Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1911DIRECT Sparkasse Ekonomisk Box 882, 114 79 Stockholm, Sverige, Klarabergsviadukten Sweden unauthorized subject www.fi.se/warning Forening 70/Kungsbron, 107 24 Stockoholm, Sverige, Finduras 1 Group/European Bransch, Carrer de Porto Pi 8/8, 070 15 Palma de Mallorca, Baleares/Espana
1st American Securities 632 Broadway, Suite 3002, Neww York NY 10012, USA Sweden unauthorized subject www.fi.se 7/D Tung Wai Commercial Building, 109-111 Glocester 2 Road, Wan Chai, Hong Kong www. 1stamericansecurities.com www.kerstdis.nl 2013 BEST INVEST 59 Thomas Street, Manchester M4 1NA, United Kingdom United unauthorized subject www.fsa.gov.uk 3 www.2013bestinvest.com Kingdom
4 247 Holdings Group Great Britain Italy unauthorized subject 5 4usignals.com http://4usignals.com Cyprus unauthorized subjec www.cysec.gov.cy 4XCELLENT Ltd with headquarters in Cyprus, Great Britain and Israel, Italy unauthorized subject http://www.consob.it/mainen/ 6 www.4xcellent.com. index.html 7 629 Plan France unauthorized subject Phone +33(0)1 5345 6031 8 7M MANAGEMENT SERVICES Ltd. Greece unauthorized subject tel.no. +30 210 33 77 100 A WALKER ASSOCIATES / ANDREW www.awalkerassociates.com United unauthorized subject www.fsa.gov.uk 9 WALKER ASSOCIATES / AW Kingdom ASSOCIATES A WARNER ASSOCIATES / ANDREW www.awarnerassociates.com United unauthorized subject www.fsa.gov.uk 10 WARNER ASSOCIATES / AW Kingdom ASSOCIATES 11 A.S. Konstantinidis Greece unauthorized subject www.hcmc.gr 12 AB Hutton Global Holdings www.abhglobal.com Cyprus unauthorized subject www.cysec.gov.cy Abacus Financial Management www.abacusfinancialmgmt.com United unauthorized subject www.fsa.gov.uk 13 Telephone: 0207 193 9451 Kingdom Clone of previously FSA authorised firm Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Abberley Capital 6A Centre Point United unauthorized subject www.fsa.gov.uk 181-185 Gloucester Road Kingdom Wanchai 14 Hong Kong Tel:+852 397 33851 www.abberleycapital.com Abbotts Investment Group Koningsstraat 10, Suite 250, Brussels 1000, Belgium United unauthorized subject www.fsa.gov.uk 15 www.abbottsinvestmentgroup.com Kingdom ABC Finance Ltd Windsor House, 192-194 Stafford Street, Walsall, West United unauthorized subject www.fsa.gov.uk 16 Midlands, WS2 8ED Kingdom Abel Myers Consulting Ostenbachgasse 5, United unauthorized subject www.fsa.gov.uk CH8001, Kingdom Zurich, 17 Switzerland Tel: 0041(0)445 087 349 Fax: 0044(0)208 1962246 www.abelmyers.com 18 Aberdeen Pacific Group Sweden unauthorized subject www.fi.se/warning Able Capital 68 Lombard Street, London EC3V 9LJ, United Kingdom United unauthorized subject www.fsa.gov.uk 19 Bahnhofstrasse 26, 8001 Zurich, Switzerland, Kingdom Level 16, Suite 1, 380 Lexington Ave, NY 10168, USA Abney Associates 49/F Hopewell Centre, 83 Queen´s Road East, Hong Kong Belgium unauthorized subject www.fsma.be 20 AC Alternative 36 Avenue Du X Septembre United unauthorized subject www.fsa.gov.uk 21 1230 Luxembourg Kingdom www.ac-alternative.com Accedium Limited Tower Business Centre, 2nd Floor, Tower Street, Swatar, Malta unauthorized subject Web: www.mfsa.com.mt 22 Birkirkara BKR 4013, Malta Accer Mergers & Acquisitions 57 West 38th Street, New york NY 10130, USA United unauthorized subject www.fsa.gov.uk 23 www.accerma.com Kingdom Access Broker Incorporated 1024 Rockwell Ave. Cleveland, Ohio 44103. Sweden unauthorized subject www.fi.se 24 www.abrokercorp.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Accredited Global Services Group Addresses used: United unauthorized subject www.fsa.gov.uk (AGSG) St John’s House, 53-54 St John’s Square, London EC1V Kingdom 4JJ and, 25 57 Pitts Lane, Earley, Reading, Berks RG6 1BX Tel: 0207 193 8420 Fax: 0207 900 3854 www.agsg.info Accredited Global Services Group St John’s House, 53-54 St John’s Square, London EC1V United unauthorized subject www.fsa.gov.uk (AGSG) 4JJ and, Kingdom 57 Pitts Lane, Earley, Reading, Berks RG6 1BX 26 Tel: 0207 193 8420 Fax: 0207 900 3854 Website: www.agsg.info
Ace EU Markets Tel: +44 (0) 203 318 1714 United unauthorized subject www.fsa.gov.uk Fax: +44 (0) 203 318 1715 Kingdom 27 www.aceeumarkets.com
