial District - 99 Queen Victoria Street, London EC4N
4TR, United Kingdom
www.lex-inter.com
One Financial Center, Boston, Massachusetts 02111, USA
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Sweden
unauthorized subject
www.fi.se/warning
www.lcisupport.com
Rua Oscar Friere, 1220
SAO PAULO,
Brazil
Tel: +551133232371
Website: www.lrpi.net
Email: [email protected]
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Lima Resource Partners Inc
1035
Lincoln Equity Partners
1037 Lincoln Ventures (Canada)
LINCON & CARTER ASSOCIATES
1038
Ling Mergers and Acquisitions (United
States)
Link Mergers & Acquisitions
1040
Litmus Capital Management Group
1041
Litmus Capital Management Group
1042
1043
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subjec
www.fi.se/warning
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.cssf.lu
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Cyprus
Malta
unauthorized subject
www.cysec.gov.cy
www.nfsa.com.mt
Sweden
Hopewell Centre, 183 Queens Road, Wan Chai, Hong
Kong.
www.lepartnersonline.com
1036
1039
Address
Rua Oscar Freire, 1220
SAO PAULO,
Brazil
Tel: +551133232371
Website: www.lrpi.net
Email: [email protected]
500 West Madison Street, Chicago, IL, 60661, U.S.A.
Country
forwarding
warnings
United
Kingdom
Live Binary Ltd
Ireland
Headquarters Office, Worth Street, New York, 10013, USA United
www.linconandcarterassociates.com
Kingdom
1375 E.9th Street, 14th Floor, Cleveland, OH 44114/172
USA, 21 Ichiban/cho, Chizoda/ku, Tokzo 102/0082, Japan
1325 Avenue of the Americas
New York, NY, 10019-6026
United States of America
Tel.: 1 646 2918969
http://litmuscapitalgrp.com
1325 Avenue of the Americas
New York, NY, 10019-6026
United States of America
Tel.: 1 646 2918969
http://litmuscapitalgrp.com
www.lbinary.com
Luxemburg
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
LJF ASESORES, S.L.
Address
C/ Costa Brava, 28, Portal C, Segundo D
28034 Madrid
Lloyd Brown Investments, Inc.
Hancock Center 875 N. Michigan Ave., Suite 3100,
Chicago, Illinois 60611
1044
1045
1046
1047
1048
1049
1050
1051
1052
1053
1054
1055
1056
1057
1058
Lloyd Stanley
Lohman Brokers (predchádzajúci názov Comte Borell 206, 08029 Barcelona, Spain
Alpine FX)
Lombard Grand Financials
53 5th Avenue 600, New York, NY 70017, USA
www.lombardgrandfinancials.com
Lombard Grand Financials
53 5th Avenue 600, New York, NY 70017, USA
www.lombardgrandfinancials.com
Lombard-Smith & Co
CEO Rivers, 6650 Rivers Avenue, Charleston, South
Carolina 29406, USA
London Equities
Londenstraat, rue de Londres 30, 1050 Brussels
www.london-equities.com
London McFee Investment
Long Term Financial Ltd
1 Arianou str., Alimos, Athens, Greece
Longwood Trading
Hong Kong S.A.R. at the Sun Hung Kai Centre, 30 Harbour
Road, Wan Chai.
Lowe & Lane Asset Management
10 East Doty Street, Madison, W1 53703, USA, Taikoo
Place, 979 Kings' Road, Island East, Hong Kong
LSE Wealth Management Inc
Canada Square, Canary Wharf, London E14 5DY, United
Kingdom Two International Centre, 8 Finance Street,
Central, Hong Kong
www.lsewealth.com
Lukas Kantor Securities
Token House Business Centre, 10/11 Token Yard House,
London EC2R 7AS, United Kingdom
www.lksecurities.com
Lux Investment Group
L-1115 Luxembourg, 6 boulevard Konrad Adenauer
website: www.luxig.lu.
Country
forwarding
warnings
Spain
Reason
unauthorized subject
Detailed information
www.cnmv.es
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
Netherlands
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.afm.nl
United
Kingdom
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cbfa.be
unauthorized subject
unauthorized subject
neautorizovaný
subjekt
unauthorized subject
www.financialregulator.ie
t.č. +30 210 33 77 100
www.cbfa.be
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Luxemburg
unauthorized subject
www.cssf.lu
Belgium
Ireland
Greece
Belgicko
Sweden
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
LUX Investment Group
Lyndon Pearce
Address
6 Boulevard Konrad Adenauer
Luxembourg
Tel: +352 208 809 68
Fax: +352 246 113 27
Email: [email protected]
Internet: www.luxig.lu
Rue Jean-Petitot 7 (1204 Geneve), Case postale 1211,
Geneve 11
www.lyndonpearce.com
M S Global
www.msgs.pl
M&B Capital Advisers
100 Prestons Rd, London E14 9SB
www.mb-capitaladvisers.com
I.F.S.C.
Dublin
Dublin 1
Ireland
Tel: 0203 318 1078
Tel: 0870 626 2070
43-44 Albemarle Street, City of Westminster, London W1S
4JJ, United Kingdom
Nymphenbusger Strasse 4, 80335 Menchen, Germany
Tel:+44 0 8450755856
9014 Old Unions Springs Dr., London KY 40744, Old
Uninon Springs Drive 3019 London, KY 40744, United
Kingdom
1059
1060
1061
1062
1063
Lyland Finance
M.S. Global
1064
MA CAPITAL PARTNERS
1065
Macc Group/Maccfx/Macc Fore
1066
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
t.č. +43 (0)124959-5106
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Netherlands
unauthorized subject
Phone +31(0)20 5535 535
Sweden
United
Kingdom
United
Kingdom
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Macintyre Schaffer
1067
MacMillan Fine International
1068
MACMILLAN FINE INTERNATIONAL
1069
Madden Group Inc.
1070
MADISON ADVISORY GROUP
1071
Madison Avenue Mergers &
Acquisitions
1072
Address
Head Office: SK Building, 24th Floor, Suhrin-Dong 99,
Jongroh-Gu, Seoul 110-110, South Korea
Regional Office: China Merchant Tower, 19th Floor, 161
Lujiazui Dong Lu, Pudong, Shanghai 200120, China
Regional Office: Toshiba Building, 29th Floor 1-1-1,
Shibaura, Minato-ku, Tokyo, Japan
www.macintyreschaffer.com
Gran Via de Las Cortes Catalanas 583-5th Floor, 08011
Barcelona, Spain
www.macmillanfine.com
Gran Via de las Cortes Catalanas 583, 5º
08011 Barcelona
www.macmillanfine.com
14 Lafayette Square, Suite 1408, Buffalo, New York 14203,
USA
www.maddengroupinc.com
AV. BELGRANO 435
BUENOS AIRES
ARGENTINA
www.madisonadvisory-group.com
183 Madison Avenue,
New York
NY1007
And
867 Madison Avenue
New York City
New York
NY 17404
www.madison-avema.com, www.madisonavenuesite.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Spain
unauthorized subject
www.cnmv.es
Denmark
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Magnis Global
1073
Magnis Global
1074
Management International Dublin Ltd
1075
Mandolin Resources
1076
Mandolin Resources
1077
Manhattan corporate transfers
1078
Address
Level 23, Citigroup Tower, 33 Huayuanshiqiao Road,
Shanghai,
Pudong 200120, China.
www.magnis-global.com
Level 23, Citigroup Tower, 33 Huayuanshiqiao Road,
Shanghai, Pudong 200120, China.
www.magnis-global.com
Europa House
Harcourt Street
Dublin 2
Ireland
Tel: 00 353 1442 9343
Fax: 00 353 1442 9340
720 Brazos St Austin,
TX 78701,Perry Brooks
Tower, Office 1150 B
http://mandolinresources.com/
720 Brazos St Austin,
TX 78701,Perry Brooks
Tower, Office 1150 B
http://mandolinresources.com/
Address:
20 Wall Street
New York
NY10005
USA
Tel:
1079
Manhattan Fujiwara International
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Denmark
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
+1 917 338 0491
0845 686 1766 (UK)
Arca Central Building, 14F 1-2-1 Kinshi, Sumida-ku,
1300031 Tokyo, Japan
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Manor Financial Management
1080
Manor Private Capital, LLC
1081
Marcus & Company Inc.
1082
Marcus & Company Inc.
1083
Marcus & Company Inc.
1084
1085
1086
Marcus Jones International (United
Kingdom)
Market Punter Pty Ltd
Marsh & Reede Capital
1087
Address
4th Floor Rawdon House
Green Lane Yeadon
West Yorkshire
LS19 7BY
www.manorgold.com and www.manorhj.hk
www.manorpcmanda.com
www.manorprivatecapitalll.com
www.manorpcl.com
47th Floor 174 Pearl St., New York, NY 10005, United
States
www.marcusandcomp.com
47th Floor 174 Pearl St., New York, NY 10005, United
States
www.marcusandcomp.com.
47th Floor, 174 Pearl St. New York
NY 10005
United States
Tel: 1 646 386 2461
Email: [email protected]
Web: www.marcusandcomp.com
Australia
www.marketpunter.com
Level 21 Williams Tower
2800 Post Oak Boulevard
Houston, TX 77056
Tel: 1 (713) 559 1793
Fax: 1 (281) 754 4794
[email protected]
www.marshnreede.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Norway
unauthorized subject
www.kredittilsynet.no
Austria
unauthorized subject
www.fma.gv.at
Ireland
unauthorized subject
www.financialregulator.ie
Italy
unauthorized subject
Austria
unauthorized subject
t. č. +43 (0)1/24 959 5106
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1088
Name
Marshall Stanwick
1089 Masahiro International
MASAON DUNNE
1090
1091 Mason Ross Investments Ltd.
Massaki, Lane & Associates
1092
Master Life Securities
1093
Masters Financial Corporation
1094
Mathews Merger Management
1095
Address
25-32-408 Sakuragaoka-Cho Shibuya-Ku Tokyo, Japan
75 Harrington Street, Dublin 2, Ireland
www.masondunne.com
branch office in Shanghai, China
1803 K Street NW, Suite 740, Washington, DC 20006
125 Broad Street, New York, New York 10004-2498
Park Bldg. Nakanoshima # 722, 1-9-13 Nishitenma, Kitaku, 530-0047 Osaka, Japan.
No. 565 Shanghai Street, Mongkok, Kowloon, Hong Kong,
China
www.mlandassociates.com
1 Queens Terrace,
Southampton,
Hampshire,
S014 3QL
Tel: 0238-098-7506
Fax: 0238-168-0115
Website: www.mlssecurities.net
3F-314, Sokendoshumachi Building, 2-1-10, Doshumachi,
Chuo-ku, Osaka, Japan
www. masterfinancialcorp.com
6th Floor, Izumi Garden Wing, 6-3, Roppongi
1-chome, Minato-ku, 106-0032, Tokyo
www.mathewsmmgmt.com
Country
forwarding
warnings
United
Kingdom
Sweden
United
Kingdom
Slovenia
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.a-tvp.si
www.fi.se
United
Kingdom
unauthorized subject
(Clone of FSA EEA
authorised firm)
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Mathews Merger Management
1096
1097
1098
Mathisen Financial
Maxwell & Goldstein
MAYER THOMAS
1099
Address
6th Floor, Izumi Garden Wing,
6-3 Roppongi 1-chome,
Minato-ku,
106-0032,
Tokyo,
Japan
Tel: +81345209543
Website: www.mathewsmmgmt.com
Email: [email protected]
1 State Street, New York, NY 10004, USA
www.mathisenfinancial.com
Rue de Conseil, General 14, CH 1205, Geneva,
Switzerland
Stockerhof, Dreikoenigstrasse 31 A, 8002 Zurich,
Switzerland
1 Canada Square, Canary Wharf, London E14 5AA, United
Kingdom
www.mayerthomas.com
Paradeplatz 7, 8001 Zurich, Switzerland
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.afm.nl/warninglists
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
[email protected]
1104
United
Kingdom
Tower 42, Old Broad Street 25, London EC2N 1 HN, United Netherlands
Kingdom en RM 1106, 11f Futura Plaza 111, How Ming
Street, Kwun Tong, KLN, Hong Kong
Fisher Plaza, 104 4th Avenue North, Seatle WA 98109,
United
USA
Kingdom
www.maynesservices.com
218 East 57th Street, 32nd Floor, New York, NY 10022,
United
USA
Kingdom
www.maxwellconsultancy.com
Address unknown
United
TEL: 00442033840014
Kingdom
1105 McAnthony Investments
Avenue des Saisons 100-102, 1050 Brussels
1100
Mayfair Capital Investments
Maynard Maclain Trading Company
1101 Ltd./Maynard Maclain Ltd./Maynard
Maclain Fx, Inc.
Maynes Business Services LLC
1102
Maywell Consultancy
1103
MC Trading
Belgium
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1106 Mckenzie Rosenthal & Associates
McKinley & Co., Ltd
1107
1108
McLeod Walker Capital Ltd
McPherson Gordon Ltd
1109
Mediacred AG
1110
Melqu Invest HB
1111
Mendel Meir & Safwat
1112
Menzies & Co
1113
1114
Menzies Overseas Limited
MERCADIA ASESORES,S.A.
1115
Country
forwarding
warnings
Denmark
Sweden
Address
New York, USA
1-5-2 Higashi-Shimbashi, Minato-ku, Tokyo 105-7123,
Japan
Uitbreidingsstraat 84/3, 2600 Berchem, Belgium
Belgium
mcleodwalker.com
The Shell Building, 1221 Locus Street, St Louis, Missouri Norway
63103)
www.mcphersongordon.com
Auwiesenstrasse 54, Zurich, Switzerland
Austria
www.austriakredit.at
www.easycredi-24.at
Angsviks Torpsvag 5, 184 95 Ljustero, Stockholm, Sweden
www.melquinvest.com
Sweden
Floors 2, 3 and 4, 22-24 City Road, London EC1Y 2AJ,
United
United Kingdom
Kingdom
No. 72 Penzinger, 1140 Vienna, Austria
532 5th Avenue, New York 10036, USA
www.mendelmeirandsafwat.com
16 St Martin's le Grand, St Paul's, London, EC1A 4EN
United
Tel: 0203 284 8381
Kingdom
Fax: 0203 394 0579
Website: www.menziesandco.com
Newton Barracks Road Belize city, Belize
Sweden
www.menziesoverseas.com
C/ Alberto Aguilera 7 7º Izq.
Spain
28015 Madrid;
C/ Don Ramón de la Cruz 39 1º izda.
28001 Madrid
http://mercadiaasesores.com
Reason
unauthorized subject
unauthorized subject
Detailed information
www.finanstilsynet.dk
www.fi.se/warning
unauthorized subject
www.cbfa.be
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fma.gv.at
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Name
MERCADIVISAS INTERNACIONAL,
S.A.
Address
www.mercadivisasinternacional.com
Country
forwarding
warnings
Spain
Mercator Amalgamated
Viale Luca Gaurico 4, Rome, 00143, Italy
www.mercatoramalgamated.com
www.mercatrading.es
United
Kingdom
Spain
No.
1116
1117
1118
1119
MERCATRADING INVERSIONES
Mercer and Associates Limited
Mercier and Clark Partners
1120
1121
Mercier and Clark
1122 Mercuria Technologies Ltd
Mercury Global Acquisitions
1123
1124 MERCXYZ ONE Limited
MERGER & ACQUISITION
1125 SUPERVISION & ADMINISTRATION
COMMISSION (MASCO)
Mergers & Acquisitions Financial
1126
Administration
1127
1128
Meridian Capital
Enterprises Ltd
Merit Capital Management, Inc
187 Federal Plaza, 4789 New York, USA
United
www.mercerassociatesltd.com
Kingdom
1 Canada Square
United
London
Kingdom
E14 5EU
www.mercierclark.com
1 Canada Square, London, E14 5EU
Francúzsko
http://www.mercierclark.com
www.optionsmarter.com
Cyprus
Suite 508, 1037 2nd Avenue, Seattle, WA 98104, USA
United
www.mercuryga.us
Kingdom
www.mercxyzone-europe.com
Spain
15th Flr., Fujino Bldg. 11-8, Nihobashi Kodenma-cho, Chuo- United
ku, Tokyo 103-0001, Japan
Kingdom
www.masac.org.
11th Floor, Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, United
Tokyo 108-0014, Japan
Kingdom
Burjuman Business Towers, 18th Floor, 43695 Dubai,
United Arab Emirates
Tower 42, 25 Old Broad Street, EC2N 1HN London, United
Kingdom
Austria
The Concierge Center, 600 Republic Centre, 633 Chestnut
Street, Chattanooga, Tennessee 37450
JFK Building, 1800 JFK Blvd, Suite 300, Philadelphia,
Sweden
Pennsylvania 19103, USA
Reason
unauthorized subject
Detailed information
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
neautorizovaný
subjekt
unauthorized subject
unauthorized subject
t.č. +33(0)1 5345 6031
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
t. č. +43 (0)1/24 959 5106
www.fi.se/warning
www.cysec.gov.cy
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1129 Merkater Business Company
Merkel Financial Incorporated
1130
Mesirow Financial / Mesirow Financial
1131 International UK
METCAP SECURITIES
1132
1133 Metropolitan Credit Corp.
MHH Associates
1134
Micron Associates
1135
Micron Associates
1136
Micron Associates
1137
MICRON ASSOCIATES
1138
Address
9th Flr. Takanawa Center Bldg., 19-13, Takanawa 2chome, Minato-ku, Tokyo 108-0074
www.merkelfinancialinc.com
Sackville House, Fifth Floor, 40 Picadilly, London W1J
0DR, United Kingdom
www.mesirowfinancial.com
405 LEXINGTON AVE., 39TH FLOOR
NEW YORK CITY, 10174
USA
TEL: 0016466520720
TEL: 0017166761121
FAX: 006464175423
WEBSITE: www.metsecu.us
EMAIL: [email protected].
Nihonbashi Koami Building 7F, 12 Nihombashi Koamicho,
Chuo-ku, Tokyo 103-0016, Japan
www.mhhassociates.com
World Trade Center Barcelona, Moll de Barcelona s/n,
edificio Este 8 planta, Spain
www.micronassociates.com.
World Trade Center Barcelona, Moll de Barcelona s/n,
edificio Este 8 planta, Spain
http://www.micronassociates.com/.
World Trade Center Barcelona, Moll de
Barcelona s/n, edificio Este 8 planta.
Spain
World Trade Center Barcelona
Moll de Barcelona, s/n. Edificio Este 8 planta
Barcelona
www.micronassociates.com
Country
forwarding
warnings
Netherlands
United
Kingdom
Reason
unauthorized subject
unauthorized subject
Detailed information
www.afm.nl
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Netherlands
United
Kingdom
unauthorized subject
unauthorized subject
www.afm.nl
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Denmark
unauthorized subject
www.finanstilsynet.dk
Belgium
unauthorized subject
www.cbfa.be
Spain
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Michael John Hammond
1139
1140
MIJAVE IVERSIONES, S.L.
1141 Mika Holdings Inc.
Miles Corporate Services
1142
1143
1144
MILESTONE AMG
Millenia Strategies
MILLER & PARKER CONSULTING
GROUP
1145
1146
Miller & Ross
Miller Consulting Group
1147
Address
50 Bank Street
Canary Wharf
London
+ 44 (0) 2070606850
0845 686 1766
[email protected]
[email protected]
Paseo Alameda de Osuna, 47, 28042 Madrid, Spain
www.mjinveriones.com
British Virgin Islands
Logan Building, 500 Union St., Seatle, WA 98101, USA
www.milescs.com
Boulevard Royal 26, Luxembourg LU2449
www.milestoneamg.com
39th Floor, Pacific Place, 14000, 88 Qeensway, Central
Hong Kong, Hong Kong
750 THIRD AVENUE
12TH FLOOR, EAST 46TH ST.
CORNER TO EAST 47TH
NEW YORK
UNITED STATES
Lexington Avenue, Manhattan-Midtown, Turtle Bay, New
York 10107
110d w 29th st #452
New York
ny 10011-1915
USA
Tel: +1 646 502 8289
Fax: +1 646 619 4589
Website: www.millerconsultancygroup.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Clone of FSA
Approved Individual
Detailed information
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
Italy
United
Kingdom
United
Kingdom
Sweden
unauthorized subject
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
MILLER WINSTON – WORLDWIDE
MERGERS AND ACQUISTIONS
1148
Milton Financials
1149
Milton Keynes Capital Partners LLP
1150
1151 Minerva Management
Minsheng Corporation
1152
1153
Mitchell Berry Consultancy
1154 Mitchell Finch International
Mitschka Alternative Advisory
1155
Mitsubishi Finance
1156
Address
P.O. BOX 8319
SEATTLE
WA-98381
USA
Tel: +1 (206) 984 4265
Fax: +1 (206) 426 3116
www.millerwinston.com
1006 - 1011 Alexandra House
8 Chater Road
Central
Hong Kong
Tel: 0085281205456
Tel: 0085281700457
Website: www.miltonfinancials.com
Email: [email protected]
312 Avebury Boulevard, Milton Keynes, England, United
Kingdom
www.mkcap.co.uk
Diagonal 331, 1-1, Barcelona, Spain 08022
8/F China Merchants Tower, Shun Tak Ctr., 168-200
Connaught Road, Central, Hong Kong.
www.minsheng-corp.com.
1201 3rd Avenue, Suite 105, Seatle WA 98103, USA
www.mitchellberryconsultancy.com
www.mitchellfinch.com
Wieneberhstrasse 9, Suite 245, 1100 Vienna, Austria
27 Old Gloucester Street, London, United Kingdom
www.mitsubishifinance
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Norway
unauthorized subject
unauthorized subject
www.fi.se/warning
www.kredittilsynet.no
United
Kingdom
Denmark
Austria
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.finanstilsynet.dk
t.č. +43 (0)124959-5106
United
Kingdom
Autria
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Mitsubishi Group
1157
Mitsui Holdings
1158
Mizuho Holdings Headquarters
1159
1160
MJM Investments
MKL Business Services,
1161
1162
1163
1164
MKP Capital Europe / MKP Europe
MKR GLOBAL SERVICES LLC
MM Institutional
MMM-2011
1165
Address
Tennozu Central Tower 22F, 2-24 Higashi Shinagawa, 2chome, Shinagawa-ku, Tokyo 140-0002, Japan
www.mitsubishi.com
Level 10 3/F, Tokyo Bankers Club Building, Marunouchi,
Chiyoda-ku, Tokyo, Japan
www.mitsuiholdings.com.
6 Battery Road #12-01
Singapore. 049909
Telephone +65 6491 5117
Fax +65 6491 5191
www.mizuho-holdings.com
Email [email protected]
Belgium
LLC
1601 Walnut St,
Philadelphia, PA
USA, 191073
Phone: (215) 586-4483
Website: www.mklbpo.com
Email: [email protected]
www.mkpcapeurope.com
www.mkpeurope.com
140 4th Avenue North, Seatle, WA 98109, USA
www.mkrglobal.com
33 Throgmorton Street, London EC2N 2BR
www.mminstitutionaladvisors.com
The scheme which was designed by Sergey Mavrodi a
resident of the Russian
Federation
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.kredittilsynet.no
Norway
unauthorized subject
www.finansstilsynet.no
Austria
unauthorized subject
Phone +43 (0)1/24 959 5106
Ireland
Belgium
United
Kingdom
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.cbfa.be
www.fsa.gov.uk
United
Kingdom
United
Kingdom
United
Kingdom
Lithuania
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorised activity
[email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Moe Securities
1166
Momentum Securities (Clone of FSA
Authorised firm)
12 The South Colonnade
Canary Wharf
London
1167
E14 4BB
Tel: +44 207 060 7217
Fax: +44 207 060 7317
Website: www.momentumsec.com
Email: [email protected]
Monarch Wealth Consultants
1168
1169
Money Management AG
Mont-Bec Asset Management
1170
1171
Montgomery Blake & Associates
Montgomery Capital Partners
1172
Address
22th Floor, Finexis Building, 55 Robinson Road, 068882
Singapore
Milton House, Milton Street, Clerkenwell, London, EC1A
7BT, United Kingdom
www.moesecurities.com
12 The South Colonnade
Canary Wharf
London
E14 4BB
Tel: +44 207 060 7217
Fax: +44 207 060 7317
Website: www.momentumsec.com
Email: [email protected]
Japan
Schniedgasse 6, 9320 Arbon, Switzerland
www.volks-kredit.at
6th Fl., New Takao Haitsu
5-13, Azabu Juban 1-chome,
Minato-ku, Tokyo 106-0032
Tel: 0081 34578 0068
Fax 0081 36745 8647
Website: http://mont-becassetmanagement.com
China
Singapore
85-C Lexington Avenue, 37th Floor, New York NY 101555,
USA
www.montgomeryadvisory.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
Clone of FSA
authorised firm
www.fsa.gov.uk
Ireland
United
Kingdom
Austria
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Montrose Group
1173
Moorgate Capital Advisors (Clone of
1174 FSA authorised firm)
1175
Moretti Associates
Moretti Associates
1176
1177
1178
1179
Morgan Financial Advisors
Morgan Finch International
Morgan Franklin International
1180 Morgan Franklin Investment Inc.
Morgan Hurst
1181
1182
Morgan Philips Consulting
Morgan Premier Group
1183
Address
Boulevard Royal 26
Grand Duche du
Luxembourg
12449
www.montrose-group.com
www.mca-investing.com
Via Privata Senigallia, 18, 20161 Milano, Italy
www.meretti-associates.com
Via Privata Senigallia, 18
20161 Milano, Italia
www.moretti-associates.com.
50 Rockefeller Plaza, New York, NY 10019, USA
Nishishinjuku-1, Suite 104, Shinjuku, Tokyo, Japan
Gran Via de Las Cortes Catalanas 583, 5th floor,
08011 Barcelona, Spai
Gran Via de Las Cortes Catalanas 583-5th floor, 080 11
Barcelona
www.mgfii.com
Odengatan 54, 113 22 Stockholm, Sweden.
www.morgan-philips.com
785 BROAD STREET
NEW YORK
NY 10004
USA
Tel: 0015184300332
Fax: 0015189351354
E-mail: [email protected]
www.morganpremiergrp.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
Clone of FSA
authorised firm
www.fsa.gov.uk
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
Norway
unauthorized subjec
www.finanstilsynet.no
Norway
Denmark
unauthorized subject
unauthorized subject
www.kredittilsynet.no
www.finanstilsynet.dk
Norway
unauthorized subject
www.kredittilsynet.no
Denmark
United
Kingdom
Sweden
unauthorized subject
unauthorized subject
www.finanstilsynet.dk
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Morley Thompson Inc.
1184
Morris and Hill Acquisitions
1185
1186
1187
MORRISON CAPITAL GROUP
Morrison Douglas
Morton Management, S.L., (Mr. Per
1188 Troen, Mr. Morten Remo Sorensen a
Mr. Christer Albert Arnback)
Mount Rock Capital
1189
Mount Vernon Equities Inc.
1190
1191 Mr Robert Ménard
1192 Mr. Konstatninos Kalloniatis
MRC Markets
1193
1194 Mrs. Chris Melas
Country
forwarding
Address
warnings
24th Floor, Marunouchi Building, 2-4-1 Marunouchi,
Sweden
Chiyoda-ku, Tokyo 100-6332, Japan
Belgium
Denmark
720 Brazos Street, Austin, Texas 78701 Perry Brook Tower United
Office 1150B
Kingdom
www.morrisonhillacquisitions.com
59th Street Columbus Circle 4th Floor, New York, USA
United
www.morrisonconsultancy.com
Kingdom
United
Kingdom
Avenida de Severo Ochoa, 28, 4D, Edificio Marina
Spain
Marbella, Spain
Tel.: 0203 514 2066
Tel: 0203 514 0842
Fax: 0203 514 2067
Washington Square
1050 Connecticut Avenue
NW Washington
DC 20036
USA
Tel: 0012023910955
Fax: 0012023910955
E-mail: [email protected]
www.mrcmarkets.com
United
Kingdom
United
Kingdom
Reason
unauthorized subject
unauthorized subject
Detailed information
www.fi.se/warning
www.cbfa.be
www.finanstilsynet.dk
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
unauthorized subject
Clone of FSA
authorised firm.
unauthorized subject
www.fsa.gov.uk
France
unauthorized subject
Greece
not qualified person
European
Securities and
Markets
Authority
(ESMA)
Greece
not qualified person
www.fsa.gov.uk
Phone +33(0)1 5345 6031
Phone +30 210 33 77 100
www.esma.europa.eu
Phone +30 210 33 77 100
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
MTC Global Financial Services Group
1195
1196
Muenzberg & Partners
MULLEN AND CHEECKS
CONSULTING GROUP
1197
Mundial Securities
1198
1199
Address
29th Floor, Bank
of Shanghai Tower,
168 Yin Cheng Zhong Road, Pudong Shanghai, 200120
www.mtcglobalgroup.com
Habsburgergasse 10, 1010 Vienna, Austria
www.muenzberg-partner.at
112 EAST 50TH STREET
NEW YORK
10022, NEW YORK
U.S.A.
TEL.: 001 631 415 9996
TEL.: 001 404 891 5588
FAX: 001 631 532 1701
WEBSITE: www.mullencheecksconsulting.com
EMAIL: [email protected]
17F Metro Plaza Tower 2, 223 Hing Fong Road, Kwai
Tsing, Hong Kong og 16F City-Tower 1, Marxergasse 1b,
Vienna 1030, Austria
www.mundialsecurities.com.
Murdoch Finch Associates
1200 Murray Merger Group
Murray Merger Group
1201
1202 MY 4XCELLENT LIMITED
MyCreditBrokers
1203
Japan
Azabudai Amerex Building 12F
3-5-7 Azabudai
Minato-ku
Tokyo 106-0041
Japan
Tel: 0081345781879
Website: http://murraymerger.com/
Email:[email protected]
Prospekt Frunze 22 OF 135, 04085 Kiev, Ukraine
www.mycreditbrokers.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se
Austria
unauthorized subject
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
Ireland
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
Cyprus
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fma.gv.at
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Norway
unauthorized subject
www.finanstilsynet.no
215 Park Avenue, 24th floor, New York, NY 10167
www.nabsecuritiesinc.com
Kioicho Bldg. 5th Floor, 3-32 Kioi cho, Chiyoda-ku, 1020094 Tokyo, Japan.
www.nagoyacorp.com
Sweden
unauthorized subject
www.fi.se
Sweden
unauthorized subject
www.fi.se/warning
100 Pearl Street Hartford, CT 06103, United States
5100 Poplar Avenue, Memphis, TN 38137-4000
Sweden
Sweden
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fi.se/warning
27th Floor, Tokyo Sankei Building
1-7-2 Otemachi, Chiyoda-Ku
Tokyo 100-0004
Japan
www.navasotagroup.com
Tel: +81 345 789 700
Fax: +81 345 789 716
E-Mail: [email protected]
[email protected]
[email protected]
Austria
unauthorized subject
www.fma.gv.at
United
Kingdom
United
Kingdom
Norway
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
No.
Name
Myers-Bruning Associates
1204
NAB Securities, Inc.
1205
1206
Nabsecurities Inc.
Nagoya Corp
1207
1208 Nakamishi Financial Inc
National Shareholders Protection
1209
Agency
Navasota Group
1210
1211
1212
1213
Address
Smalandsgatan 128, Norrmalmstorg, 111 46 Stockholm,
Sweden
www.myers-bruning.com
215 Park Avenue, 24th floor, New York, NY 10167, USA
www.nabsecuritiesinc.com.
NC Advisory Ltd
NCP Financials / Northland Capital
Partners
Neilson Capital
www.ncp-financials.co.uk
Hong Kong, Time Square Shell Tower, 1 Matheson Street
and Taipei, Shanghai and Tokyo
www.neilsoncapital.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1214
Name
NELSON CAPITAL ADVISORS
Nelson Financial Group
1215
New Century Capital
1216
NEW DYNAMIC GROUP
1217
NEW ENGLAND PRIVATE EQUITY
1218 LLC
New Gold Capital
1219
New Outlook Management Group
1220
New Waterford Ltd
1221
New World Financial Europe SL
1222
Address
W 230th St Bronx, New York 10463-3802, USA
www.nelsoncapitalltd.com
7322 Southwest Freeway, Med Center, Houston, TX
77027. 28 Maxwell Road, Red Dot Building 069120,
Singapore
United Kingdom
Leonhardstrasse 36, Suite 101, 8010 Graz, Austria
www.newcencap.com
2 PLACE DE METZ 3F
PLACE DE METZ 2
LUXEMBOURG
Tel: +352 2088 1758
Fax: +352 2461 1173
Website: www.newdynamicgroup.com
Emails: [email protected]
[email protected]
60 Rowes Wharf 380, Boston, MA 021110-3365, USA
108 Fulton Street, Boston, MA 02109, USA
www.nepe.us
Hibaya Central Building 1-2-9 Nishi-Shinbasi, Minato-ku,
Tokyo 105-0003, Japan
www.newgoldcapital.com
5-501 Senba Center Building, 2-1, Senbachuo, Chuo-ku,
Osaka, 541-0055, Japanhas a website
www.newoutlookmg.com
Deutsche Bank & Finanz Centre, Zeil 57, 60313 Germany
www.new-waterford.net
Avenida Ricardo Soriano 34, 2nd floor, No1, 29600
Marbella, Spain
Country
forwarding
warnings
United
Kingdom
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Ireland
Austria
unauthorized subject
www.financialregulator.ie
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subjec
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es Phone +43 1
249595106
www.nl/english.htm
United
Kingdom
Spain
Austria
Netherlands
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
New York Finance Company
1223
1224
New York Global Group, Inc.
1225 Newburg Capital Trust
1226 Newcastle Distributors
Newport International Group
1227
1228
1229
Newton Smith Associates
Next Financial Network
1230 NFinest
Niigata Global
1231
1232 Nikkimatt Ltd
Nippon Financial Partners
1233
Nippon Financial Partners
1234
Address
Chrysler Building
Lexington Avenue
New York
United States
www.newyorkfinanceco.com
Tel: +1 347 962 3182
14 Wall Street, Suite 1225, New York, NY 10005
www.newyorkggi.com
4058 Washington Park Blvd, Cleveland, OH 44105
Newponrt Business Center, Carrer de Muntaner, 337
08021 Barcelona, Spain
www.newportinternationalgroup.com
9 Allee Scheffer 2520, Luxembourg
www.newtonsmithassociates.com
89 Worship Street, London EC2A 2BF, United Kingdom
www.nextfinancialnetwork.com
www.nfinest.com
16th Fl., Sapia Tower 7-12, Marunouchi 1-chome, Chiyodaku, 100-0005 Tokyo, Japan
www.niigataglobal.com
20F Otemachi Nomura Bldg., 2-1-1, Otemachi, Chi-yodaku, 100-0005 Tokyo, Japan
www.nipponfp.com
20F Otemachi Nomura Bldg
2-1-1, Otemachi, Chiyoda-ku, 100-0005
Tokyo, Japan
Tel: 0081345209323
www.nipponfp.com
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
Belgium
Norway
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cbfa.be
www.finanstilsynet.no
United
Kingdom
United
Kingdom
Slovenia
Denmark
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.a-tvp.si
www.dfsa.dk
Cyprus
unauthorized subject
www.cysec.gov.cy
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
NKP Financial
1235
1236 Noble Advisory Group
1237 Nomura Financial Group
Norbert Associates
1238
NORTHERN CAPITAL
1239
Norwich Securities Corporation
1240
Nova Portfolio Management
is
1241
Novantae Capital Holdings
1242
1243
Novum Capital
Address
93-95 Borough High Street
London
SE1 1NL
Tel: 0203 137 7284
Website: www.nkp-financial.com
E-mail: [email protected]