Ace Financial 9th Flr., Harue 4-chome, Edogawa-ku, Tokyo, Japan, 134- Sweden unauthorized subject www.fi.se/warning 28 0003. www.ace-fin.com Ackerman & Goldhart Lexington Avenue, Manhattan-Midtown, Turtle Bay, New unauthorized subject www.fi.se/warning 29 York 10107 Sweden ACM Gold 12th Floor, Sandton City Office Tower, 158 5th Street, Slovenia unauthorized subject www.a-tvp.si 30 Sandton, South Africa 31 ACPM Consulting Group Fischhof 3, 1010 Vienna, Austria Austria unauthorized subject Phone +43 (0)124959-5106 Acquisitions 21 Pte. Ltd. Unit No: #10-01 United unauthorized subject www.fsa.gov.uk 4 Robinson Road Kingdom 32 Singapore 048543 www.acquisitions-21.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ADDERLEY DAVIS & ASSOCIATES Suite Z-12, PO Box 8497 United unauthorized subject www.fsa.gov.uk LTD Sharjah Airport Free Zone Kingdom 33 Sharjah, UAE Website: www.adderleydavis.com ADMINISTRACIONES TEMPLE BAR, B92025964, AVDA. NACIONES UNIDAS, CRISTAMARA- 34 S. L. 36, PUERTO BANUS, 29660 Marbella Spain unauthorized subject www.cnmv.es Admiral Commodities Inc. Charlottenstrasse 8, 10969 Berlin, Germany Sweden unauthorized subject www.fi.se/warning 35 www.admiralcommodities.com 36 Adolphe Financial Management www.adolphefinancial.com Luxembourg unauthorized subject Advance Partners LLC 1122 E Pike St., Seattle WA, USA, 98122 Sweden unauthorized subject www.fi.se 37 www.advancepartners.us
Advent Capital GmbH Mainzer Landstrasse 51 United unauthorized subject www.fsa.gov.uk (Clone of UK incorporated firm) Frankfurt 60329 Kingdom Germany 38 Tel: 0049 069 2992 0860 0203 384 5070 Email: [email protected] Website: www.advent-capital.com Advice Europe Holborn Gate, 330 High Holburn, London WC1, United United unauthorized subject www.fsa.gov.uk 39 Kingdom Kingdom www.adviceeurope.com AdvisorCorp Ltd 13 The Topiary, Basingstokle, Hampshire, London RG24 United unauthorized subject www.fsa.gov.uk 40 8YX, United Kingdom Kingdom www.advisorcorpltd.com Affinity Group Solutions Pobřežní 95/74, 187 00 Prague 8, Czech Republic Sweden unauthorized subject www.fi.se/warning 41 www.affinitygroupsolutions 42 Affirmo Grupo Inverstor, S.L. C/Rocafort 91 Bis Átiko 1, 08015 Barcelona, Spain Spain unauthorized subject www.cnmv.es AFIN BROKERS, a.s. Lidická 73, 602 00 Brno, Czech Republic Czech license has been www.cnb.cz 43 Republic revoked AG Group Advisors Floor 3, Liberation Station, Esplanade, St Helier, Jersey United unauthorized subject www.fsa.gov.uk 44 JE2 3AS Kingdom www.aggroupjersey.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information AGF EUROPE ADVISORS 11 Floor, 1 Canada Square, Canary Wharf, London E14 United unauthorized subject www.fsa.gov.uk 45 5AB, United Kingdom Kingdom AG-FOREXTRADE.COM www.ag-forextrade.com Spain unauthorized subject www.cnmv.es 46 AIFA GOLBAL MARKET (name as 33 THROGMORTON STREET, LONDON, ENGLAND United unauthorized subject www.fsa.gov.uk appears on firm’s website) EC2N 2BR Kingdom AIFA GLOBAL MARKET SUITE 4705, JIN-MAO TOWER, 88 CENTURY AVE., SHANGHAI, CHINA 200121 47 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 AIM Law Associates One America Plaza 6th Floor, 600 West Broadway, San unauthorized subject www.fi.se/warning 48 Diego, California, 921 08 Sweden Aims World Asset&Investment 600 17th Street, Suite 2800, South Denver, Co 80202-5428 Sweden unauthorized subject www.fi.se/warning 49 Management Services Unit Level 13, Main Office Tower, Financial Park, Complex Labuan FT, Malaysia AJ Nelson Consultants LLC The Commerce Building, 708 Third Avenue, New York, NY United unauthorized subject www.fsa.gov.uk 50 10017, USA Kingdom www.ajnelsonllc.com AJ WYMAN & ASSOCIATES 1511 3rd Avenue, Seatle WA 98101, USA United unauthorized subject www.fsa.gov.uk 51 www.ajwyman.com Kingdom