Talstrase 34, CH-8001, Zurich, Switzerland
4-2-1 Toyou-Cho, Koto-ku, Tokyo, 135-0016 Japan
Level 9, AIG Building 1-1-3 Maranouchi, Chiyoda-Ku,
Tokyo 100-005 Japan, www.norbertassociates.com
12 LEADENHALL ST.
LONDON, EC3V 1LP
UNITED KINGDOM
TEL.: 02081442837 AND 02071938290
FAX: 02035142993
10 Anson Road,
#16-16/5785 International Plaza, Singapore 079903
www.norwichsecurities.com
CAMBOURNE
CAMBRIDGE CB23 6DW
UNITED KINGDOM
Tel: 0203 318 4095 (previously 01223 790007)
Fax: 01223 280239
Websites: www.novaportfoliomanagers.com
www.novauklimited.com
www.novaukltd.com
Country
forwarding
warnings
United
Kingdom
Reason
Clone of FSA
authorised firm
Detailed information
www.fsa.gov.uk
Sweden
Sweden
Netherlands
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fi.se/warning
www.afm.nl/warninglists
United
Kingdom
Clone of FSA
authorised firm
www.fsa.gov.uk
United
Kingdom
unauthorized subject
which may also be
using the name of
Nova UK Limited
www.fsa.gov.uk
Apartment 66, 210 Sathorn Road Bangog 10500 Thailand, Greece Austria unauthorized subject
Avda. Ramon Y Cajalo, 1 Suite No. 252, Madrid, Spain
United
Kingdom
unauthorized subject
Phone +30 210 3377215216 Phone +43(0)1/249595106
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1244 NRG Capital (CY) LTD
Occidental Capital Partners
1245
1246
1247
Ocean Mergers & Acquisitions
OCFDA (Offshore Commodity Futures
Lealers Association)
Octagon Financial Group
1248
Offshore Taxation Ltd
1249
1250
OKAMURA Asset Management
Country
forwarding
Address
warnings
www.nrgbinary.com
Cyprus
505 Montgomery Street, 10th & 11th Floor, San Francisco, United
CA 94111, USA
Kingdom
www.oxycapitalpartners.com
328 Madison Ave, New York NY 10017, USA
Sweden
www.oceanmergersacquisitions.com
rue du Congrés 12-14, 1000 Brussels, Belgium
Belgium
18-22 Level 28
1 Canada Square
Canary Wharf
London E14 5AX
One Worldwide Plaza,
Zhongguancun Financial Center,
Level 14, Haidian District
Beijing, China
Tel: 00861084181993
Fax: 00861058129615
Website: www.offshore-taxation.com
and
Level 13
825 8th Avenue
Times Square
Manhattan
New York City
USA
Tel: 0016462245943
Fax: 0016466194910
Website: www.offshore-taxation.com
Shinjuku Park Tower, 30th Floor, Nishi-Shinjuku-ku, Tokyo
163-1030, Japan
Reason
unauthorized subject
unauthorized subject
Detailed information
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cbfa.be
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.afm.nl
Netherlands
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Okuma Group
1251
Olsen Acquisitions
1252
1253 Olta Capital Management Inc.
Olympia Law Firm Mergers &
Acquisitions
1254
1255 Omega Capital Management
Omega Global Trading, Inc
1256
1257 Omnivest Ltd
1258 One Global Management
One Great Cumberland Place
1259
Opes Capital Inc
1260
Opes Capital Inc
1261
Address
Marunouchi Trust Tower Main, 16th Floor, 1-4-3
Marunouchi, Chyoda-ku, Tokyo 100-0045, Japan
www.okumagroup.com
10 South Rio Grande, Suite A, Salt Lake City, UT 84101,
USA
11th Floor, 100 Queen's Road, Central Hong Kong, Hong
Kong
Met Life Building, 200 Park Avenue, New York City, NY
10166
8 Robinson Road, Singapore 068898
www.olympia-lawfirm.com
660 Fifth Avenue, 24th Floor, New York, NY 10103-0040
www.oglobaltrading.com
1251 Union Road West Seneca New York, 14224 USA
London
W1H 7AL
www.globalbancgroup.com
153 Tahlstrasse
CH-8001 Zurich
Switzerland
Tel: +41 44 508 7281
Fax: +41 44 732 6067
Website: www.opes-capitalinc.com
153 Tahlstrasse
CH-8001 Zurich
Switzerland
Tel: +41 44 508 7281
Fax: +41 44 732 6067
Website: www.opes-capitalinc.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.kredittilsynet.no
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fi.se/warning
www.cbfa.be
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fi.se/warning
unauthorized subject
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fi.se/warning
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
Sweden
Ireland
Sweden
Belgium
Ireland
Sweden
Cyprus
Sweden
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1262
Address
Opstock Ltd
www.opstockltd.com
Option One International
Ed.Neptuno local 7, Via Tumba Muerto, Ciudad de
Panama, Republica de Panama
www.optiononeinternational.com
www.option10.com
Roslyn Heights Financial Centre, 66 Powerhouse Rd. 1
Suite 401, Roslyn Heights, NY 11577, USA
48 Wall Street 1 Suite 1100, New York, NY 10005 USA
www.optisgroupllc.com
2-2-8 Nanko-Kita Suminoe-Ku, Osaka, Japan
Archimedesstraat/rue Archimede 48, 1000 Brussels,
Belgium
www.orientalconsolidators.com
1263
1264 Option10
Optis Group LLC
1265
1266 Oracle Equity Management
Oriental Consolidators
1267
1268 Orion Financial Services Ltd
Orion International Trading
1269
Osaka Futures and Options Exchange
1270
Otis KPO LLC
1271
Paradeplatz 9, Zurich, Switzerland 8001
Hankyu Grand Building, 8-47 Kakuta-cho Kita-ku, Osaka,
530-0017, Japan
www.ofox.jp
Metropolitan Park, 1100 Olive Way, Seatle WA 98101,
USA
www.otiskpo.com
Otis KPO, LLC
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.cbfa.be
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
Denmark
unauthorized subject
Spain
unauthorized subjec
www.finanstilsynet.dk/sw126
7.asp
www.cnmv.es
Sweden
Cyprus
United
Kingdom
Sweden
Belgium
Cyprus
United
Kingdom
Norway
1272
1273
Ovannis Capital
OVANNIS CAPITAL
1274
Avda. Ramon y Cajal 1, Suite 263, Madrid 28016, Spain
www.ovanniscapital.com
Avenida Ramón y Cajal 1, Suite 263
28016 Madrid
www.ovanniscapital.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1275
Ovetii
Address
Posidonos Avenue, 16674 Glyfada, Athens, Greece
Reason
unauthorized subject
Detailed information
www.kredittilsynet.no
unauthorized subject
unauthorized subject
Phone +33(0)1 5345 6034
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
United
Kingdom
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Head Office Via Attilio Regolo 19, 00192 Roma, Italy
Asian Headquarters Unit 1700, 12/B, Asia Orient Tower, 33
Lockhart Road, Wanchai, Hong Kong
Slovenia
www.palatinefinancial.com
unauthorized subject
www.a-tvp.si
1276 Oxbridge International Limited
P.A.N. SECURITIES LP -MERGES AND www.pansecuritieslpmanda.com
1277
ACQUISITIONS
Pacific Alliance Mergers & Acquisitions Tower A
Limited
223 Wai Yip Street
Kwun Tong
Hong Kong
1278
Tel.: +85230199407
Fax: +85230101230
www.pacificalliancema.com
[email protected]
Pacific Capital Management
1000 Wilshire Blvd 850, Los Angelec, California 90017,
1279
USA
www.pacificcapitalmgmt.com
1280 Pacific Equity Management
Pacific First Securities
140 East 58th Street, New York, NY 10022, USA
1281
www.pacificfirstsecurities.com
Pacific Ventures Consultancy
385 Greenwich Street, New York, NY 10013, USA
1282
www.pacificventuresinc.com
Pagani Wealth Management
227 Park Avenue,
New York,
NY 10172,
USA.
1283
Tel: 001213656320
Fax: 0016496194484
Website: www.paganiwealth.com
Palatine Financial
1284
Country
forwarding
warnings
Norway
Greece
France
United
Kingdom
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Palladium Cathay Intermediaries
1285
1286
1287
Palmer Brown Management, Inc
Palmer Corporate Solutions, LLC
1288 Palmer Smith Advisors
Pan American Global Partners
1289
Address
1266 Nanjing West Road, Plaza 66, 39/F Shanghai, China
200040
www.palladiumcathay.com
5th Floor, Think Park Tower, 2-1-1 Osaki, Shingawa-ku,
Tokyo 141-6005 Japan
1420 Fifth Avenue, Seatle WA 98101, USA
www.palmersolve.com
www.palmersmithadvisors.net
119 East 56th Street, New York NY 10022, USA
www.panamericanglobalpartners.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cssf.lu
www.fsa.gov.uk
Sweden
Sweden
United
Kingdom
Luxembourg
United
Kingdom
Pan Asia Brokers & Consultants Ltd
www.panasiabrokers.com
Cyprus
unauthorized subject
www.cysec.gov.cy
Panmure Gordon & Co
Tote House
8-12 New Bridge Street
London EC4V 6AL
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Panmure Gordon & Co
Tote House
8-12 New Bridge Street
City of London
www.panmuregordon.net
One International Finance Centre
2501
33rd floor, 1 Harbour View Street
Central, Hong Kong
Road
Tel: 00852 2166 8639
Bangkok
Fax: 00852 2166 8999
6158
Veľká Británia unauthorized subject
www.fsa.gov.uk
United
Kingdom
www.fsa.gov.uk
1290
1291
1292
Paragon International
1293
25th Floor, Unit
Exchange Tower
388 Sukhumvit
Klong Toey,
Fax: 00662 933
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Paramount Financial Group
Address
Lindengasse 48 1070, Vienna, Austria
http://paramountfg.com/.
Park East Capital
Level 14, 1-2-9 Nishi Shimbashi Minato Ku, 105-0003
Tokyo, Japan
www.parkeastcapital.com
1294
1295
Parker & Boyd
AIG Building, 12th Floor, 1-1-3 Marunouchi, Chiyoda-ku,
Tokyo 100-1255, Japan
www.parkerboyd.com
Parker & Master LLC
281 5th Avenue, New York, NY 10016, USA
www.panbllc.com
1296
1297
Parker Forrester
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
unauthorized subject
t. č. +43 (0)1/24 959 5106
www.fsma.be
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
Austria
Belgium
Sweden
1298
Partners Investment Network Limited
6F City Tower, 40 Basinghall Street, London EC2V 5DE,
United Kingdom
Slovenia
unauthorized subject
www.a-tvp.si
Paterson & Co., Ltd
6-3 Sumiyoshicho, Tokyo 194-0292, Japan
Sweden
unauthorized subject
www.fi.se/warning
Pearce & Clarke
1 Canada Square
Canary Wharf
London
E14 5AB
Tel: +44 (0)203 137 6994
United
Kingdom
unauthorized subject
www.fsa.gov.uk
1299
1300
1301
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Pearlstar Corporation, (PSTR)
Address
193 Jardin Dr, Concord, ON, L4K 1X5
Pegasus Ventures
Viale Lucia Gaurico 4/11, 00143 Rome, Italy
Peking Dragon Limited
Twin Towers, West Tower, 12 Jian Guo Men Wai Ave.,
Lower PH, Chaoyang District, Beijing, People Republic of
China
299 Broadway, 13F Manhattan, NY 10007
http://pelican-tg.com/
299 Broadway, 13F Manhattan, NY 10007
www.pelican-tg.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Norway
Denmark
unauthorized subject
Sweden
unauthorized subject
www.kredittilsynet.no
www.finanstilsynet.dk/sw126
7.asp
www.fi.se/warning
Norway
unauthorized subject
www.kredittilsynet.no
Sweden
unauthorized subject
www.fi.se
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
t.č. +47 22 93 98 00www.cbfa.be
www.financialregulator.ie
www.fma.gv.at
t.č. +43 (0)124959-5106
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
1302
1303
1304
1305
1306
Pelican Trading
Pelican Trading Group
1307
Pell Futures
1308 Pendulum Capital Markets Inc. (USA)
1309 PENINSULA Capital Ltd
1310 Penn Capital Management, Ltd
PEREGRINE INTERNATIONAL
CONSULTING GROUP
1311
Persist Global Wealth Management /
PGWM Ltd
1312
Norway
Belgium
Central Plaza Building 18 Harbour Road, Wan Chai, Hong Kong
Ireland
Austria
Hong Kong
1-4-27 Shiromi, Chuo-ku, 540-8560, Osaka, Japan
Austria
276-D East 41st Street
United
New York
Kingdom
New York 10017-6702
USA
Website: www.peregrineintlgroup.com
<http://www.peregrineintlgroup.com/>
26th Floor, Tower 42, 25 Old Broad Street, City of London, United
EC2N 1HQ, United Kingdom
Kingdom
www.pg-wm.com
www.gwmplondon.com
www.wmplondon.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1317
PESMIR TRADING, S.A.
C/ Colombia n. 34A, 28079 Madrid, Spain
Spain
unauthorized subject
www.cnmv.es
Peter Daly (Clone of FSA Approved
Individual)
83 Princes Street
Edinburgh
Scotland
EH2 2ER
Tel:
0131 516 7444
Email:
[email protected]
50 W 34th Street, New York NY 10001, USA
www.petersoncapitalinc.com
415 Madison Avenue, New York, NY 10017, USA
www.pexglobalinc.com
Harbour City World Commerce Centre 3-27 Canton Rd.
Tsim Sha Tsui, Kowloon, Hong Kong
www.pgmadvisory.com
725 North Highway 1A, Suite, Suite E-103, Jupiter, Florida,
33477, USA
tel: +1 561 747 0623
www.pharmaholdingsinc.com
42 Avenue Montaigne, 75008 Paris
c/o Treuhand von Flue AG
Baarerstrasse 95
6301 Zug
Switzerland
www.phoenixcooperfinancial.com
United
Kingdom
unauthorized subject
Clone of FSA
Approved Individual
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
Phone+33 (0)1 5345 6031
www.fsa.gov.uk
Peterson Capital Partners Inc
PEX GLOBAL INC
PGM Merges & Acquisitions
1318
Pharma Holdings
1319
1320 PHBC
Phoenix Cooper Financial
1321
Detailed information
www.cnmv.es
Address
Avenida Andalucía, s/n, Módulos 14 - 15
“Edificio CIE Diputación”
18014 Granada
1315
1316
Reason
unauthorized subject
Name
PERTINAX 2010, S.L.
1313
1314
Country
forwarding
warnings
Spain
Sweden
United
Kingdom
France
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
PHOENIX INVESTMENTS AG
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.finanstilsynet.no
www.fsa.gov.uk
108 Fulton Street, Boston, MA 02109
http:/ /piercemorgan.us
108 FULTON STREET
United
BOSTON
Kingdom
MASSACHUSETTS
02109
USA
Phone: +16175173094
Fax:
+16172492126
Email: [email protected] and [email protected]
unauthorized subject
www.fi.se
unauthorized subject
www.fsa.gov.uk
Pierce Morgan Trust Management LLC
108 Fulton Street, Boston MA, USA
Norway
unauthorized subject
www.finanstilsynet.no
Pioneer Global Investments
www.pgilondon.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
PK CONSULTANS USA, Inc.
110 Wall Street, 11th Floor, New York, USA
www.pkconsultantsusa.com
140 Broadway, 46th floor, New York, NY. 10005, U.S.A.
Exchange Square Block 3, Central 8 Connaught Place,
Hong Kong, China.
www.pgls.biz
1322
1323 Phoenix Mergers and Acquisitions
Pictet Private Wealth Management /
1324
Pictet & Cie
Pierce Morgan Capital Management
1325
PIERCE MORGAN CAPITAL
MANAGEMENT LLC
1326
1327
1328
1329
Platform Group Legal Services
1330
Address
TEL.: 0800 048 8592 OR/AND 0800 048 8529
TEL.: 0041 41 500 0378
FAX: 0041 41 588 0157
EMAIL: [email protected]
EMAIL: [email protected]
WEBSITE: www.phoenixinvestmentsag.com
Country
forwarding
warnings
United
Kingdom
www.phoenixmerge.com.
Norway
United
Kingdom
Sweden
unauthorized subject
Greece
Sweden
unauthorized subject
www.fi.se
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1331
Name
Platinum Account Group
Platinum Account Group
1332
Platinum Capital Management Limited
1333
1334
Platinum Group International
Platinum House Financial
1335
1336 Platinum Index
1337 Plaza-Capital Ltd
PLUS 500 UK (Attempt to clone FSA
authorised firm’s name and details)
Address
2 Bloor Street West, Toronto ON Canada, M4W 3E2
http://platinumaccountgroup.com/.
2 Bloor Street West, Toronto ON Canada, M4W 3E2.
www.platinumaccountgroup.com
Clearing & Trading Centre, London EC4M 7LS, United
Kingdom
www.platinumcapitalmanagement.com
410 Park Avenue, 15th Floor, New York 10022, USA
51a The Broadway
London W5 5JN
Tel:
0203 287 8850
Fax:
0207 060 4370
Website:
www.platinumhousefinancial.com
www.platinumindex.com
www.plaza-capital.com
Telephone: 0044 7778 477590
Fax: 0872 352 0805
Email: [email protected]
These
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
Denmark
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.fsa.gov.uk
Belgium
United
Kingdom
Sweden
Cyprus
United
Kingdom
unauthorized subject www.fi.se/warning
unauthorized subject www.cysec.gov.cy
Individuals identifying www.fsa.gov.uk
themselves as Mr
Paul Mason and Mr
Patrick Beaumont and
others are involved in
an unauthorised
attempt to pass
themselves off as
employees and
directors of
Plus500UK Ltd
Greece
Spain
unauthorized subject
unauthorized subject
1338
1339 Plus500 Ltd
1340 Pluscapital Forex, S.L.
www.Plus500.gr
www.pluscapitalfx.com
tel.č. +30 210 33 77 100
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Polaris Capital Management
1341
1342
1343
Pollia Ventures
Portman West Financial Services Inc.
1344 Portmouth Escrow Service LLC
1345 Portway Capital
Powerhouse Corporate Finance
1346
Powerhouse Corporate Finance
1347
Pratt International KPO LLC
1348
Address
Bahnofstrasse 52,
Zurich ch 8001
Switzerland
www.polariscapman.com
34/1, Parc d´Activité Syrdall, L-5365 Munsbach,
Luxembourg
Mainzer Landstrasse 47, D-60329, Frankfurt am Main,
Germany
Country
forwarding
warnings
United
Kingdom
Sweden
Austria
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning,
www.fma.gv.at
www.fi.se/warning
unauthorized subject
unauthorized boiler rooms
Austria
17, Rue Caillou, Residence du Parc Ceres, Batiment C, 33200
Bordeaux, France
unauthorized subject www.fma.gv.at
9th floor, Yokokawa Bldg., 17-27, Shinkawa 1-Chome,
Norway
unauthorized subject www.kredittilsynet.no
Chuo-ku, 104-0033, Tokyo, Japan
http://powerhousecorpfinance.com/.
7th Floor Chiyoda building bekkan,
United
unauthorized subject www.fsa.gov.uk
6-1-2 Nishitemma Kita – Ku
Kingdom
5300047
Osaka
Japan
and
9th Floor Yokokawa bldg,
17-27 Shinkawa 1 Chome Chuoku
Tokyo
1040033
Japan
www.powerhousecorpfinance.com
500 Union Street
United
unauthorized subject www.fsa.gov.uk
Seattle WA 98101
Kingdom
USA
Tel: 0012064625130
Fax 0012066918359
Website: www.prattintl.com
Email: [email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1349
Name
Pratt International KPO, LLC (USA)
Premier Partners
1350
Prentice Management Corp.
1351
1352
1353
Prescot Fitzgerald
Prestige Asset Management
1354 Prestige Banq
Prestige Mergers & Acquisitions Corp.
1355
1356
Price Webb Associates
1357 PRICE-STONE GROUP, S.L.
Prime Management
1358
1359
Prime Management
Prime Solutions, Inc
1360
Prime Strategies
1361
Address
Tour la Porte I, Place de l’Europe, Plateau de Kirchberg in
Luxembourg,
www.premier-partners.com.