Akaishi Global Kamiyacho West Building 4-3-21, Toranomon Minato Norway unauthorized subject www.finanstilsynet.no 52 Ward, 105-0001 Tokyo, Japan www.akaishi-global.com Akeman Capital Calle Camilo Jose Cela 1, l-5, Modulo 102, 41018 Sevilla, unauthorized subject Phone +45 33 55 83 89 53 Spain www.akemancapital.com Denmark Akzenta SA France France fals and misleading Phone +33(0)1 5345 6034 54 proposals Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Al Reen Capital 113 NBB Bldg, 16th Floor, Rd 383, Manama 316, Manama, United unauthorized subject www.fsa.gov.uk 55 Bahrain Kingdom www.alreencapital.com 56 ALAFX Markets Limited http://www.alafx.com Cyprus unauthorized subject www.cysec.gov.cy Alberich Gerhard Securities Worldwide United unauthorized subject www.fsa.gov.uk 57 (Aka A G Securities) Kingdom Aldermore International ú AI www.aldermoreinternational.com United unauthorized subject www.fsa.gov.uk 58 International Kingdom Alderton Consultants Gottardstrassr 43 United unauthorized subject www.fsa.gov.uk CH-8002 Zurich Kingdom 59 Switzerland Fax: 0872 115 5179 Website: www.alderton-consultants.com Alexander Solutions 165 avenue du Pardo, 13008 Marseille, France Sweden unauthorized subject www.fi.se/warning 60 Denmark www.finanstilsynet.dk All Property LTD Slovak unauthorized subject www.nbs.sk 61 Republic Allan Woods [email protected] United unauthorized subject www.fsa.gov.uk 62 Kingdom Allass BVBA Advisory Group Birmingham Business Centre, 4225 Waterside Centre, United unauthorized subject www.fsa.gov.uk 63 Birmingham B37 7YN Kingdom www.allassbvba.com 64 Allconi Bank Administration Ltd Ireland Ireland unauthorized subject www.financialregulator.ie Allendale Financial Services Limited 1 Berkeley Street United unauthorized subject www.fsa.gov.uk 1959 London Kingdom W1J 8DJ1 England 65 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] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Alliance Capital Securities 7 Stretton Street, London W1J 8LT, United Kingdom United unauthorized subject www.fsa.gov.uk 66 www.alliancecapitalsecurities.com Kingdom www.acsecurities.co.uk Alliance Direct Management 1213 Kailash Building, K.G. Marg, Connaught Place, New United unauthorized subject www.fsa.gov.uk Delhi - 11001, India Kingdom 67 www.alliancedirect.com www.alliancedirectmanagement.com www.alliancedirectmanagement.org Alliance Finance Plc www.alliancefinanceplc.co.cc Jersey unauthorized subject [email protected] Financial [email protected] 68 Services Commission Alliance Global Investors Fund 1040 Avenue of the Americas, 20th Floor Unit 8, Manhattan unauthorized subject www.fi.se/warning 69 Management LLC New York, New York 10018, United States Sweden Alliance Investment Group Queensbury House, 3 Old Burlington Street, London W1S United unauthorized subject www.fsa.gov.uk 70 3LD Kingdom www.aig-securities.com Alliance Partnership 30 Artillery Lane, Tower Hamlets, London E1 7LS, United United unauthorized subject www.fsa.gov.uk 71 Kingdom Kingdom ALLIANT HOLDINHS I INC www.alliantholdingsiinc.com United unauthorized subject www.fsa.gov.uk 72 Kingdom Allianz Asset Management United unauthorized subject www.fsa.gov.uk 73 Kingdom ALLIANZ GLOBAL INVESTORS (Clone Telephone numbers used: 0203 239 4301 United unauthorized subject www.fsa.gov.uk of FSA Authorised firms) 0203 318 1877 Kingdom Clone of previously Email: [email protected] FSA authorised firm [email protected] 74 [email protected] [email protected] [email protected] [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Allianz International Group, WTC 3 Simon Bolivarlaan 30 (Ville de Bruxelles), United unauthorized subject www.fsa.gov.uk Brussels BR, Kingdom 1827- Belgium 75 Tel: 00469222236508 Fax: 003225503636 www.allianzinternational.com
Allianz International Group, WTC 3 Simon Bolivarlaan 30 (Ville de Bruxelles), United unauthorized subject www.fsa.gov.uk Brussels BR, Kingdom 1827- Belgium 76 Tel: 00469222236508 Fax: 003225503636 Website: www.allianzinternational.com
77 Allied Champ Investments (Canada) Luxemburg unauthorized subject www.cssf.lu Allied Partners Financial Group Inc 260 Madison Ave. 8th Floor New York City, New York Sweden unauthorized subject www.fi.se/warning 78 10016, USA Alpha Brokers S.R. World Trade Center 25 Route de Prois United unauthorized subject www.fsa.gov.uk Geneva Kingdom (Clone of previously 79 CH-1215 FSA EEA Authorised Switzerland firm) Alpha Connect Capital GmbH (Clone of www.alphacapitalgmbh.com United The unauthorised firm www.fsa.gov.uk FSA EEA authorised firm) Unauthorised firm Tel: 0049 6922227903 Kingdom is using the legitimate Additional addresses found on the unauthorised firm’s German address of 80 website: the FSA EEA authorised firm.
ALPHA CORPORATE CONSULTANTS 90 East Drive, Bleecker Street, New York, NY 10004, USA United unauthorized subject www.fsa.gov.uk 81 LTD www.alphaconsultantsltd.com Kingdom
Alpha Finance United Kingdom unauthorized subject 82 www.alphafinanceuk.com Greece Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ALPHA FUND MANAGEMENT City Tower, 4 Basinghall Street, London EC2V 5DE United unauthorized subject www.fsa.gov.uk (Clone of FSA Authorised firm) Other addresses: Suite 7, Capital House, Circular Road, Kingdom Clone of previously Isle of Man IM1 1AG FSA authorised firm 28-32 Upper Pembroke Street, Dublin 2, Ireland Tel: +44 203 514 1996 83 Fax: +44 203 514 1997 +44 203 318 5521 Website: www.alphafundmanagement.com Email: [email protected] [email protected] 84 Alpha Securities S.A. Greece unauthorized subject Altanus Limited (Swiss Money Report) Markstraat 14, 7607 Almelo, The Netherlands unauthorized subject www.cbfa.be 85 swissmoneyreport.net Belgium Altanus Limited (Swiss Money Report) Marktstraat 14, 7607 Almelo, Netherlands Norway unauthorized subject www.finanstilsynet.no 86 Alternative Financial Investments 55 Avenue J.F. Kennedy, Luxembourg L-1855 United unauthorized subject www.fsa.gov.uk 87 20 Churchill Place, London E14 5HJ, United Kingdom Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Alternative Investments Advisors 25 Canada Square The Mercantile United unauthorized subject www.fsa.gov.uk Exchange Kingdom Canary Wharf 30 South Wacker Drive London Chicago, Illinios E14 5LQ, UK 60606, USA Tel: 0207 558 8371 +1 312 239 0541
88 Rue de Colonies 9 51/F Hopewell centre 183 1000 Brusselles Queens Road East Belgium Hong Kong Tel: +852 8197 2759 www.alternativeinvestmentsab.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Alternatives Research Group 8G Eastern Commercial Centre United unauthorized subject www.fsa.gov.uk 394 Hennessey Road Kingdom Wachia China and PO Box 26 25 Sheik Zaid Road 89 Dubai UAE and Bettinastrasse 26 Frankfurt 60323 Germany Alv Group 1905, 19th floor, Tower 2, Lippo Centre, 89 Queensway, Sweden unauthorized subject www.fi.se/warning 90 Admiralty, Hong Kong ALVARO GOMBAU ASESORES Avda. Reina Victoria 4 1º A Spain unauthorized subject www.cnmv.es 91 EMPRESARIALES, S.L. 28003 Madrid Ambros Group Schmalzhofgasse 7,1060 United unauthorized subject www.fsa.gov.uk Vienna Kingdom Austria and 92 12f Leighton Centre 77 Leighton Road Causeway Bay Hong Kong Website: www.ambrosgroup.com AMK TRUST LTD 1001 4TH AVENUE PLAZA United unauthorized subject www.fsa.gov.uk SEATTLE Kingdom 93 WA 98154 USA Website: www.amktrust.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information AMR Business Services LLC 500 Union Street United unauthorized subject www.fsa.gov.uk Seattle WA Kingdom 94 98101 www.amrkpo.com Anderson Goldstein Level 27, One Exchange Square Tower, 8 Connaught unauthorized subject www.fsa.gov.uk 95 Place, Hong Kong United www.andersongoldstein.com Kingdom ANDERSON McCORMACK GROUP, Edifico Torre Europa, Paseo de la Castellana n 95, 15-A, Spain unauthorized subject www.cnmv.es 96 S.L. Madrid Andreas Braasch 16a Canada Square United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom 97 London E14 5AB www.andreas-braasch.com 98 ANG Markets Ltd’ http://angmarkets.com. Cyprus unauthorized subject www.cysec.gov.cy Antek Global Consultants Ltd One Pacific Place United unauthorized subject www.fsa.gov.uk 88 Queensway Kingdom Hong Kong Tel: 0085230199427 99 Fax: 00852800965421 http://antekglobalconsultants.com Email: [email protected]