18th Floor Ark Mori Building, 1-12-32 Akasaka, Minato-ku,
Tokyo 107-6011, Japan
www.prenticecorp.com
0816-05450, Zona 5 Boulevard Balboa, Marbella, Panama,
Republic of Panama
18-20, rue Eugéne Ruppert, L-2453 Luxembourg or 34,
parc d'activités Syrdall, L-5365 Munsbach
2 Lansdowne Row, London, W1J 6HL, United Kingdom
Metropark Center Suites 16c/16k, 12th Floor 33 Wood
Avenua South, Newark New Jersey, NJ USA 08830
Rue des Bains 42-63, Geneva, Switzerland
www.pricewebbassociates.com
C.I.F. B84196575, C/GRAN VIA 1 4, 28013 Madrid
70 Linden Oaks, Rochester, New York 14625, USA
www.brownwengerconsult.com
www.primemanagementfinancial.com
100 West 57th Street
New York, Ny
United States Of America
Telephone: 001 646 365 3422
468 North Camden Drive, Suit 200, Beverley Hills, CA,
California, USA
www.primestrategiesllc.com
Country
forwarding
warnings
Ireland
Reason
unauthorized subject
Detailed information
www.financialregulator.ie
Luxemburg
unauthorized subject
www.cssf.lu
Norway
unauthorized subject
www.kredittilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
unauthorized subject
Luxemburg
Belgium
Netherlands
unauthorized subject
unauthorized subject
www.cbfa.be
Phone +31 0 205535 535
United
Kingdom
Spain
United
Kingdom
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cnmv.es
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Princeton Capital Investments Inc.
1362
1363
1364
1365
1366
1367
Address
18 King William Street, London EC4N 7BB, United
Kingdom
1835 Market Street, Philadelphia PA 19103, USA
Westhafen Tower, Westhafenplatz 1, 60327 Frankfurt,
Germany
www.princetoncapitalinc.com
Priority Venture Management
7322 Southwest Freeway, Suite 1700, Houston, Texas
77074, USA
Private Capital
www.privatecapitals.com
Private Commercial Office, Inc., Engler, 1217 Cape Coral Pkwy, # 121, Cape Coral, Florida 33904,
Ulrich
USA
Private Equity Placement
1004-6 Bonham Trade Centre, 50 Bonham Strand East,
Sheung Wan, Hong Kong
Marszalkowska 80, 00-517 Warszaw, Poland
PRO SMART SECURITIES
1 Angel Court, Liverpool Street, London EC2R 7HJ
125 Old Broad Street, EC2R 8, London, England
Tel: 020 3582 9624; 020 8099 5436
Fax: 020 7099 5420
Websites: www.prosmartsecurities.com
www.prosmartadvisors.com
www.prosmart-clients.com
www.prosmartadvisors.net
Email: [email protected]
[email protected];
[email protected]
[email protected]
[email protected]
1368 Profescapital Sp. Z o.o.
Professional Financial Advisors
1369
1370
Profit Club S.A.
Ofiar Oswiecimskich 14, 50-069 Warsaw, Poland
www.professionalfinancialadvisors.co.uk
Panama
www.profitclubgroup.com
Country
forwarding
warnings
United
Kingdom
Sweden
France
Austria
Sweden
Austria
United
Kingdom
Poland
United
Kingdom
Slovenia
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.amf-france.org
Phone +43 (0)124959-5106
unauthorized subject
www.fi.se/warning
www.fma.gv.at
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.knf.gov.pl
www.fsa.gov.uk
unauthorized subject
www.a-tvp.si
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1371
Name
Profton S.A. ("4xfinity")
Progress Advisors LLC
1372
1373
1374
Provideo Financial
PROYECTALIA GRUPO
EMPRESARIAL, S.L.
PRUDENTIAL GLOBAL GROUP
1375
1379
1380
1381
Reason
unauthorized subject
Detailed information
t.no. +43 (0)124959-5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Belgicko
neautorizovaný
subjekt
unauthorized subject
www.cbfa.be
unauthorized subject
www.fsa.gov.uk
Spain
United
Kingdom
www.cnmv.es
11, Avenue de Thiervaux 11, 4802 Heusy
Belgium
unauthorized subject www.cbfa.be
4 World Financiual Centre, 250 Vesey St, New York 10080, Austria
unauthorized subject Phone+43 (0)1/24 959 5106
USA,
www.qoppa.us
Quadrant Mergers & Acquisitions
Japan
Ireland
unauthorized subject www.financialregulator.ie
Quadrant Mergers & Acquisitions
21st Fl, Shibuya Cross Tower,
United
unauthorized subject www.fsa.gov.uk
15-1, Shibuya 2-chome,
Kingdom
Shibuya-ku, Tokyo, Japan,
150-0002.
Tel: 0081345780648
Fax: 0081367459482
www.quadrantma.com
Email: [email protected]
NorwayMarbella,unauthorized
Quality Capital Management S.L.
Urb. Lomas se Sierra Blanca, C.C. Le Village Oficinas 9-11, 29602
Malaga, Spain
subject
www.qualityinvestments
t.č. +47 22 93 98 00
Quantum Finance Management Limited, Suite B,
Slovenia
unauthorized subject www.a-tvp.si.
29 Harley Street,
London, W1G 9QR,
United Kingdom
http://www.quantum-fm.co.uk/
1376 Q-Busiess SPRL/BVBA
Qoppa Place Funds Consulting Corp.
1377
1378
Address
Ricardo Arias Street, 2nd Floor, Torre Advancesd Bldg.
P.O.B. 87-1319, PA-7 Panama City, Rep. of Panama
701 Brickell Avenue
Suite 2550 Miami
FL
USA
www.progressadvisorsmiami.com
in Italy at Via Antonio Salandra 18, 00187 Rome, and in
Hong Kong at 12 Harcourt Road, Central Hong Kong..
Avda.Fragoso 4 6 C, 36210-Vigo, Pontevedra
www.sirentable.com
Court Sq Ste 202, Long Island City, NY 11101-4328, USA
www.prudentialglobalgroup.com
Country
forwarding
warnings
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
warnings
Norway
United
Kingdom
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
www.fsa.gov.uk
QUATERMAAN BROTHERS GESTIÓN, C/ Alfonso XIII, nº 19 - Local
S.L.
28002 Madrid
1383
www.qbgestion.com
Spain
unauthorized subject
www.cnmv.es
1384 Quertus Yachting
Quest Financial (Clone of FSA
authorised firms)
Kapittelstraat 4, 2610 Antwerp, Belgium
Floor 22-26
1 Canada Square
E14 5AX
Tel: 0203 318 4095
0203 318 2627
Fax: 0203 318 4479
Email: [email protected]
Belgium
United
Kingdom
unauthorized subject
unauthorized subject
Clone of previously
FSA authorised firm
www.cbfa.be
www.fsa.gov.uk
30 Fenchurch Street, City of London, EC3M 3BD, United
Kingdom
City Tower 2, Sheikh Zayed Road, Dubai, UAE
www.qvcapital.com
28F Sun Hung Kai Centre, 30 Harbour Road,
Wan Chai, Hong kong Island, Hong Kong.
www.rjhaynesandassociates.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
No.
Name
Quantum Partners
1382
1385
Quinn & Voakes Capital
1386
R J Haynes & Associates
1387
Address
New Street
Chipping Norton
Oxfordshire
OX7 5LJ
www.quantumpartnersltd.com
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
R J Haynes & Associates
Address
28F Sun Hung Kai Centre
30 Harbour Road
Wan Chai
Hong Kong Island
Hong Kong
Email: [email protected]
Internet-Seite: www.rjhaynesandassociates.com
R.A. Lafferty Inc
Obligado 1294
11300 Montevideo
Uruguay
Tel: +598 27099918
Fax: +598 27075795
www.ra-laffertyinc.com <http://www.ra-laffertyinc.com/>
1388
1389
Rabo Strategies
1390
1391
1392
1393
1394
Canada Square, Canary Wharf, London E14 5LQ, United
Kingdom
Hopewell Center, Queens Road East, Hong Kong
www.rogosbv.com
Raisino Holdings
Arch. Makariou III, 146, Alpha House, P.C. 3021, Limassol,
Cyprus
www.raisino-holdings.com
Ramsey Investment Partners
Cheung Kong Centre, 2 Queen ´s Road, Central Hong
Kong
www.ramseyinvestmentpartners.com
Randall & Gibson Partnership Company 131 Dartmouth Street, Boston, MA 02116, USA
www.randallandgibson.com
Randall & Gibson Partnership Company 131 Dartmouth Street, Boston, MA 02116, USA
www.randallandgibson.com
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Slovenia
Cyprus
unauthorized subject
www.a-tvp.si
www.cysec.gov.cy
Norway
unauthorized subject
www.finanstilsynet.no
Austria
unauthorized subject
www.fma.at
Austria
unauthorized subject
www.fma.at
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Rattenbury Group
1395
1396
Raynburn Watson and Associates
RDS Commodities
1397
1402
Detailed information
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Gran Vía de les Corts Catalanes, 583, P.5
08011 – Barcelona
Pau Claris, 138, 1º - 4
08009 - Barcelona
http://www.redhouse-capital.com
Spain
unauthorized subject
www.cnmv.es
Redevelopment Corporation
International Ltd / FOREXPERTI
Redford Securities International
www.forexperti.com
Malta
unauthorized subject
www.mfsa.com.mt
26 Queen´s Road, Central Hong Kong
55 New Bond Street, Mayfair, London W1S 1DG, United
Kingdom
www.redfordsecurities.com
75 Harrington Street, Dublin 2, Ireland
www.regal-international-ltd.com
99 Wall Street, 12th Floor, New York NY 10005, USA
www.regency-group.net
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
1400
1401
Reason
unauthorized subject
RED HOUSE CAPITAL PARTNERS,
S.L.
1398
1399
Address
Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chu-ku,
Tokyo 103-0023, Japan
28th Fl Scotia Plaza, 40 King Street West, M5H 1H1
Toronto, Ontario, Canada
The Exchange Tower, 100 King Street West, Toronto
0NM5X 1E3, Canada
www.rattenburygroup.com
601 Union Street, Floor 15, Seattle, 98101 WA, USA
www.raynburnwatson.com
Rhone
Geneva
Switzerland CH1204
Country
forwarding
warnings
United
Kingdom
Regal International
Regency Group Inc
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
regent & langley consulting group
1403
Reid & Stone Ventures
1404
Relax Investments Financial Services
1405
Reliance Asset Management Ltd
1406
Reliance Asset Management Ltd.
1407
Address
WEST 44th Street
New York City
USA
Tel:
001 585 219 5962
www.regentandlangleyconsulting.com
Via Mar della Cina, Rome 00100, Italy
Admirality Centre Tower 2, 18 Harcourt Road, Admirality,
Hong Kong
www.reidstoneventures.com
Wienerbergstrasse 11, Wienerberg Business Park, 9th
Floor, P.O. Box 1100, Vienna, Austria
www.relax-investments.com
Suite 308, 3rd Floor
Toyota Building
3-11 Minami-Semba
4-Chome Chuo-Ku
Osaka, 542-0081
Japan
Tel.: +81-6-4560-4003
Fax: Unknown
www.reliance-am.com
and / or
5-17, Tamagawagakuen
7-Chome Machida-Shi
Tokyo, 194-0041
Japan
Tel: Unknown
Fax: Unknown
[email protected]
Suite 308, 3F Toyota Bldg. 3-11 Minami-Semba 4-chome,
Chuo-ku, Osaka 542-0081, Japan
www.reliance-am.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Austria
unauthorized subject
t.č. +43 (0)124959-5106
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Reliance Capital
1408
1409 REMINGTON YORK LTD.
RENDIMIENTOS & PLUSVALÍAS
1410
1411 RENTABILIDAD 60% / RENTA 60
Reynold Brown Associates
1412
1413
1414
Reynolds Consultancy Ltd
Reynolds Group Limited
REYNOLDS MERGER SOLUTIONS
1415
RG-CLIENT
1416
1417
Rhaines LLC
Address
7 King William Street
London,
EC2N 4DA.; alternatívne:
14 Upper Bank Street,
London,
5EE
Tel: 08000112383/02070609480
Fax: 08000112381
C/Llanos de San Ramón, 3. 29600 Marbella (Málaga)
Twin Tower 20A, Wienerbergstrasse 11, 11000 Vienna,
Austria
258D Broadway Suite, 654 New York NY 10038, USA
www.reynoldsconsultancyltd.com
25/F, Bank of China Tower, One Garden Road, Central,
Hong-Kong
6th Floor, Hanzomon Bldg., 4 Kojimachi 1-chome, Chiyodaku, Tokyo, 102-0083, Japan
www.reynoldsmsolutions.com
1 Canada Square
London
E14 5AA
Tel: 0203 137 8405
0203 137 3085
Fax: 0203 137 3086
Website: www.rg-client.com
Email: [email protected]
210 Eleventh Ave, New York, NY 10001, USA
www.rhainesllc.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Spain
Spain
unauthorized subject
unauthorized subject
ww.cnmv.es
www.cnmv.es
Spain
Sweden
Netherlands
United
Kingdom
Sweden
unauthorized subject
unauthorized subject
unauthorized subject
www.cnmv.es
www.fi.se/warning
www.afm.nl/warningslists
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
Clone of FSA
Approved Individual
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1418
1419
Name
Ribin Price Securities
Rice Finance Company
www.cysec.gov.cy
unauthorized subject
www.fsa.gov.uk
Richard Davies Investors Limited
Marlborough Court
14–18 Holborn
London EC1N 2LE
Tel: 0044 (702) 407 0216
Website: www.rdirl.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Richard Ramsden
83 Princes Street, Edinburgh, Scotland EH2 2ER
[email protected]
201 Portage Avenue, 10th Floor, Winnipeg, Manitoba, R3B
3K6, Canada
www.richardsonconsultancy.com
21/F Seoul Finance Centre, Taepyeongno 1-ga, Jung-gu,
Seoul, Korea 100-768, South Korea
14th Floor 50 Broad Street, New York, N.Y. 1000
www.richmond-grant.us
32nd Floor Broadgate, Tower 201 Broadgate Court,
London EC1Y, United Kingdom
www.richmondlloyds.com
32nd Floor, Tower 42, Old Broad Street, City of London
EC2N 1HQ, United Kingdom
www.londonrpmltd.com
United
Kingdom
United
Kingdom
unauthorized person
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
unauthorized subject
www.fi.se
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Richardson Capital Group
Richmond Capital Management
Richmond Grant Security & Transfer
Inc.
Richmond Lloyds International
1426
Risk & Portfolio Management Ltd
1427
unauthorized subject
United
Kingdom
1423
1425
Detailed information
www.fsa.gov.uk
Centrum House
38 Queen Street
Glasgow
G1 3DX
Tel: 0141 416 0235, 0141 846 0289
Email address: [email protected]
1421
1424
Reason
unauthorized subject
Richard Adamson
1420
1422
Address
No. 45 Rockefeller Plaza, New York, NY 10111, USA
www.rubinprice.com
http://www.ricefinancecompany.com
Country
forwarding
warnings
United
Kingdom
Cyprus
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Ritter Group
1428
1429 RMN (Cyprus) Ltd
ROBERT GOLD IFA ASSOCIATES
(Clone of FSA Approved Individual)
may also use RG ASSOCIATES
1430
1431
1 Canada Square
London
E14 5AA
Tel: 0203 137 3085
Fax: 0203 137 3086
Website: www.robertgoldassociates.com
Email: [email protected]
Reason
unauthorized subject
Detailed information
www.fma.gv.at
Cyprus
United
Kingdom
unauthorized subject
unauthorized subject
Clone of FSA
Approved Individual
www.cysec.gov.cy
www.fsa.gov.uk
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
at [email protected].
Robertson Ellis
P:O:Box 44011, Seatle, Washington State, 98381 USA
Robinson and Schroder
26/28 Rue Edward Steichen,
2540 Luxembourg.
Tel: 08455280122 & 0035220881421
Fax: 0035220881422
Website: www.robinsonschroder.com
Robinson Franklin
Raffles Square Fuzhou Road / Xizang Road Middle
Portugal
Huangpo 200001, Shanghai, China
SK Building 99 Seorin-dong Jongno-gu Seoul Metropolitan,
South Korea
www.robinsonfranklin.com
1432
1433
Address
15th floor, Levinstein Tower
23 Menachem Begin Road
Tel-Aviv, 66183
Israel
Tel.: +972-3763-0637
Fax.: +972-3763-0638
International: +1-888-621-0790
www.rittergroup.com
[email protected]
[email protected]
Country
forwarding
warnings
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Apartado 5041, E-03186 Torrevieja, Spain
Country
forwarding
warnings
Austria
Austria
Austria
Reason
unauthorized subject
unauthorized subject
unauthorized subject
Detailed information
tel.no. +43 (0)124959-5106
tel.no. +43 (0)124959-5106
tel.no. +43 (0)124959-5106
Apartado 5041, E-03186 Torrevieja, Spain
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
Apartado 5041, E-03186 Torrevieja, Spain
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
Apartado 5041, E-03186 Torrevieja, Spain
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
25, rue Eugène Ruppert, L-2453 Luxembourg
www.roiet-trading.com
Luxemburg
unauthorized subject
www.cssf.lu
Ireland
unauthorized subject
www.financialregulator.ie
Sweden
unauthorized subject
www.fi.se/warning
Theodor-Huess-Allee 60, 60486 Frankfurt, Germany
Nybrogate 11, Stockholm, Sweden
Sweden
www.rothmancapital.com
Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150- Norway
0043, Japan
Austria
www.rothmanglobal.com
Level 8 St. James House, Danes Road, Manchester,
Norway
United Kingdom
www.rothmannoffshore
unauthorized subject
www.fi.se/warning
unauthorized subject
www.finanstilsynet.no
www.fma.at
unauthorized subject
www.finanstilsynet.no
No.
Name
1434 Rodeo Finanz & Treuhand Corp.
1435 Rodeo Privatkredit Cooperation
Rodeo Treuhand Gesellschaft,
1436
Finanzsanierung Absicherung
Rodeo Treuhand Gesellschaft,
1437 Risikofinanzierung, Finanz Sanierungen
Rodeo Treuhand Gesellschaft,
1438
Vermoegensverwaltung Entschuldung
Rodeo Treuhand Gesellschaft,
1439 Vermoegensverwaltung Entschuldung
Absicherung
Roiet Trading
1440
1441
1442
Rooney Gallagher Private Equity
Partners LLC (Hong Kong & Ireland
Ross-Parkinson
Rothman Capital
1443
Rothman Global
1444
Rothman Securities and Rothman
1445 Offshore
Address
Apartado 5041, E-03186 Torrevieja, Spain
Wickhams Cay, Road Town, Tortola, British Virgin Islands
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Rowe Allan Mergers and Acquisitions
Address
280 Trumbull Street
Hartford Connecticut 06103
Tel: 0018607267904
0018607606509
Website: www.roweallan.com
Email: [email protected]
ROYAL ALLIANCE (UK) GROUP
45 Athol Street, Douglas, Isle of Man IM1 1LB
Tel: 44 808 189 0331
Fax: 44 808 189 1413
E-mail: [email protected]
Website: www.royalallianceuk.com
Royal Savings & Loan Ekonomisk
förening
(registration number: 769615-7168
1446
1447
1448
1449 Ruben Katz Company Ltd
Russell Acquisition Group
1450
1451 Russell Acquisition Group
Russell Merger Group
1452
1453 RVC Markets
1454 Rwanda Cashvzw/asbl
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Portugal
unauthorized subject
at [email protected].