Aomori Group St. Luke´s Tower, 9-1 Akashi-Cho, Chuo-Ku, Tokyo 104- Austria unauthorized subject www.fma.gv.at 100 0044, Japan www.aomorigroup.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information AOT Europe (Clone of previously FSA Camomile Court United unauthorized subject www.fsa.gov.uk EEA Authorised firm) 23 Camomile Street Kingdom Clone of previously London FSA EEA authorised EC3 7PP firm 101 Tel: 020 3608 1213 Fax: 020 3608 1214 Website: www.aoteurope.com Email: [email protected] AOT Stock Specialist (Clone of Camomile Court United unauthorized subject www.fsa.gov.uk previously FSA EEA Authorised firm) 23 Camomile Street Kingdom Clone of previously London FSA authorised firm EC3 7PP 102 Tel: 020 8133 6194 Fax: 0872 331 5298 Website: www.aot-ss.com Email: [email protected] [email protected] Aozora Alliance World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya- Austria unauthorized subject www.fma.gv.at 103 Ku, Tokyo 150-0042, Japan www.aozoraalliance.com Apex Holdings Ltd Hochhaus, Taunusanlage 12, 60325 Farnkfurt, Germany. Sweden unauthorized subject www.fi.se/warning Waterhouse Square, London, EC1N 2SW. 104 www.apex-holdings.com
Apex Holdings Hochhaus United unauthorized subject www.fsa.gov.uk Taunusanlage 12 Kingdom 105 60325 Frankfurt Germany www.apex-holdings.com Apex Investment Corporation 108 Park Avenue, Suite 4450, New York 10003, USA Denmark unauthorized subject www.finanstilsynet.dk 106 www.apexinvestmentscorporation.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information APEX STOCK TRANSFER INC. 6147 S. EVERETT STREET United unauthorized subject www.fsa.gov.uk LITTLETON, CO 90123 Kingdom 107 USA www.apexstinc.com Apollo Financial Management Tower 42, Old Broad Street 25, London EC2N 1 HN, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 108 Mainzer Landstrasse 16-24, 60325 Frankfurt, Germany www.financialmanagementa.com Apollo Tiger Fund Tel: +44 (0) 845 528 0013 Fax: +44 (0) 845 528 0014 United unauthorized subject www.fsa.gov.uk Tel: +44 (0) 845 528 0083 Fax: +44 (0) 845 528 0084 Kingdom Tel: +44 (0) 208 133 1549 www.apollo-tigerfund.com
Applerton Associates Floor 15. Canada Square, Canary Wharf, London E14 United unauthorized subject www.fsa.gov.uk 110 5DY, United Kingdom Kingdom www.appletonassoc.com Apps Finance, Malta Group Malta Malta Financial Services Authority Tel: +356 21441155 Direct: +356 25485386 111 Email: [email protected] .mt Web: www.mfsa.com.mt 112 Aquila Financial Services Company Cyprus unauthorized subject www.cysec.gov.cy Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Arcfin Group United unauthorized subject www.fsa.gov.uk 113 Kingdom Ardea Capital LP 712 5th Avenue, New York NY 10003, USA United unauthorized subject www.fsa.gov.uk 114 www.ardeacapitalllp.com Kingdom 115 Archipelago Corporate Services Inc 350 Fifth Avenue, 34th Floor, New York NY 10004, USA Sweden unauthorized subject www.fi.se/warning Aris UK Advisory One Canada Square, Canary Wharf, London E14 5AB, United unauthorized subject www.fsa.gov.uk United Kingdom Kingdom 116 AM Anger 3, Worthsee, DE82237 Germany www.uk-advisory.com Ariun Financial Group www.ariunfg.com United unauthorized subject www.fsa.gov.uk 117 Kingdom Armstrong&Knight Seefeldstrasse 69, 8008 Zurich, Switzerland unauthorized subject www.fi.se/warning 118 www.armstrongknight.com Sweden AROS SECURITIES Kaivokatu 8, Helsinki, Finland 00101 United unauthorized subject www.fsa.gov.uk 119 www.arrossec.eu Kingdom Arrow Capital Management Inc 36 Toronto St, Suite 750, Toronto, ON M5C, Canada Denmark unauthorized subject www.finanstilsynet.dk 120 www.arrow-capital.com Arrow Merger Consultants 5th Floor, Yamamoto Building 14-7, Ebisu 1-chome, United unauthorized subject www.fsa.gov.uk 121 Shibuya-ku, Tokyo 150-0013 Japan Kingdom www-arrow-mc.com 122 Artemis Financial 1146 Budapest, Mimoza utca 14, Hungary Norway unauthorized subject www.kredittilsynet.no ARUS Asset Recovery Solutions 4 Rue Jean Monnet United unauthorized subject www.fsa.gov.uk L2180 Kingdom Luxembourg www.arus.eu 123 and 1 Penn Plaza 6242 West 34th street midtown South Manhattan NY 10119 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ARUS Asset Recovery Solutions 4 Rue Jean Monnet United unauthorized subject www.fsa.gov.uk L2180 Kingdom Luxembourg www.arsu.eu 124 and 1 Penn Plaza 6242 West 34th street midtown South Manhattan NY 10119 ASA Capital Management 406, Paradise Complex, Sayajigunj, Vadodara - 390020, Norway unauthorized subject www.finanstilsynet.no 125 India www.asacapital.im Ascensus International, and Ascensus Adalbert-Stifter-Str. 5 United unauthorized subject www.fsa.gov.uk Direct 85521 Ottobrunn Kingdom Germany Tel: 004969222259955 46 Queen St Exeter Devon EX4 3SR 126 Tel: 00448450753732 Website: www.ascensusinternational.com Ascensus Direct Website: www.ascensusdirect.de; www.ascensusdirect.com E-Mail: [email protected]; [email protected]
127 ASCOT ENERGY SERVICES Ltd. www.ascotenergyservices.com Spain unauthorized subject www.cnmv.es ASCOT MANAGEMENT SERVICES www.ascotmanagementservices.com Spain unauthorized subject www.cnmv.es 128 Ltd. Asesores Financieros Independientes Spain unauthorized subject www.cnmv.es 129 (AFI) Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ashford Financial Group 26F Shinjuku Sumitomo Building, 2-6-1 Nishi-Shinjuku, Sweden unauthorized subject www.fi.se/warning 130 Tokyo, Tokyo-to, Japan, 163-0212 www.ashfordfinancialgroup.com Ashford Financial Group 26F Shinjuku Sumitomo Building, 2-6-1 Nishi-Shinjuku, Norway unauthorized subject www.kredittilsynet.no 131 Tokyo, Tokyo-to, Japan 163-0212 http://www.ashfordfinancialgroup.com. ashford financial group 26F Shinjuku Sumitomo Building United unauthorized subject www.fsa.gov.uk 2-6-1 Nishi-Shinjuku Kingdom Tokyo Tokyo-to Japan 163-0212 132 Tel: +813 6745 9561 Fax: +813 6745 9685 www.ashfordfinancialgroup.com
Ashland Mergers & Acquisitions Ireland unauthorized subject www.financialregulator.ie 133 Management (Japan) Ashley Partners Mergers & Acquisitions 100 Pearl Street 11th floor, Hartford, CT 06103, United unauthorized subject www.fi.se/warning 134 States Sweden 135 Ashoka Financial Services www.ashoka-financial-services.com Malta unauthorized subject www.mfsa.com.mt Ashton Lewis Group Klarabergsviadukten 70, Stockholm 70396, S-107 24 Sweden unauthorized subject www.fi.se/warning 136 Sweden Ashton Trading Corporation 300 West Plaza Mayor, Centro Padre Pio, Office No.6, Sweden unauthorized subject www.fi.se/warning Rohmoser, San Jose, Costa Rica, The International Netherlands www.afm.nl 137 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, United unauthorized subject www.fsa.gov.uk 138 Admiralty, Hong Kong Kingdom www.asiaworldcap.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Asian Capital Group 1 Yonge Street, Suite 1801, Toronto, ON M5E 1W7. Švédsko neautorizovaný www.fi.se/warning C203, Lufthansa Centre Office Building, No 50, subjekt 139 Liangmaqiao Rd. Chaoyang District, Beijing 100016, China. www.asiancapitalgrp.com
Asian Capital Group 1 YONGE STREET, SUITE 1801 United unauthorized subject www.fsa.gov.uk TORONTO, ON, M5E 1W7 Kingdom CANADA And C203, LUFTHANSA CENTRE OFFICE BUILDING 140 NO 50, LIANGMAQIAO RD. CHAOYANG DISTRICT BEIJING 100016 CHINA Phone: +86 10 84053450 Fax: +44 207 9909838 Email:[email protected] Aspen Payne Consulting Leutschenbachstrasse 95, Zurich 8050, Switzerland, Sweden unauthorized subject www.fi.se/warning Strawinskylaan 3051, Amsterdam 1077, ZX, Netherlands, 141 Viale Luca Gaurico )/11, Rome 00143, Italy