Sweden
unauthorized subject
was forced into
Bankruptcy
27 October 2011
unauthorized subject
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.financialregulator.ie
www.fsa.gov.uk
www-landbankinvest.com
Cyprus
22nd Fl., Nittochi Nishi Shinjuku Bldg. 160-0023 10-1, Nishi Sweden
Shinjuku 6-chome, Shinjuku-ku, Tokyo, Japan.
www.russellacqgroup.com
Japan
Shin Ochanomizu Urban Trinity 2, Kanda Surugadai 3chome, Chiyoda-ku, Tokyo 101-0062, Japan
www.russell-mg.com
Ireland
Ireland
United
Kingdom
1090 Brissels, Duysburghstraat 60, Postal box 22
Belgium
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fi.se
www.cbfa.be
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Ryan & Mahar LLC,
1455
Ryhat Establishment Investment Trust
1456 (or Ryhat-Trust, Ryhat Investment
Banking),
Sakuma Group
1457
Address
Columbia Center,
701 Fifth Avenue,
Seattle,
WA 98104-USA
Tel: 012064530034/0014048915588
Fax: 012066918359
Website: www.ryanmaharllc.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
6-69, route d'Esch, L-1470 Luxembourg
http://bizprlog.org/Ryhattrust, www.ryhattrust.com
Luxemburg
unauthorized subject
www.cssf.lu
105 Kowa Shiba Park Bldg, 3 F1-1-11 Shiba Park, Minatoku, Tokyo, Japan
Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo
102-0083, Japan
USA
Sweden
unauthorized subject
www.fi.se/warning
Austria
Denmark
Ireland
unauthorized subject
unauthorized subject
t.č. +43 (0)124959-5106
t.č. +45 (0)33 55 82 20
www.financialregulator.ie
WATER STREET, NEW YORK CITY
UNITED STATES OF AMERICA
Phone- 001-718-554-5383
Fax-001-718-228-2409
Website: http://www.salamonandtateconsulting.com
Email: [email protected]
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Adam Clayton Powell Jr Blvd Ste 602, New York, NY 10027- United
4976
Kingdom
Samuel Matthew and John Williams of Emails: [email protected]
United
ING Investment Management (Clone of [email protected]
Kingdom
1462 FSA Authorised firm)
Tel: 0207 193 9858
Fax: 0207 691 9306
unauthorized subject
www.fsa.gov.uk
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
1458
1459
Sakura Financial Group
Salamon & Tate Consulting Group
SALAMON AND TATE CONSULTING
1460
1461
SALOMON AND ASSOCIATES
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Sandford Hale & Co.
1463
United
Kingdom
Sanford C. Bernstein Limited
www.scbernstein.co.uk
United
1465
Kingdom
Santander Investment Securities Group Level 26 Cerulean Tower, 26-1 Sakuragaoga-cho, Shibuya- Sweden
ku, 150-8512 Tokyo, Japan
18th Floor, Grand Central Tower, New York, NY 10023,
1466
USA
Oriental Plaza, Beijing, Level 32, Tower 2, East Chang An
Avenue, Dong Cheng District, Beijing China 100738
P.R.C., China
Santiago Mergers and Acquisitions
Apoquindo Avenue 4800
United
Las condes
Kingdom
Santiago, Chile
Tel: 0056 2897 3408
1467
Fax: 0056 2299 7577
Website: www.santiagomna.com
Email: [email protected]
1464
Sanford C. Bernstein & Co
Address
80 Broad Street, 22-25 Floors
New York,
NY 10004
USA
Tel: 0016465028346
Fax: 0016462249882
E-Mail: [email protected]
Website: www.sandford-hale.com
www.scbernstein.co.uk
Country
forwarding
warnings
United
Kingdom
Sanwa Holdings
1468
6 Shenton Way #11-03, DBS Building Tower 2, Singapore Sweden
068809.
www.sanwaholdings.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Sanwa Holdings
1469
1470
Satellite Acquisition Corp.
Satori Group
1471
1472 Savoy Advisors LLC
Savoy Investment Management (Clone
of FSA authorised firm)
1473
SBI International Law Associates
Mergers & Acquisitions
1475 Scandinavian Trade
Scorpion Performance Inc.
1476
1474
1477
1478
1479
1480
Scott and Fisher Consultancy Limited
(USA)
Scott Fitzgerald Group
Scott Thomas Wealth Advisory
SCOTTSDALE CAPITAL
CONSULTANCY SERVICES
Address
6 Shenton Way #11-03
DBS Building Tower 2
Singapore 068809
Tel: +65 6491 5722
Fax: +65 6491 5720
Email: [email protected]
http://www.sanwaholdings.com/
3421 Evergreen Point Road, Medina WA 98039,
www.satacqcorp.com
Shinjuku Park Tower 14th Floor, 3-7-1 Nishi-Shinjuku, 1631030 Tokyo, Japan
www.satori-group.net
3584 Highway 31 South, 109 Pelham, AL 35124, USA
Tel:
0845 5280 1123, 0203 514 2976
Fax:
0845 5280 1132, 0203 514 2719
Email: [email protected],
[email protected]
[email protected],
[email protected]
277 Park Avenue, 11th Floor, New York City, New York
10172, USA
3000 SW 4th Avenue, Fort Lauderdale, FL 33315
JLP Amang, Kuala Lumpur, Malaysia and Taipei 101 Tower
Hsin-YI road Taipei Taiwan
Rue Du Consceil 24, Geneve, Switzerland
www.scottthomas.net
35-D SW Varvick Street, New York, USA
www.scottsdaleconsultancy.com
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
tel.no. +43 (0)124959-5106
unauthorized subject
www.fi.se/warning
unauthorized subject
www.finanstilsynet.no
Norway
United
Kingdom
unauthorized subject
unauthorized subject
www.kredittilsynet.no
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Sweden
Sweden
Belgium
France
Ireland
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fi.se/warning
Phone +33(0)1 5345 6031
unauthorized subject
Central Bank of Ireland
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Sweden
Norway
Norway
United
Kingdom
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Seagram Services Ltd
1481
SEARCH PROFIT CORPORATION,
S.L.U.
1482
1483
1484
Secure Insurance
Securities Group Singapore
Securities Trading Board
1485
Securities Trading Commission
Address
374 Park Avenue
New York
NY
10152
USA
and
2 International Finance Centre
Level 31
8 Financial Street
Central Hong Kong
China
C/ Marie Curie, 5 1º
Edificio Alfa
Parque empresarial Rivas Futura
Rivas-Vaciamadrid
28521 - Madrid
The Grace Building, 32nd Floor, 1114 Avenue of the
Americas, New York, 10036-7798, USA
www.secgroupsing.com
842 Vermont Avenue NW Washington DC, USAwebsite
http://gov.sectb.org/.
1110 Connecticut Ave North West
Washington DC 20036
1486
USA
Tel: +1 202 204 2310
www.gov.sectco.us
1487 Seisma Oil Research LLC
433 Plaza Real, Boca Raton, FL 33432 USA
Select Capital Management Corporation 2-18-6 Nihonbashi, Cyuo-ku Tokyo, 103-0027 Japan
1488
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
United
Kingdom
Norway
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
Norway
Jersey
United
Kingdom
United
Kingdom
unauthorized subject
www.finanstilsynet.no
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Norway
Netherlands
unauthorized subject
unauthorized subject
www.kredittilsynet.no
Phone +31 0 205535 535
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Country
forwarding
No.
Name
Address
warnings
Sentinel Trading Investment
Victoria, Mahe Island, Seychelles, 14 Rue du Rhone, Suite Sweden
1489
Corporation
39, CH-1204 Geneva, Switzerland
SERVICIOS EUROBROKER 2001, S.L.
Spain
1490
SFVA Finance
1493
unauthorized subject
www.cnmv.es
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Norway
unauthorized subject
www.finanstilsynet.no
France
unauthorized subject
t. č. +33 (0)1 5345 6031
Sweden
unauthorized subject
www.fi.se/warning
Shaffer-Lienhard
International Business Plaza, 14 Austin Road West,
Kowloon 2166 8010, Hong Kong S.A.R.
is www.shaffer-lienhard.com
Denmark
unauthorized subject
www.finanstilsynet.dk
Shaffer-Lienhard
International Business Plaza, 14 Austin Road West,
Kowloon 2166 8010, Hong Kong S.A.R.
www.shaffer-lienhard.com
Denmark
unauthorized subjec
www.finanstilsynet.dk
SGS Consultants Limited
SGS Consultants Limited
Shaffer Lienhard
1494
Shaffer Lienhard
1495
1496
1497
Detailed information
www.fi.se/warning
14 Portland Terrace, Southampton, Hampshire SO14 7ED,
United Kingdom
www.sfvafinance.com
One Pacific Place, 88 Queensway, Hong kong
www.sgsconsultantslimited.com
One Pacific Place, 88 Queensway, Hong Kong
www.sgsconsultantslimited.com.
International Business Plaza, 14 Austin Road West,
Kowloon, 2166
8010, Hong Kong S.A.R
http://www.shaffer-lienhard.com/.
address: International Business Plaza, 14 Austin Road
West, Kowloon 2166 8010, Hong Kong S.A.R.
www.shaffer-lienhard.com
Beijing Mercan-tile Exchange, BEMEX,
Beijing Yintai Centre, 187 Henghui East Road, Chaoyang,
100113, Beijing, China.
www.bemex.org
1491
1492
Reason
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
unauthorized subject
www.kredittilsynet.no
Norway
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.cbfa.be
Belgium
Sweden
unauthorized subject
www.fi.se
Norway
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fi.se/warning
No 82, Jln 3/62a, Bandar Menjalara, 52200 Kuala Lampur
Sweden
unauthorized subject
www.fi.se/warning
Silicon Valley Financial Incorporated
78 South Wacker Drive, Suite 3495, Chicago, IL 60606,
www.svfi.net
Sweden
unauthorized subject
www.fi.se/warning
Cyprus
Netherlands
unauthorized subject
unauthorized subject
www.cysec.gov.cy
Phone+31 0 205535 535
Shenzen Commodity Exchange
1500
Shigesuke
1501
Shinsei Associates
1502
Shore Capital Ventures
Schapiro Global Inc.
1504
Sidstone, Gray & Partners
1505
1508
Norway
Signature Consulting. Ltd.
Shengtai Group
1499
1507
Detailed information
www.dfsa.dk
Signature Consulting Ltd
1498
1506
Reason
unauthorized subject
Address
Level 3, 17 Square Edouard VII, Paris 75009, France
15/F Millenium City 5, 418 Kwun Tong Rd., Kwun Tong,
Hong Kong
www.shearingroup.com
Level 10, World-Wide House, 19 Des Voeux Road Central,
Hong Kong
www.shengtai-group.com.
Huameiju Business Centre, Xixiang Avenue 113, Bao´an,
Shenzen, Guandong, China
www.szcox.org
Nihon Seimei Sakaisuji HonmachiBuilding, 8-12 Honmachi
1 chome, Chuo Ku, Osaka 541-0053, Japan
www.shigesuke.net
7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome,
Minato-ku, Tokyo 105-0001, Japan.
www.shinseiassociates.com
Onfem Tower, 29 Wyndham Street, Hong Kong
www.shorecapitalventures.com
2 International Finance Centre, 8 Finance Street, Central
Hong Kong, Hong Kong
www.schapiroglobal.com
Suite 42, 1 Cedar St. At Pearl Street, NW Corner 100
Maiden Lane, NY 10038, USA
www.sidstonegray.com
No.82, Jln 3/62a, Bandar Menjalara, 52200 Kuala Lumpur
Shearin Group
1503
Country
forwarding
warnings
Denmark
1509 Silicon Valley Financial Markets Ltd
1510 Silverstone Management S.L.
Avda. Diagonal 618-9A-B, 08021 Barcelona, Spain
Sweden
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Sweden
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1511
1512
Name
Silverthorne and Chambers Inc. S & C
Simray ASA (My Private Trade)
SINO FINANCIAL
1513
1514
Sirius Financial
1515 Sirius Holdings
1516 Sky Forex / Sky Forex Europe
Smart Stuff Ltd
1517
1518 Smart Trade FX
Smith and Lockhart Associates
1519
Smith and Olsson
1520
Address
14 Robinson Road No. 13-00, Far East Finance Building,
Singapore 048545
Postboks 337, 3101 Tonsberg, Norway
www.myprivatetrade.com
China World Trade Center,
Tower 1, Suite 2171,
Beijing,
People Republic of China, 100004
Phone: +861084053513
Website: www.sfltdcn.com
Email: [email protected]
Fl. 8 Suite 166, Santa Engracia 39, 28010 Madrid
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
Norway
Slovenia
United
Kingdom
unauthorized subject
www.kredittilsynet.no
www.a-tvp.si
www.fsa.gov.uk
Norway
Austria
Norway
Malta
United
Kingdom
Cyprus
United
Kingdom
unauthorized subject
155 N.Wacker Drive, Suite 3600, Chicago, Illinois 60606,
United
USA
Kingdom
1 Canada Square, Canary Wharf, London E14 5AL, United
Kingdom
www.smithandolsson.com
Suite 166, Santa Engracia 38, 28010 Madrid, Spain
www.skyforex.org.uk
150 Cheapside, London EC2R 6ET
www.smart-invest.co.uk
www.smarttradefx.com
47C Broad Street,
New York,
NY 10004.
Tel: 0019145172749
Fax: 0019145602286
Website: www.smithlockhartassociates.com
Email: [email protected]
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
Phone +47 22939800 Phone
+43(0)1/24959-5160
www.kredittilsynet.no
www.mfsa.com.mt
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Smith Shore & Jenkins, LLC
1521
SMO Fitzgerald Global
1522
Sol Transfer Agents LLC
1523
Solaris Financial Solutions
1524
1525
Solaris Global Partners
Solomon-Layb
1526
1527
Sompo Capital Group
Source One International
1528
South Atlantic Securities
1529
South Korea Derivates Exchange
1530 (SKDEX)
1531
Southern Cross Mergers and
Acquisitions
Address
180 Berkeley Street, John Hancoc Building 32th Floor,
Boston, MA 02116, USA
www.smithsj.com
Sumitomo-Shoji Kanda-Izumi-cho Bldg., 9F, 1-13, KandaIzumi-cho, Chiyoda-ku, Tokyo 101-0024, Japan.
www.smo-fitzgeraldglobal.com
Paseo de La Reforma 500, Miguel Hidalgo, Ciudad de
Mexico, DF Mexico
www.soltsfr.com
4-1 Ohashi Bldg. 33-1, Harumi-cho 1-chome, Fuchu,
Tokyo, Japan
www.solaris-fs.com
LG Smith Blvd 160 Ste 304-305, Oranjestad, Aruba, Dutch
Caribbean
Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4
Kojimachi Tokyo, 102-0083Japan
www.solomon-layb.com
The Center, 99 Queen ´s Road Central, Hong Kong
www.sompocapitalgroup.com
Level 11, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama,
Minato-Ku, Tokyo 107-0061, Japan
www.sourceoneinternational.com
201 West 89th Street New York, NY USA 10024.
www.southatlanticsecurities.com
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
Norway
unauthorized subject
www.fi.se/warning
Sweden
Denmark
unauthorized subject
www.finanstilsynet.dk
Norway
unauthorized subject
www.finanstilsynet.no
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Sweden
United
Kingdom
Sweden
unauthorized subject
www.fi.se
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning Phone
+33 0 1 5345 6031
New Millennium Hall, 50 Yonsei-ro, Seodaemun-gu, Seoul
120-749, Korea
www.skdex.org
Southern Cross Investments US 5851 Two Notch Road,
Sweden
North East Columbus, Columbia, SC 29223-7222 Southern France
Cross Investments ASIA, 120357 Queen's Road, Central
Hong Kong, HK
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Sovereign Wealth Capital
1532
1533
1534
Space Energy AG
Specialist Investor Funds
Spencer and Richardson Financial
1535
Springhill Group
1536
SPS Investment Products
1537
SPS Investments GmbH
1538
SQUARE MILE FINANCE
1539
Address
Ochanomizu Center Building, 3-2-12 Hongo, 113-0033
Bunkyo-ku, Tokyo, Japan
www.sovereignwealthcapital.com
Spital Strasse 5, 8200, Schaffhausen, Switzerland
www.spaceenergy.com
78 Sir John Rogersons Quay, Dublin 2, Ireland
www.specialistinvestorfunds.com
11th Fl., KDX Roppongi 228 Bldg. 2-8, Roppongi 2-chome,
Minato-ku, Tokyo 106-0032,
Japan.
www.spencerrichardsonfin.com
22F S-Tower, 116 Shinmunno 1-ga
Jongno-gu, Seoul, South Korea
Tel: 008227672721
Website: www.springhillgroup.com
Email:[email protected]
Grobe Bleichen 21
Hamburg 20354
Germany
www.investwithsps.com
SPS Investments GmbH
157 St John Street
London EC1V 4PW
www.investwithsps.com
100 Newgate Street
London
EC1A 7
United Kingdom
Website: www.squaremilefinance.com
Country
forwarding
warnings
Norway
Reason
unauthorized subject
Detailed information
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Square Mile Financial
1540
SQUARE MILE FINANCIAL (Clone of
previously FSA registered firm)
1541
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
146 SMITHFIELD STREET
LONDON
EC1A 9BB
Tel: 0203 514 9301
Fax: 0203 514 9302
www.squaremilefinancial.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
St James Partners
39 St James´s Street, London, SW1A 1JD
www.sjassetmanagement.co.uk
Rue Philippe-Plantamour 16
1201 Geneva
Switzerland
Tel: +41 22 5481 403
www.stjwealth.com
51 Great Tower Street, London E3R 5AQ, United Kingdom
www.stalmannclark.com
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
St. James Wealth
1544
Stalmann Clark
1545
Standard Hokori Group
1546
Reason
unauthorized subject
SQUARE MILE FINANCIAL
1542
1543
Address
146 SMITHFIELD STREET
LONDON EC1A 9BB
Tel: 0203 514 9301
Fax: 0203 514 9302
www.squaremilefinancial.com
Address: Times square 2nd floor
160 queen Victoria Street
London EC4V 4BD
Tel: 0203 514 1357
Fax: 0203 318 4098
Website: www.squaremilefinancial.co.uk
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
64-76 Liberty St. 12th Fl., New York, USA
Marianskolazenska 11-13, Karlovarsky, Czech Republic
www.standardhokori.com
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1547
Stanford Crown Partners
1548
1549 Stanford Group Associates
Stanley Clifford
1550
Stanley Clifford and Korea Mercantile
1551 Exchange / KRMEX
1552
1553
1554
Stansell Corporate Services LLC
Stansfield Private Equity Ltd.
Stanton Goldstein
Starke Wealth Management
1555
Address
Standford Long
17 Moorgate, London EC2R 6PH, United Kingdom
1 Ebarcadero Centre, San Francisco, California, 94111
USA
Reinerstwiete 22, Hamburg 20457, Germany
www.stanfordcroewn.com
Wheaton IL 60187 Italy www.stanfordga.com
Hennan West Tower, 19/B Luard Road, Wanchai, Hong
Kong
www.stanley-clifford.com
Hennan West Tower, 19/B Luard Road, Wanchai, Hong
Kong
www.stanley-clifford.com
1617 Boylston Ave, Seattle, WA 98101, USA
www.stansellcs.com
383 Madison Avenue, New York USA
www.stansfieldltd.com
Frederiklaan 165, The Hague, Zuid-Holland 7245-AK
www.stantongoldstein
Starke Wealth Management
Schiller Strasse 27-29
60313 Frankfurt
Germany
and
Blue Anchor House
16 Kyriakou Matsi Avenue
Nicosia 1082
Cyprus
www.starkewealth.com
Country
forwarding
warnings
United
Kingdom
United
Kingdom
Sweden
Austria
Sweden
United
Kingdom
Sweden
United
Kingdom
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fma.gv.at
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
State Street Advisory
1556
Stateside Capital, LLC
1557
1558
1559
1560
1561
1562
1563
Stein and Fitzgerald Associates
Steinberg Management
Steiner Haus Capital
Steinman Brooks & Associates
Stensland Pensjon og FinansANS
Stephenson Moore Consulting
Sterling Finance AG
1564
1565
1566
1567
Address
49 Avenue J.F. Kennedy, Luxembourg L-1855
23 Austin Friars, City of London EC2N 2QP, United
Kingdom
Suite 1500, 41 Park Avenue, NY 10022, New York, USA
www.statestreetadvisory.com
247 Penn Plaza, New York, NY 10001.
www.statesidecapital.us
following address:
rue du Congrés 35, 1000 Brussels, Belgium, avenue
Louise 304, 1050 Brussels, Belgium
Stern Fisher Edwards Corp.
STJ ADVISORS
Stock Trading One Spain, S.L.
An Der Walle, Frankfurt, Germany 60322
www.steinerhousecapital.com
Avenue Business Center, 500 N. Michigan AVE, Chicago,
IL 60611
Nórsko
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Belgium
unauthorized subject
www.cbfa.be
United
Kingdom
United
Kingdom
Sweden
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Czech
Republic
United
Kingdom
United
Kingdom
unauthorized subject
www.cnb.cz
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
Rue de Romont 14
CH-1700 Fribourg
Switzerland
Website: http://sterlingfinanceltd.com
Email: [email protected]
51 W. 52nd St., 18th Floor, New York, NY 10019
Sweden
www.sfedwardscorp.com
2081446257 United
Kingdom
Flor Baja, 11-Piso8, 28013 Madrid, Spain
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Stockbridge Partners
Stockholm Savings & Loan Ek. för.
Address
Yasuda Seimei Building, Floor 18, 3-3-20 Umeda, Osaka,
Osaka-fu, Japan
www.stockbridgepartners.com
(registration number: 769614-9462)
Stockton s.r.o.
Habrovky 247/11, 14000 Praha 4, Czech Republic
Stonewell Finance
Solna Strandväg 78, 171 54 Solna, Stockholm, Sweden
1568
Country
forwarding
warnings
Autria
Sweden
1569
1570
1571
1572
S-TRADE INVERSIONES
Sweden
Netherlands
Sweden,
Ireland
Spain
Strategic Capital Partners Portfolio
Management AG
Strategic Carbon Solutions Ltd.
Sweden
Slovenia
Sweden
Ramistrasse 8, Postfach 166, CH-8024, Zurich,
Switzerland
66 New Street, 4th Floor, Birmingham, B2 4DU, United
1574
Kingdom.
www.strategiccarbonsolutions.com
Strategic Investment Group, SIG
Paseo San Juan 139-141, Suite 127, Barcelona, 08011
1575
Spain
www.sigadvisor.com
Strategic Management, Inc.(and
5F Denshi Kaikan, 6-8-7 Nishitenma, Kita-ku, 530-0047,
International Bureau Trade Commission Osaka, Japan
-a fictitious organization)
www.strategicmgmtinc.com
(2nd Floor, Nagata-Cho Palace Side Building, 11-4,
1576
Nagata-cho 1-chome, Chiyoda-ku, Tokyo 100-0014 Japan.
www.interbtc.org)
1573
Sweden
Sweden
Reason
unauthorized subject
Detailed information
t. č. +43 (0)1/24 959 5106
unauthorized subject
was forced into
Bankruptcy
11 March 2010
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
unauthorized subject
www.fi.se/warning
www.afm.nl/english.htm
www.fi.se/warning ,
www.financialregulator.ie
www.cnmv.es
unauthorized subject
www.fi.se/warning,
www.atvp.si
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Strategic Private Equity Group
1577
1578
Strategic Private Equity LLC
Strauss Capital Consultants
1579
1580
Strauss Jones
Sullivan Investment Group
1581
Address
New York Offices:
Madison Anvenue Center
590 Madison Avenue
New York City, NY 10022 USA
Phone: +1-212-656-1419
Fax: +1-212-409-8937
www.strategicpeg.com
[email protected]
[email protected]
Hong Kong Offices:
Hong Kong Shui On Centre
6-8 Harbour Road
Wanchai
Hong Kong
Phone: 852-3017-3898
Fax: 852-3014-7839
www.strategicpeg.com
[email protected]
103E 29th Street, New York, NY 10016, USA
www.strategicpe.com
Mainzer Landstraße 46
60325 Frankfurt am Main
Germany
Tel: +49 69222259999
Fax: +49 69222259998
www.strausscapitalconsultants.com
Badenstrasse 414, 8004 Zurich, Switzerland
www.straussjones.com
Stephanie Square, Avenue Louise65, 1050 Brussels,
Belgium
www.sullivaninvestments.co.uk
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
t. č. +43 (0)1/24 959 5106
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
Belgium
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
SUMITOMO Financial Corporation
1582
1583
Sumitomo Global
Sumitomo Global
1584
1585
1586
Summers Associates Ltd
Summit Capital Management
1587 Summit Empire Group Limited
Summit Holdings
1588
Sunline Transfer Agents (or Sun Line
Transfer Agents)
1589
Sunway International
1590
Sun-Wealth Corporate Finance
1591
1592
SUSTAINABLE INVESTMENTS
Address
1-8-3 Marinouchi, Chiyoda-ku, Tokyo, 1006601, Japan
5-34, Kitahama 4-Chome, Chuo-Ku, Osaka, 541-0041,
Japan
335 Madison Avenue, 838 New York 10017, USA
www.sumifincorp.com
Sumitomo-Shoji Kanda-Izumi-cho Bldg,. 9F, 1-13, KandaIzumi-cho, Chiyoda-ki, Tokyo 101-0024
Sumitomo-Shoji Kanda-Izumi-cho Bldg., 9F, 1-13, KandaIzumi-cho, Chiyoda-ku, Tokyo 101-0024, Japan.
www.sumitomoglobal.com
288-289 Mott Street, New York 10013-5003, USA
www.summersassociatesltd.com
Brussels Park Atrium, Kolonienstraat/ rue des Colonies 11,
1000 Brussels, Belgium
38 Wood Avenue South, Suite 500, Iselin, NJ 08830
Av. De Frontenex 6, CH-1207 Geneva, Switzerland
www.summitholdings.info
Paseo De La Reforma 500
Miguel Hidalgo
Ciudad De Mexico DF
Mexico
Tel: +52 555 017 1894
Website:
www.sunlinetransfer.com
20/F Tung Wai Commercial Building, 109-111 Gloucester
Road, Wan Chai, Hong Kong
www.sunway-international.com.
24th Floor, Tokyo Opera City Tower 20-2, Nishi Shinjuku 3chome Shinjuku-ku, Tokyo, Japan
www.sun-wealthcorpo.com
www.sustainable-investments.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Norway
unauthorized subject
www.kredittilsynet.no
Denmark
unauthorized subject
www.finanstilsynet.dk
United
Kingdom
Belgium
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
Sweden
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Spain
unauthorized subject
www.cnmv.es
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
SVL Asset Management
1593
SVM Ireland
1594
Swan Asset Management
1595
Swift Securities Limited
1596
Swiss & Global Asset Management
1597
Address
155 N Wacker Drive,
4700606060
Chicago, IL
6 Georges's Dock
LFSC Dublin 1
www.svmireland.com
UK Office:
Southernhay Gardens
Exeter, Devon
EX1 1PJ
Tel: 0845 123 8014
Fax: 0845 123 8015
German Office:
Lyoner Strasse, 14
Frankfurt am Main
60528 Germany
Tel: +49 69 2222 5292
www.swanmgmt.com
Third Avenue, Suite 1601, WA, USA
207 Hastings Street West, Vancouver BC
www.swiftsecuritiesltd.com
Tel: +44 (0)207 099 3237
Fax: +44 (0)203 318 1049
Website: www.swissglobalonline.com
Email: [email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Belgium
unauthorized subject
www.cbfa.be
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
SWISS FINANCIAL RESEARCH AG
1598
Swiss Financial Service
1599
Swiss Financial Services Inc.
1600
1601
1602
SWISS GLOBAL ASSET
MANAGEMENT
SWISS GROUP & Partners
1603 Swiss Invest Ltd
1604 Swiss Key Equity Consult AG
Address
bEDERSTRASSE 104,
8002 ZURICH
SWITZERLAND
AND
M VACLAVSKE NAMESTI
PRAGUE
CZECH REPUBLIC
103 110 00
PRAHA 1
AND
SPLUGENSTRASSE 9,
8002 ZURICH
SWITZERLAND
Bahnfosstrasse 26,
8001 Zurich,
Switzerland
Phone: 00414350803 99 and 0041435080962
http://swissfinancialservice.net
Email: [email protected];
[email protected];
[email protected]
Bahnfosstrasse 26, 8001 Zurich, Switzerland.
Bahnhofstrasse 26, 8001 Zurich, Schweiz
www.swissfinancialservice.net
Tel: +44 0 203 514 9941
+352 27860149
+41 435080346
www.sgamldn.com
Seestrasse 178, 8802 Kilchberg, Switzerland
www.swissgroup-partner.ch
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
Slovenia
Ireland
unauthorized subject
unauthorized subject
www.a-tvp.si
www.financialregulator.ie
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
SWISS8, S.A.
1605
1606 Sycamore Options Ltd
Syndicated Wealth Group
1607
Synergy Capital, LLC
1608
Synergy Europe
1609
Taft MacKenzie Ventures
1610
1611 Talisman Finance
Address
C/Pueblo Nuevo, La Riviera, Of. 3, Ciudad de Panamá,
Panama
www.swiss8.com
www.sycamoreoptions.com
200 West Street,
New York City, NY 10282,
New York
USA
Phone: +212-202-4417
Fax: +212-937-2314
www.syndicatedwealth.com
[email protected]
62 Broadway
Suite 1110, New York
New York, 10006
USA
Telephone: +1 212 784 6708
Fax +1 212 208 2480
www.synergycap.net
Chemin Des Papillons 4,
1216Cointrin
Geneva
Switzerland
and
16 Old Queen Street
London
SW1H 9HP
Email: www.synergyeurope.eu
18th Floor, West Wing, 1 Riverside Plaza, Columbus, OH
43215.
www.taftmackenzie.com
USA
Country
forwarding
warnings
Spain
Reason
unauthorized subject
Detailed information
www.cnmv.es
Cyprus
Austria
unauthorized subject
unauthorized subject
www.cysec.gov.cy
www.fma.gv.at
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subjec
www.fi.se/warning
Ireland
unauthorized subject
www.financialregulator.ie
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1612 Tarlin Investment Management
Tate and Carver Consultancy Group
1613
1614
Taurus Finans AS
1615 Tavistock Capital Markets (TCM)
1616
Taylor Mannis
1617 Telemar Data Management (Brazil)
Temple Nugent Capital Management /
1618
Temple and Nugent Investments
TGF Management Services Ltd.
1619
1620
Thatcher & Thatcher Ltd
The Best Investment Guide
1621
The Bradford Group
1622
Address
168AD 27th Street,
Near Hudson River,
New York,
NY 10011.
Tel: 1 518 2070179
Fax: 1 518 9359241
Website: www.tatecarverconsultancy.com
Email: [email protected]
Olav vs gate 5, 0161 Oslo, Norway
www.taurusfinans.no
18 Avenue Louis - Casai, 1209 Geneva, Switzerland
Melbourne Tower
1511 3rd avenue
Seattle WA
USA
98101
www.taylormannis.com
Rue Abbe Cuypers 3, Brussels, Belgium 1040
www.templenugent.com
21/F. ICBC Tower, City Bank Plaza, 3 Garden Road,
Central Hong Kong
1738 GT, Cayman Corporate Center, Grand Cayman,
Cayman Islands, www.thatcherltd.com
59 Thomas Street, Manchester M4 1NA, United Kingdom
www.2013bestinvest.com
60 Albert St. Singapore 189969
T: 0065 3158 2525
: www.bradford-grp.com
Country
forwarding
warnings
Slovenia
United
Kingdom
Reason
unauthorized subject
unauthorized subject
Detailed information
www.a-tvp.si
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Sweden
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
United
Kingdom
Ireland
United
Kingdom
Netherlands
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.fsa.gov.uk
unauthorized subject
Phone +31 0 205535 535
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
The Celtic Group LLC (Ireland) / Celtic
Finance Group / Celtic Finance Brokers
1623
and Cead Mile Failte Finance Services
Reason
unauthorized subject
Detailed information
Central Bank of Ireland
The Clayton Group
Albert Complex
60 Albert Complex
Singapore 189969
Tel: 0065 3158 2083
Website: www.theclaytongrp.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
The Kronos Group
Chinese Resources Building, 26 Harbour Road, Wan Chai, Norway
Hong Kong
www.thekronosgroup.com
Rue Du Mont Blanc
United
1201
Kingdom
Geneva
Switzerland
www.thelightmanassociates.com
Malta
Malta
275 Seventh Avenue, New York, NY 10001, USA
United
www.themasonscorp.com
Kingdom
Ireland
Ireland
Germany
Ireland
Caffamacherreihe 15,
United
20355 Hamburg,
Kingdom
Germany
Tel: +44845 528 0031
Fax: +44845 528 0032
Website: www.pinnaclefgroup.com
www.roiet-trading.com
Spain
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.mfsa.com.mt
www.mfsa.com.mt
www.fsa.gov.uk
unauthorized subject
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
1624
1625
The Lightman Associates
1626
1627 The Malta International Art Fund Ltd.
1628 The Malta International Art Fund Ltd.
The Masons Corporation
1629
1630 The Morgan Stern Group
1631 The Pinnacle Group
The Pinnacle Group
1632
1633
Address
Country
forwarding
warnings
Ireland
THE ROIET TRADING
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1634
1635
1636
1637
The Sherwood Corporation
The Tyler Group
The Universal Liberty Express
Bank
The Wallstreet M&A Group
The Woo Group
1638
1639
Thmpson Gerrard
THOMAS ANDERSON ADVISORY
91 HUDSON STREET
5TH FLOOR
NEW YORK CITY
NEW YORK 10013
UNITED STATES
www.thomasandersonadvisory.com
THOMAS CAPITAL
1 Canada Square, Canary Wharf, London E14 5AA, United
Kingdom
Mariahilfer Strasse 121, B/4 floor, 1060 Vienna, Austria
www.thomas-cap.com
8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki,
Chiyoda-ku, Tokyo, 100-6010, Japan
305a, M.G.
Building, 150 Amorsolo St., Legaspi Village, 1230 Makati
City, Philippines
7 King William St,
London,
EC4N 7DA.
Tel: 08456861766
1640
1641
Thomas Castle Management
1642
Thompson Associates
1643
Address
Shinjuku Monolith Bldg. 2-3-1 Nishi-Shinjuku-Shinjukuku,163-0907 Tokyo, Japan and
210 E Capitol St, Jackson, MS 39201 USA
Barcelona, L´Hospitalet de Llobregat, Plaza Europa 9-11,
08908, Torre Inbisa Plaza Europa, Spain
24, Rue Joseph II, 1000 Brussels
Belgium
721 5th Avenue, New York 10022, USA
www.wstreetdrp.com
Two International Centre, 8 Finance Street, Central, Hong
Kong
www.thewoogroup.com
Canada Square, Floor 17, Canary Wharf, London E14 5AP
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.kredittilsynet.no
Norway
Belgium
unauthorized subject
www.cbfa.be
Belgium
unauthorized subject
[email protected]
Norway
unauthorized subject
www.finanstilsynet.no
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Denmark
Norway
unauthorized subject
www.dfsa.dk
www.kredittilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1644
Name
Thomson McKinnon Capital Corp.
Address
641 Lexington Avenue 30th Floor, N.Y. 10022 New York.
Tiger Consultants
Westmead House
123 Westmead Road
Sutton
Surrey SM1 4JH
UK
Tel: 0203 432 2216
Fax: 0203 411 0424
Titan Invest PLC
Thames House Portsmouth Road
Esher
Surrey KT109AD
United Kingdom
www.titan-invest.com
E-Mail: [email protected]
Tel.: +44-203 41118 42
Fax: +44-2031630910
Titan Trading Group
New York 10005
www.titantradinggroup.com
1380 Broadway, New York 10001, USA
1645
1646
1647
1648
Titan Worldwide Recovery
TJB Trading
1649
1650
TL Mallen LLC
1651 Token Financial (USA)
Tortola Capital
1652
Thurgauerstrasse 40, Zurich, CH-8050, Switzerland
Level 24, Towet 3, China Central Place, 77 Jianguo Road,
Chaoyang District, Beijing, 100025, China
250 West 57th, New York, NY 10107, USA
www.tlmallen.com
PO Box 2396, Road Town, Virgin Islands
Dépulet, Gábor Dénes 1117 Budapest, Hungary
www.tortolacapital.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
United
Kingdom
unauthorized subject
(may also be using
the name of Tiger
Investing)
www.fsa.gov.uk
Austria
Italy
unauthorized subject
tel.no. +43 (0)124959-5106
tel.no. +39 06 84 77 277
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.cbfa.be
www.fma.at
Sweden
United
Kingdom
Belgium
United
Kingdom
Ireland
Belgium
Austria
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Address
Touch Financial
Country
forwarding
warnings
United
Kingdom
1653
Toy Securities
1654
TPG Securities
1655
1656
Trade4Profit BVBA/SPRL
1657 TRADEFOREX.EU
TradeLikeTom
1658
1659
1660
1661
1662
Reason
Detailed information
unauthorized subject www.fsa.gov.uk
The organisation is
also using a similar
name to a
previously FSA
registered firm, Touch
Financial Services Ltd
442805. This firm is
no longer trading.