142 Asprey Group LLP One Financial Center, Boston, MA 02111, USA Sweden unauthorized subject www.fi.se/warning Asset Management Advisory Services Spain unauthorized subject www.cnmv.es 143 Spain, S.L ./ AMASS Asset Restoration Facility Magdalenasteenweg 324 United unauthorized subject www.fsa.gov.uk 7th floor Kingdom 144 1000 Brussels Hoofdstedelijk Gewest, Belgium www.arfacility.com Asset Trust Management 110 Chauncy Street, Boston, USA United unauthorized subject www.fsa.gov.uk 145 Kingdom ASSOCIACIÓ CORPORATIVA Travessera de Grácia 56, 3, 08006 Barcelona, Spain Spain unauthorized subject www.cnmv.es 146 D´EMPRESARIS IMMOBILIARIS Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Assure.se Box 14, 114 79 Stockolm, Sweden unauthorized subject www.fi.se/warning 147 www.assure.se Sweden 148 Aston Markets www.astonmarkets.bg Cyprus unauthorized subject www.cysec.gov.cy Astorg Partners United unauthorized subject www.fsa.gov.uk 149 Kingdom 150 Atlantic Capital Management (Spain) Ireland unauthorized subject www.financialregulator.ie Atlantic Capital Trust LLC also known 1490 Arch Street United unauthorized subject www.fsa.gov.uk as Atlantic Capital Trust Management 8th Floor Kingdom Philadelphia PA 19102 151 USA Tel: 0012155831030 Fax: 0012154053761 E-Mail: [email protected] Website: www.atlanticct.com Atlantic International Partnership Puerta de las Naciones, Ribera del Loira 46, Campo de las Norway unauthorized subject www.kredittilsynet.no 152 Naciones, 28042, Madrid, Spain www.atlanticinternationalpartnership.com. ATLANTIC INTERNATIONAL Puerta de las Naciones, Ribera del Loira, 46. Spain unauthorized subject www.cnmv.es PARTNERSHIP Campo de las Naciones 153 28042, Madrid. www.atlanticinternationalpartnership.com Atlantis Financial 3705 Bank of America Tower, Suite 221, 12 Harcourt Sweden unauthorized subject www.fi.se/warning Road, Central Hong Kong, Spain www.cnmv.es 154 C/ Antonio Suarez, 48-Bajo, Suite 101, 46021 Valencia, Spain Atlantis Financial Bank of America Tower Suite 221 Austria unauthorized subject www.fma.gv.at Harcourt Road 12 3705 Hong Kong 155 E-Mail: [email protected] [email protected] [email protected] Web: www.atlantis-financial.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 156 Atlantis Mergers & Acquisitions 757 Melrose Ave., Atlamta, GA 30030 Sweden unauthorized subject www.fi.se/warning Atlas Consultancy 16-C Rockefeller Plaza, United unauthorized subject www.fsa.gov.uk New York, Kingdom NY 10020, 157 USA. Tel: 0019145172745 Fax: 0019144624266 www.atlasconsultancyltd.com 158 Atlas Equities Suite 155, Innovacion S/N, 41020 Sevilla, Spain www.atlasequities.comAustria unauthorized subject t. č. +43 (0)1/24 959 5106 159 ATM Capital 21F Mitsubishi Juko Yokohama Building, 3-3-1 Minato Mirai,Belgium Yokohama, Kanagawa-kenunauthorized 220-8401,subject [email protected] Japan and Viale Europa 42, I-00144 Roma,Italy. ATM Capital 3-3-1 Minato Mirai, Yokohama, Kanagawa-ken 220-8401, Norway unauthorized subject www.finanstilsynet.no 160 Japan and Viale Europa 42, I-00144 Roma, Italy www.atmcapital.com ATX Group Park Avenue Building, 76 East 55th Street, New york, NY, Sweden unauthorized subject www.fi.se 10021, USA. 161 Wan Chai Tower, 12 Harbour Road, Wan Chai North, Hong Kong S.A.R. www.atx-group.com Augumentum Macau Room 1709, 17/F, Centro Com. Si Toi. 619 Avenida da Norway unauthorized subject www.kredittilsynet.no 162 Praia Grande, Macau Aurea Negocios S.L. C.I.F.:B-84379668, Parque Empresarial Las Mercedes, Spain unauthorized subject www.cnmv.es 163 Avenida de Aragón, No. 330, Edificio 6, 28022 Madrid, Spain AUREA NEGOCIOS, S.L. David Parque Empresarial Las Mercedes Avenida de Aragón, n Spain unauthorized subject www.cnmv.es 164 Samper Bravo a Francisco Guillén 330, Edificio 6, 28022 Madrid Requena Ava Capital Markets Cambourne Business Park United unauthorized subject www.fsa.gov.uk Cambourne Road, Cambridge CB23 6DW Kingdom 165 United Kingdom www.avacmltd.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Avacia Investments / Avacia Limited / City Point, 1 Ropemaker Street, London EC2Y 9HT, United United unauthorized subject www.fsa.gov.uk Avacia Securities Limited Kingdom Kingdom 166 www.avacia-investments.co.uk www.avacia-securities.co.uk AVALON CONSULTANTS LTD. 60 MARKET SQUARE United unauthorized subject www.fsa.gov.uk P.O. BOX 364 Kingdom BELIZE CITY BELIZE 167 TEL.: 0032 2808 2187 AND 0032 2808 2553 WEBSITE: www.avalon-consultants.com EMAIL ADDRESS: [email protected]