18th Floor, Shiroyama Trust Tower, 3-1, Toranomon 4chome, Minato-ku, Tokyo ZIP 105-6025, Japan
www.toysec.com
TPG Securities
9 Paradeplatz
Zurich
8001
Switzerland
www.tpgsecurities.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
8 Diamantstraat, Box 358, 2200 Herentals, Belgium
www.trade4profit.nl
www.tradeforex.eu
website www.tradeliketom.com
Belgium
unauthorized subject
www.cbfa.be
Spain
Luxemburg
unauthorized subject
unauthorized offer of
services
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
www.cnmv.es
www.cssf.lu
unauthorized subject
www.fi.se/warning
Traders International Return Network
TRADERXP LTD
www.traderxp.com
Trading Bolsa, S.L.
Plaza Doctor Laguna 9, Local n.3, 28009-Madrid, Spain
Trading Corporation
Trading Resource Capital Management Plaska 622/3, 150 00 Prague 5, Czech Republic
1664
trcapitalmgmt.com
Transatlantic Group Mergers and
205 N Michigan Ave, Chicago, Illinois, 60601, USA
1665
Acquisitions
France
Cyprus
Spain
Belgium
Norway
Sweden
t.č. +33 0 1 5345 6031
www.cysec.gov.cy
www.cnmv.es
www.fsma.be
www.finanstilsynet.no
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Trapezitai Credit & Savings Ekonomisk
1666
förening
Travel Rule, S.L.
1667
1668
Trebol Trading LLC
Address
www.tcsef.com.
C/Diego de León, 28, 28006-Madrid, Spain
Av. Alfonso XIII, 19, 28002 - Madrid
90 State Street, Albany, New York, 12207, USA
www.tt-fx.us
1669 Treld Invest GB
Trendex Research UK
1670
(no contact details available)
Trendex Research UK
(no contact details available)
Trenton Hassel Investment Ltd.
2332 Galiano Street, 2nd Floor Coral Gables Miami,
Florida, USA
401 North Tryon Street, 10th Floor, Charlotte, North
Carolina, 28202 USA
3829 South Edmunds St
Seattle WA
98118
www.triasltd.com
888 West Jackson Boulevard Chicago,
Illinois 60604.
www.tribune-assets.com
888 West Jackson Boulevard,
Chicago
60604 Illinois
United States of America
Phone Number: +1 312 465 1657
Fax Number: +1 312 896 9308
www.tribune-assets.com
Klarabergsviadukten 70, Box 70396, Stockholm, S-107 24
Sweden.
www.trillionfx.co
1671
1672
1673
1674
Tri Capital Management
Trias Ltd
Tribune Assets Management Ltd
1675
Tribune Assets Management Ltd.
1676
TrillionFX
1677
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se
unauthorized subject
www.cnmv.es
unauthorized subject
www.cbfa.be
France
United
Kingdom
United
Kingdom
unauthorized subject
unauthorized subject
www.amf-france.org
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
Netherlands
unauthorized subject
Phone +31 0 205535 535
unauthorized subject
www.fi.se/warning
unauthorized subject
unauthorized subject
www.fsa.gov.uk
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
Spain
Belgium
Sweden
United
Kingdom
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
TRILOGY INVESTMENT FUNDS PLC
Trowbridge Capital
Address
TEL.: 0845 528 0689
FAX: 0845 528 0876
EMAILS: [email protected]
[email protected]
WEBSITE: www.trilogyinvestmentfunds.com
Brussels Louise, Louise Tower, Avanue Louise 149, 1050
Brussels, Belgium
Seafirst Fifth Avenue Plaza, 800 Fifth Avenue, Suite 4101
Seattle, Washington 98104, USA
www.tofgroup.com
502, Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjyuku-ku,
Tokyo, 162-0825, Japan
Via
Gagarin 14, 20036 Meda, Milano, Italy
Zurich, Switzerland
Trucker FX Corporations
http://www.truckerfx.com
1678
Trinity Option and Futures Group
1679
Trinity Ventures
1680
1681
1682
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.dk/sw126
7.asp
United
Kingdom
Cyprus
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cysec.gov.cy
United
Kingdom
Denmark
Trust Group International/Trust Real
1683 Estate Investment Group LLC
Str Intrarea Scola nr 1B, Sector 1 Bucuresti, Romania,
2501 W.Hillsboro Blvd. #105, Deerfield Beach, FL. 33442
Sweden
unauthorized subject
www.fi.se/warning
1684 Trust Solutions Ltd
Tunstall Group
1685
Ukraine Trade Center, Gukavea 3, 69116 Saporoshje
International Commerce Centre, 1 Austin Road W, West
Kowloon, Hong Kong
www.tunstall-group.com
Austria
Norway
unauthorized subject
unauthorized subject
Phone +43 (0)124959-5106
www.finanstilsynet.no
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Turner Financial Inc.
Address
15th Fl., Akasaka Tokyu Plaza Bldg.
14-3, Nagata-Cho 2-Chome, Chiyoda-Ku
Tokyo 100-0014
TEL: 0081345780070 and 008155129893
FAX: 0081367459504
www.turnerfinc.com
EMAIL: [email protected];
[email protected],
[email protected],
[email protected],
Unaico Ltd. (Enigro Group)
A 1508 Concordia Plaza, 1 Science Museum Road, Tsim
Sha Tsui East, Kowloon, Hong Kong
www.unaico.com
29+/f Time Square, Tower 2, 1 Matthesion Street, Cosway
Bay, Hong Kong
www.unicornfinancegroup.com
R. Hermano Neves 16/17 - E6, 1600-477 Lisboa, Portugal
11/F One International Finance Centre, 1 Harbour View
Centre, Central, Hong Kong
1686
1687
Unicorn Finance Group
1688
1689 Unicorn Ventures
Unique Asset LLC, Hong Kong
1690
Exchanges and Clearing Limited
Unispar Universal Sparkasse
1691
Ekonomisk forening
Box 882, 114 79 Stockholm, Sweden
United Europe Business Group (UEBG)
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
Phone +43 (0)1/24 959 5106
Austria
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
Austria
unauthorized subject
unauthorized subject
Phone +47 22 93 98 00
tel.no. +43 (0)124959-5106
Sweden
Malta
unauthorized subject
United
Kingdom
unauthorized subject
www.fi.se/warning
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
www.fsa.gov.uk
1692
1693
United World Capital Ltd
Bahnhofsrasse 52, 8001 Zurich, Switzerland
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
1694
Name
Universal Mercantile Building Society
EF (UMBS)
1695 Universal Networks, Inc.
1696 Universal Savings & Loan Bank
UST Financial Services Corp.
1697
UTB Finance & Securitz Services
1698
1699
1700
1701
UTC International Services
Valenti International
Van Broeke Consultancy Group
Vantage Equity
1702
1703
Venta Capital (Private Management)
Group Ltd.
Ventura Capital Consultancy Services
1704
1705
Ventura Capital Consulting Limited
Country
forwarding
Address
warnings
UNIVERSAL MERCANTILE BUILDING SOCIETY, PO BOX Sweden
897, WEMBLEY, HA9 1DG, UK, UNIVERSAL
MERCANTILE BUILDING SOCIETY EF, Frejgatan 13, Box
882, 114 79 Stockholm, Sweden
954 3rd Avenue, Suite 761, New York, NY 10022, USA
Sweden
Solna Strandväg 78, 171 54 Solna, Stockholm, Sweden
Sweden
114 West 47th Street 14th Floor New York NY 10036-1532 Sweden
USA.
United
www.ustfinance.com and (www.ust-financial.com
Kingdom
Isle of Man
Isle of Man,
United
Kingdom
United
Emaar Business Park, Sheikh Zayed Road, Dubai, UAE
Kingdom
Via Lucca Gaurico 9/11, Roma 00143, Italy
Norway
www.valenti-international.com
Rue de colonies 11, 1000 Brussel, Belgium
Belgium
www.vanbroekeconsultancygroup.com
Belgium
Via Vincenza Monti 8, 20123 Milan, Italy
Norway
Taipei 101 Tower, level 37, 7 Xinyi Road, Section 5, 110
United
Taipei, Taiwan
Kingdom
www.vantageequity.com
Omar Hodge Building, Wickhams Cay 1, Road Town Tortola, British Virgin Islands
150 White Plains Rd., Suite 107, Tarrytown, NY 105915521, USA
www.venturacapitalconsulting.com
Reason
unauthorized subject
unauthorized subject
unauthorized subject
unauthorized subject
Detailed information
www.fi.se/warning
www.fi.se/warning
www.fi.se/warning
www.fi.se/warning
www.fsa.gov.uk
unauthorized subject
www.gov.im
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.finanstilsynet.no
unauthorized subject
[email protected]
unauthorized subject
www.cbfa.be
www.finanstilsynet.no
www.fsa.gov.uk
Netherlands
unauthorized subject
Phone +31 (0)20 5535 535
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Venture Aliance Partners
1706
Address
Na Strzi 65/1702, 140 00 Prague, Czech Republic,
Building 3, Ground Floor, Dubai Investment Park, P.O.Box 212880, Dubai, UAE
Hauser Plads 32, sal, DK1127, Copenhagen K, Denmark
Country
forwarding
warnings
Reason
unauthorized subject
Detailed information
www.fi.se/warning
www.cbfa.be
unauthorized subject
www.cbfa.be
Belgium
Norway
unauthorized subject
www.finanstilsynet.no
Norway
unauthorized subject
www.finanstilsynet.no
Austria
unauthorized subject
t.č. +43 (0)124959-5106
Luxembourg
Sweden
unauthorized subject
unauthorized subject
www.cssf.lu
www.fi.se
France
unauthorized subject
t.č. +33 0 1 5345 6031
unauthorized subject
www.a-tvp.si
Slovenia
Sweden
unauthorized subject
www.fi.se/warning
Belgium
unauthorized subject
www.cbfa.be
Sweden
Belgium
Venture Associates
1707
1708
1709
1710
Ventures GP
Verdispar Securities
Verein Zukunft Neu
1711 VERIM Management Limited
Victory Life
1712
34 F Yamashoku Building, 5-9-4 Otemachi, Chiyoda, Tokyo
100-0006, Japan
www.ventureasoc.com
Calle Pinar 5, 28006 Madrid, Spain
www.venturesgp.com
P.O:Box 1674, Vika, 0120 Oslo, Norway
www.verdisparsecurities.eu
Mooslackengasse 17, 1190 Vienna, Austria
www.zukunft-neu.eu
L-3895 Foetz, rue de lˇIndustrie coin des Artisans
P.O.Box 3161, Craigmuir Chambers, Road Town, Tortola,
British Virgin Islands
Bernex, Switzerland.
Victory Suisse, its Victory Invest
distribution network, and other group
companies,
1713
namely Sofinex, S.F. Vectory
Consulting, S.F. Vectory Investment and
Vectory France
Vitarium Investment Group Limited
77 Strovolos Center, Off.204, 2018 Strovolos, Nicosia,
1714
Cyprus
www.viginvest.com
Voyager Investment Management
Gvadalpin EBC, Blvd. Principe Alfonso de Hohenlohe,
1715
29600 Marbella, Malaga
1716 Wagner Berne
Untermainanlage 3, 60329 Frankfurt am Main, Germany
Public Warnings - Securities Dealers
The Data as of March 31, 2017
Walker Finance Company
Country
forwarding
Address
warnings
Devon House, Taikoo Place, 979 Kings Road, Quarry Bay, United
Hong Kong
Kingdom
Sheikh Khalifa Bin Zayed, Burjuman, Business Tower,
Sheikh Zayed Road, Dubai
www.wainwrightfinance.com
18334 Egret Bay Blvd., Suite 600, Houston, Texas 77058
Austria
USA
Toranomon Yatsuka Building, 1-1-11 Atago, Minato-ku,
Tokyo 105-0002- Japan
Sweden
500 16th St. Denver, CO 80202, USA
Walker Bryan Securities
United
33 Throgmorton Street
Kingdom
London
EC2N 2BR
www.walkerbryansecurities.com
http://www.walkerfcompany.com
Cyprus
Walker Financial Management
www.wfinancialmanagement.com
No.
Name
Wainwright Wealth Management /
Wainwright Finance
1717
1718
Walden & Associates
Waldon McLean Associates
1719
Walker Bryan Securities
1720
1721
1722
1723 Wall Street Direct
Wall Street Management Corp
1724
WALLACE JACOB CONSULTANS
1725 CORPORATE SERVICES
1726
Wallstreet Financial
1727 Walsh, Atkins & Associates
Walten Pichler
1728
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
Phone+43 (0)1/24 959 5106
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cysec.gov.cy
United
Kingdom
Via Torino 5, Milan 20123 Italy
Sweden
441 Lexington Avenue 17th Floor,New York NY 10017,USA Norway
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
www.kredittilsynet.no
12 W Nyack Rd, West Nyack, NY 10994, USA
www.wjccorporatesercvices.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
255 Woodcliff Drive Fairport, NY 14450, USA
www.walstreetfin.com
1587 Broadway Avenue, San Francisco CA 94101 USA
157 Fleet Street, London EC4A 2DQ, United Kingdom
13 Rue Edward Steichen 2540 Luxembourg
www.waltenpichler.com
Sweden
unauthorized subject
www.fi.se/warning
Sweden
United
Kingdom
unauthorized subject
unauthorized subject
www.fi.se/warning
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Walter Harris & Company
1729
Walter Harris & Company
1730
1731
Walter Parker Group
1732 Walters Capital Group
Walton Johnson & Co
1733
Address
Melbourne Tower, 1511 3rd Avenue, Seattle WA 98101,
USA
www.walterharrisllc.com
Melbourne Tower, 1511 3rd Avenue, Seattle WA 98101,
USA
www.walterharrisllc.com
100 Church Street, New York City, NY 10007, USA
www.walterparkergroup.com
32E suite 12, Pinelawn Rd, Melville NY 11747, USA
www.wjccorporate.com
Walton Johnson & Co Corporate
1734 Services (USA)
Warner Abbott Capital Management
1735
Warren Fisher & Associates
1736
Warwick Ventures
1737
PBC Pfeiffer Business Center GmbH, Beethovenplatz 1-3,
60325 Frankfurt am Main, Germany
www.warnerabbott.com
37D 25th Avenue
New York,
NY 10003
USA
Strathvale House, 90 North Church Street, George Town,
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
Ireland
United
Kingdom
Ireland
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fsa.gov.uk
unauthorized subject
www.financialregulator.ie
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
unauthorized subject
[email protected]
Grand Cayman,
Samana Hill, P.O. Box N 4589, No. 14 Voillage Rad
(North), Nassau, Bahamas,
Suite 306-314, 3rd Floor, Athienitis Centennial Building, 48 Belgium
Themistoklis Dervis Ave, Nicosia 1066 Cyprus,
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Waterman Wealth Management
Country
forwarding
Address
warnings
Gate Village Building Business Centre, Sheik Zayed Road, United
Dubai 113355, UAE
Kingdom
www.watermanmanagement.com
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
1738
Wealth Planning Solutions Europe
Euro Business Center, 21-23 Hill Street, Edinburgh EH2
3JP, United Kingdom
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Weinberg Equity Management
237 E18tH Street No1
New York, NY, 10038
United States of America
Tel.: +1 646 2052786
Fax: +1 646 8392730
www.weinbergequitymanagement.com
[email protected]
United
Kingdom
unauthorized subject
www.fsa.gov.uk
WEISBERG & COHEN, LLC
435 Seventh Ave (7 Av/34 St), Manhattan, NY 10018, USA United
www.weibergcohen.com
Kingdom
unauthorized subject
www.fsa.gov.uk
WEIZMANN & YOUNG
Dreikonigstrasse 31
8002 Zurich
Switzerland
www.weizmannyoung.com
Address:
City Place House 55, Basinghall Street,
London EC2V 5DX
Tel:
0800 011 2681
Email:
[email protected]
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
1739
1740
1741
1742
Welbeck Associates (Clone of FSA
1743 Registered firm)
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
WELBORN CAPITAL LLC
Address
220 MIDDLE ROAD
HUDSON
12534 NEW YORK
UNITED STATES OF AMERICA
And / or
664 3RD AVENUE, 14/F
NEW YORK
10017 NEW YORK
UNITED STATES OF AMERICA
TELEPHONE NUMBER: 0012125429176
FAX NUMBER: 0018456984132
FAX NUMBER: 0016466194508
FAX NUMBER: 0012124098803
WEBSITES: www.welbornllc.com / www.welborninc.com
EMAIL ADDRESSES: [email protected],
[email protected], [email protected],
and [email protected].
Wellesley International Group
2-4 Messogion Avenue, Athens Tower (Building A), 115 27
Athens, Greece
Unite 10-18, 32/F, Tower 1, Millenium City 1, 388 Kwun
Tong Road, Kwun Tong, Kowloon, Hong Kong
World Trade Center Building, 1st Floor - Commercial Area,
Marbella 53 Str., Panama City, Panama
Edificio D piso 1, San Jose, Costa Rica
420 Lexington Avenue, New York NY 10170, USA
www.wellingco.com
440 S LaSalle Suite 1711, Chicago, IL 60605.
www.wellingtoncapitalmarkets.com
1744
1745
1746
1747
WELLING & COMPANY, LLC
Wellington Capital Markets
Country
forwarding
warnings
United
Kingdom
Sweden
United
Kingdom
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Wellington Management Portfolios
1748
Wellington Management
1749
1750
1751
1752
Wellington Mergers & Acquisitons
Wellington Philips Asset Management
Group
Wellington-Duke & Associates
WELLS CAPITAL MANAGEMENT
1753
1754
Wells Fargo Advisors
Werner Group International
1755
1756
Wesley Wealth Management
Address
33 Boulevard Prince Henri
L - 1724
Luxembourg EC2A 1LN
3 Finsbury Square
London
Tel: +352 2088 0301 +44 203 514 1923
Fax: +352 2088 0302 +44 870 626 2076
Website: www.wellingtonmp.com
Email: [email protected]
Tel: +44 20 7416 6705
[email protected]
3340 Peachtree Road NE, Buckhead Area Atlanta, GA
30326-1081, United States of America
Hardturmstrasse 98, Zurich, Switherland 8005 CH
213 West 30th Street, New York, NY 10001, USA
tel: +1 914 517 2746
www.wellsconsultancy.com
www.wellsfargolondon.com
in Canada at the TD Canada Tower, 27th floor, 161 Bay
Street, Toronto M5J 2S1, and in the United States at 40
Wall Street, 22nd Floor, New York, NY 10005.
5th Flr. Leeward 4, Regatta Office Park, West Bay Road,
Grnd Cayman, Cayman Islands
Country
forwarding
warnings
United
Kingdom
Reason
Clone of FSA
authorised firm
Detailed information
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Norway
unauthorized subject
www.kredittilsynet.no
unauthorized subject
www.fi.se/warning
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.fi.se/warning
Sweden
United
Kingdom
United
Kingdom
United
Kingdom
Belgium
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
WEST MILL ASSOCIATES
Address
AROSASTRASSE
ZURICH 8008
SWITZERLAND
Tel:
+41 4 3501 6403
Fax: +41 4 3501 6487
website: www.westmillassociates.com
West Ridge Limited
1C Chertsey Road, London E11 4DG, United Kingdom
www.westridgelimited.com
641 Lexington Avenue, New York NY 10022, USA
16 St Martin ´s le Grand, St Paul´s, London EC1A 4EN,
United Kingdom
35 WACKER DRIVE
CHICAGO
IL 60601
USA
www.westboroughllc.com
1111 Brickell Avenue
8th Floor
Mellon Financial Bldg
Miami
FL 33131
USA
Tel: 001 772 828 2884
Fax: 001 305 675 6469
http://westbrookacquisitionauthority.com
[email protected]
1757
1758
Westberg Equity Research Corp
1759 (WERC) / Westburg Equity
WESTBOROUGH LLC
1760
Westbrook Acquisition Authority
1761
1762 Westcomb Capital Management
Western Global Capital Management
1763
583 5th Avenue, New York, NY 10022, USA
www.westernglobalcampgt.com
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
[email protected]
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
Sweden
unauthorized subject
unauthorized subject
www.financialregulator.ie
www.fi.se/warning
Belgium
United
Kingdom
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Western Pacific Advisors, Inc
(WESTPAC, Inc.)
1764
Westgate & Greene Associates
1765
1766 Westhill Partners Inc. (USA)
Westin International Inc
1767
Westminster Financial
1768
Westminster Market Research &
Management
WESTON AND SCOTT
1770 CONSULTANTS
1769
Address
Tokyo Otemachi 1st Square, 4/F East Tower, 1-5-1
Otemachi, Chiyoda-ku, 100-004 Tokyo, Japan
One Stamford Plaza, suite 420, Tresser Boulevard,
Stamford, Connecticut, 06901 USA
www.westpacificadvisors.com
Ocean Tower
10th Floor
20 Raffles Place
Singapore 048620
Tel: 0065 3158 2021
Website: www.westgategreene.com
155 Rajadamri Road
Pathumwan
Bangkok 10330
Thailand
Tel: 0066 2126 8101
E-mail: [email protected]
12 Chiltley Way
Liphook
Hampshire
GU30 7HQ
2825, 31st St. Astoria, New York, NY 11102,
www.westminstermanagementinc.com
Frederick Douglass Blvd, New York, NY 10027-5329, USA
www.westonscottconsultants.com
Country
forwarding
warnings
Sweden
Reason
unauthorized subject
Detailed information
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Ireland
United
Kingdom
unauthorized subject
unauthorized subject
Central Bank of Ireland
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Westton Worldwide M&A Inc
Address
155 Rajadamri Road
Pathumwan
Bangkok 10330
Thailand
Tel: 006621268101
Fax: 006621268080
Email: [email protected]
Westward Group
Boulevard Hausmann, Paris, France
Level 18 Yebisu Garden Place Tower, Tokyo, Japan
www.westeardgroup.com
Basel City Center
Innere Margaretenstraße 5
CH-4051 Basel
Tel: 0041 44 576 65 65
Fax: 0720/98 10 16
Mail: [email protected]
Wheeler Asset Management
Route de Acaicas 65, 1211, Geneva, Switzerland
WHITE MARKET, S.L.
www.whitemarket.es
White Plaints International Securities
88 8th Avenue, New York NY 10011, USA
www.whitepaintsintl.com
Level 38 Marina Bay Financial Centre Tower 2, 10 Marina
Boulevard, Singapore 018983
www.whitegate-partners.com
1771
1772
WFB-Financial Consulting World Ltd
1773
1774
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
Norway
unauthorized subject
www.finanstilsynet.no
Austria
unauthorized subject
tel.no. +43 (0)124959-5106
United
Kingdom
Spain
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.cnmv.es
United
Kingdom
Austria
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fma.gv.at
1775
1776
Whitegate Partners
1777
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Whitestone Financial Planning/WS
Financial Planning
1778
Whitman Lloyds & Associates Mergers
& Acquisitions
Whitman Pearce & Partners (Costa
1780
Rica)
Whitmore Wealth Management
1779
1781
1782 Wide Berth International Inc.
WIDMER Options
1783
1784
Wiess and Associates Ltd
Wilkinson Bennings Securities
1785
Address
324/326 Regent Street Office
404 4th Floor Albany House
London
W1B 3HH
And
Austria Vienna International Centre
PO Box 117 1400
Vienna Austria
Tel: 0203 318 8721 and 0043 720 880517
Fax: 0207 900 2833 and 0043 125 36722 7312
Website: www.wsfinancialplanning.com
70 West Madison Street, Chicago, IL 60602-4270, USA
Dreikoningstrasse, 34, Zurich, Switzerland
New Bond Street, London, United Kingdom
Business Centre Building, D-79 Dubai, United Arab
Emirates
Chatham Road, Prat Avenue, South Tsim Sha, Tsui
Kowloon, Hong Kong
www.whitmorewealth.com
1688 Pennsylvania Ave. Suite 700, Washington DC
Kaertner Ring 11-13, 1010 Vienna, Austria
www.widmeroptions.com
203 North LaSalle Center, Suite 1800, Chicago, Illinois
60601 USA
No. 14 Robinson Road #13-00, Far East Finance Building,
Singapore 048545, Republic of Singapore
www.wilkinsonbennings.com
Country
forwarding
warnings
United
Kingdom
Sweden
Luxemburg
United
Kingdom
Sweden
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cssf.lu
unauthorized subject
www.fsa.gov.uk
unauthorized subject
unauthorized subject
www.fi.se/warning
Phone +43 (0)1/24 959 5106
unauthorized subject
www.fi.se/warning
unauthorized subjec
www.fi.se/warning
Austria
Sweden
Sweden
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
WILLIAM & BROWN MANAGEMENT
GROUP
1786
1787
1788
William Blair Capital Partners
William Blake
WILLIAM CAMPBELL COMPANY
1789
William Smith and Company
1790
Address
8/F, 20 EXCHANGE PLACE
NEW YORK CITY
10005 NEW YORK
UNITED STATES
TEL.: 001 917 965 5967
FAX: 001 917 397 3362
EMAIL: [email protected]
WEBSITE: www.williambrownmanagement.com
China World Trade Center Tower 3, 1 Jianguomenwall
Avenue, ChaoyoangDistrict, Beijing 100004, China
41 MADISON AVENUE
31ST FLOOR
NEW YORK CITY
NEW YORK 10010-2202
USA
www.williamcampbellcompany.com
5St. John´s Lane, London EC1M 4BH Unigted Kingdom
Lyoner Strase 14, Frankfurt, Germany
103-1A Brivibas Street, Riga, Latvia, LV-1001
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
United
Kingdom
Belgium
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.fsma.be
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
William Smith and Company
1791
1792
1793
WILLIAMS CONSULTANCY LIMITED
Williams Corporation Ltd.
(“My Private Trade”)
Reason
unauthorized subject
Detailed information
www.fma.gv.at
United
Kingdom
Austria
unauthorized subject
www.fsa.gov.uk
unauthorized
www.fma.gv.at
transactions requiring
a licence
Williams Group, Financial Services
960 United Center 7890 Virfginia Street, Man Charleston,
WV 25307, www.williamsgrpfinancialserv.com
Sweden
unauthorized subject
www.fi.se/warning
Wilshire Park
Sumimoto Fudosan Mita Twin Building, West Wing 6F, Mita Norway
3-chome, Tokyo 108-6321, Japan
www.wilshire-park.com
http://www.wilsongeneralgroup.com
Cyprus
unauthorized subject
www.finanstilsynet.no
unauthorized subject
www.cysec.gov.cy
1794
1795
1796
Address
with alleged office in
Smithfield Business Centre
5 St. John’s Lane
London EC1M 4BH
as well as
Lyoner Straße 14
Frankfurt, Germany
as well as
103-1A Brivibas Street
Riga, Latvia, LV-1001
as well as
Seeger Haus
Kirchstraße 12
FL-9494 Schaan, Liechtenstein
Phone: +44 20 8588 0643
0-800-014-8915
Fax: +44 2030145382
[email protected]
www.williamsmithandcompany.com
350 5th Ave, New York 10118-0110, USA
www.williamsconsultancyltd.com
Hollywood Plaza, 610 Nathan Road, Hong Kong
+852 369 314 87
www.myprivatetrade.com
Country
forwarding
warnings
Austria
Wilson General Group Ltd
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
Wilsone & Duffus (UK) Ltd
1797
Wilton Investment Group
1798
1799
Wiltshire Capital
WINDSOR BROKERS (Clone of FSA
EEA Authorised firm)
1800
1801
Wine Street Investment Management
(Ireland) / Kyle Robert Cawley
Winchester Consultancy Group
1802
1803
Winchester Consultancy Group
Address
Barbican Estate
9 Lauderdale Place
Barbican
London
EC2Y
Tel: 44 0208 816 8671
Fax: 44 0208 133 8487
Website: www.wilsone-markets.com
E-mail: [email protected]
Blue Tower, avenue Louise/Louizalaan 326, 1050 Brussels,
Belgium
www.wiltonig.com
Shinjuku Park Tower, 3-7-1 Nishi-Shinjuku, Shinjuku-Ku,
Tokyo 163-1030, Japan
Tel: +357 25 025033
+357 25 025067
Fax: +357 25 030284
Website: www.windsorbrokerslimited.com
Email: [email protected]
[email protected]
Country
forwarding
warnings
United
Kingdom
Reason
unauthorized subject
Detailed information
www.fsa.gov.uk
unauthorized subject
www.cbfa.be
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
Clone of previously
FSA authorised firm
www.fsa.gov.uk
Ireland
unauthorized subject
www.financialregulator.ie
43 West 62nd Street
New York
NY 10019
United States of America
Tel: +1 (1) 718 5545382
Fax: +1 (1) 718 7322453
E-mail: [email protected]
Website: http://www.winchesterconsultancygrp.com
United
Kingdom
unauthorized subject
www.fsa.gov.uk
USA
Ireland
unauthorized subject
www.financialregulator.ie
Belgium
Norway
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1804 Witter Walwyn
Wolf Investment Solutions
1805
1806
1807
1808
1809
1810
Address
362 Takubo Building, 2-26, Honmachi-bashi, Chou-ku,
Osaka 540-0029, Japan
www.wold-investsol.com.
Wolf Investment Solutions
362 Takubo Building, 2-26, Honmachi-bashi, Chou-ku,
Osaka 540-0029, Japan.
www.wold-investsol.com
Wolf Investment Solutions
362 Takubo Building, 2-26
Honmachi-bashi
Chuo-ku
Osaka 240-0029
Japan
Tel: +81 64 560 4022
Website: www.wolf-investsol.com
Wolfgang Investment Group
Wolfgang Investment Group
The World Trade Centre
Leutschenbachstrasse 95
Zurich 8050
Switzerland
and
Portland House
Bressenden Place
London
SW1E 5RS
www.wolfganginvestmentgroup.com
Woodward Gordon Capital International 12 Harcourt Road, Central Hong Kong, Hong Kong
www.wg-ci.com
World Management International
Country
forwarding
warnings
Denmark
Norway
Reason
unauthorized subject
unauthorized subject
Detailed information
www.finanstilsynet.dk
www.finanstilsynet.no
Sweden
unauthorized subject
www.fi.se/warning
United
Kingdom
unauthorized subject
www.fsa.gov.uk
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Sweden
unauthorized subject
www.fi.se
Greece
unauthorized subject
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
World Trade Institute
1811
Address
Office UK:
1 Northumberland Avenue
Trafalgar Square
London WC2N 5BW
United Kingdom
T: +44(0)20 341 127 30
F: +44 (0)20 769 172 40
www.wti24.com
[email protected]
Office TEL AVIV
Ackerstein Towers
Hamenofim Street
P.O.BOX - 2148
Hertzelia Pituach 46120
Tel Aviv - Israel
T: + 972(0)39 155 923
F: +972(0)376 174 31
[email protected]
Office LUXEMBURG
26 boulevardRoyal
Luxembourg 2449
Luxemburg
T: +352 202 032 87
F: +352 246 111 41
[email protected]
Country
forwarding
warnings
Austria
Reason
unauthorized subject
Detailed information
Phone +43 (0)1/24 959 5106
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
WorldSpreads Limited
Address
29 rue de Bassano 75008 Paris
Worldwide Forstock Ltd
ASB Bank Centre - Level 20, 135 Albert Street, Auckland
1010, New Zealand
www.firstfreebank.com
Canada Square, Canary Wharf, London E14 5LQ, United
Kingdom
Hopewell Center, Queens Road East, Hong Kong
www.worldwideinvestmentsportfolio.com
Stephanie Square Centre, 106 Avenue Louise 65, 1050
Brussels
www.worldwiderg.com
1 Canada Square
Canary Wharf
London
E14 5AB
UK
www.worldwideriskconsultants.com
Ave Ricardo J. Alfaro, The Century Tower, Panama
www.wwicorporation.com
Country
forwarding
warnings
France
1812
1813
Worldwide Investors Portfolio
1814
Worldwide Research Group
1815
Worldwide Risk Consultants
1816
1817
WWI Group Corp
Slovenia
United
Kingdom
Belgium
United
Kingdom
Slovenia
Reason
Detailed information
The special
tel.:+33153456200
administration
procedure opens on
18 March 2012, so
the ACP and the AMF
urge clients of
the branch to contact
KPMG LLP
at
worldspreadsenquirie
s@
kpmg.co.uk or by
phone on +44 20
3284 8829.
unauthorized subject
www.a-tvp.si
unauthorized subject
www.fsa.gov.uk
unauthorized subject
[email protected]
unauthorized subject
www.fsa.gov.uk
unauthorized subject
www.a-tvp.si
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
1818 www.altainvest.info
1819 www.apolloglobalsecurities.com
www.bforex.com / BFOREX Limited
www.gcitrading.com / GCI Financial
Limited
www.nordfx.com/fr / Nord Group
Investments Inc
www.xforex.com / Ultimass Global
Holding Inc
www.alpari-fr.com / Alpari NZ Limited
1820
www.fxcast.com / Surplus Finance SA
www.instaforex.com / InstaForex
Companies Group
www.finanzasforex.com / Evolution
Market Group Inc
www.youtradefx.com / International
Youtrade Investments MA Ltd
Address
Country
forwarding
warnings
Slovenia
Austria
France
Reason
unauthorized subject
unauthorized subject
offers to trade on
FOREX through
websites for which it
has not been possible
to clearly identify an
authorised investment
services provider
Detailed information
www.a-tvp.si
www.fma.gv.at
Tél. : 01.53.45.58.71 - Fax :
01.53.45.58.70
[email protected]
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
www.bforex.com / BFOREX Limited
www.gcitrading.com / GCI Financial
Limited
www.nordfx.com/fr / Nord Group
Investments Inc.
www.fxcast.com / Surplus Finance SA
www.instaforex.com/ InstaForex
Companies Group
1821 www.finanzasforex.com / Evolution
Market Group Inc.
www.youtradefx.com / International
Youtrade Investments MA Ltd
www.ikkotrader.com / Ikko Investments
Ltd
www.trader369.com / IP International
Service
1822 www.comisionesbroke.net
1823 www.depahofx.com
www.forextotal.es
1824
Address
Cam. Beteluri 2 Esc. Un A, B, 48903 Barakaldo (Vizcaya),
Spain
1825 www.gestionforex.com
www.guardian-sec.com
Country
forwarding
warnings
France
Spain
Cyprus
Spain
unauthorized subject
unauthorized subject
unauthorized subject
www.cnmv.es
www.cysec.gov.cy
www.cnmv.es
Spain
Malta
unauthorized subject
An unknown company
using www.guardiansec.com to clone the
name of
Guardian Securities
Ltd, a Category 1A
Licence Holder
Spain
unauthorized subject
unauthorized subject
www.cnmv.es
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
www.cnmv.es
www.cnmv.es
1826
1827 www.inversionesyfinanzas
www.vivodelabolsa
1828
Calle Rafael Alberti 41 2C, 29120 Alhaurin el Grande,
Malaga
Reason
Detailed information
offers to trade on
Tél. : 01.53.45.58.71 - Fax :
FOREX through
01.53.45.58.70
websites for which it [email protected]
has not been possible
to clearly identify an
authorised investment
services provider
Spain
Public Warnings - Securities Dealers
The Data as of March 31, 2017
No.
Name
XR-Group
1829
Address
Lippo Centre, Tower 2, 89 Queensway, Admiralty, Hong
Kong
XTM Group
Roppongi Tower 7-10-2, Roppongi Minato Ward, 106-6155
Tokyo, Japan
www.xtm-group.com
Yakamato Investments
8F Lila Hirjizaka 3-410, Mita Minato-ku, Tokyo 108 0073,
1831
Japan
www.yakamotoinv.com
Yamaguchi Partners Global Head Office 16F Seiroka Tower 8-1, Akashi-cho, Chuo-lu, 104-6591
1832
Tokyo, Japan
www.yamaguchipartners.com
YAMATO ASSET MANAGEMENT CO www.yamatoam.com
1833 LTD
Country
forwarding
warnings
Austria
Belgium
Reason
unauthorized subject
Detailed information
t.č. +43 (0)124959-5106
www.cbfa.be
Norway
unauthorized subject
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Austria
Norway
unauthorized subject
www.fma.gv.at
www.finanstilsynet.no
United
Kingdom
unauthorized subject
www.fsa.gov.uk
Malta
unauthorized subject
Sweden
unauthorized subject
Malta Financial Services
Authority
Tel:
+356 21441155
Direct: +356 25485386
Email:
[email protected]
.mt
Web: www.mfsa.com.mt
www.fi.se/warning
unauthorized subject
www.fi.se/warning
unauthorized subject
www.cysec.gov.cy
1830
Yellowdale
1834
1835
1836
Yorkshire Capital
Young Chow Feng Corp. Ltd.
1837 Zammit Financial Management Group
Floor 19, 9 Queen's Road, Central Hong Kong.
www.yorkshirecapital.com
Huadong, Jiangyan
New York, NY 10286
Sweden
Cyprus