168 Avery Kingston Capital Sweden unauthorized subject www.fi.se/warning 169 AVGITIDIS TRADING GROUP Greece unauthorized subject AW ASSOCIATES (Clone of FSA Tel: 0845 527 2857 United unauthorized subject www.fsa.gov.uk Registered firm) 0292 000 3520 Kingdom Clone of previously also uses ANDREW WARNER Fax: 0292 000 8739 FSA authorised firm ASSOCIATES / A.WARNER Website: www.aw-associates.co.uk 170 ASSOCIATES Email: [email protected] [email protected] [email protected]
AWI FINANCIAL Grand Millenium Plaza II, 181 Queen´s Road Island, Hong Portugal unauthorized subject www.cmvm.pt 171 Kong Island www.awifinancial.com AXA Isle of Man www.fxaxa.co.uk United unauthorized subject www.fsa.gov.uk 172 www.fxaxa.com Kingdom Axa Rosenberg Investment Tel: +44 (0) 203 384 6631 United unauthorized subject www.fsa.gov.uk Management Ltd Fax: +44 (0) 203 384 6630 Kingdom 173 www.rosenberginvestmentmanagement.com www.axarosenberginvestmentmanagement.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Axis Corporate Finance Level 5 Shinsaibashi Plaza Building, Shinkan 3-12-21 unauthorized subject www.fsa.gov.uk 174 Minami-Senba, Chuo-Ku, Osaka 542-0081, Japan United www.axiscf.com Kingdom Axis Open Source Corporation 7741 E. Gray Road Suite 17, Scottsdale, AZ 85260 (Axis Sweden unauthorized subject www.fi.se/warning 175 Investor Realations Europe, Bucharest, Romania) Axxess Swiss Trading/Axxess Swiss Medius House LG, 2 Sheraton Street, W1f8BH, London Netherlands unauthorized subject www.afm.nl Corp/IFGX Mergers and Acquisitions UK, London City Point 9th Floor, 1 Ropemaker street, 176 Group ECZY9HT, London UK, 110 East Boward Boulevard Suite 1700, Fort Launderdale, FL 33301 USA AZ Markets AZ Markets United unauthorized subject www.fsa.gov.uk 15a Canada Square Kingdom Canary Wharf 177 London E14 5GL www.az-markets.com B & T Brokers 4 Penman Way, Grove Business Park, 1st Floor Gateway United unauthorized subject www.fsa.gov.uk 178 House, Leicester, LE19 1 SY, United Kingdom Kingdom www.btbrokers.net 179 B Cooke Ltd 22 Nottinghill Gate London W11 3JE. Sweden unauthorized subject www.fi.se/warning B Gold International LLC 13911 W Hillsborough Avenue, Office 112, Tampa FL United unauthorized subject www.fsa.gov.uk 180 33635, USA Kingdom www-b-golds.com Baer Innes Stock broking & wealth Suit 31, Millenium Tower, Handelska, Vienna, A-12000 Norway unauthorized subject www.kredittilsynet.no 181 management Austria Austria www.fma.gv.at Baker & Bains . Odengatan 54, 113 22 Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning 182 www.clickstocktransfer.com United www.fsa.gov.uk Kingdom Baker & Higgs Asset Management 22nd Floor, 70 Pine St., New York, NY 10005 Sweden unauthorized subject www.fi.se 183 www.baker-higgs.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Baker & Higgs Asset Management 70 Pine St., 22nd Floor Austria unauthorized subject t. č. +43 (0)1/24 959 5106 New York City, NY 10005, New York USA 184 Phone: (001) 646-727-4089 Fax: (001) 646-607-5424 www.baker-higgs.com [email protected]
Balfour Beatty United unauthorized subject www.fsa.gov.uk 185 Kingdom Bank Sewell & Raydell website: www.sewellraydell.com Luxemburg unauthorized offer of www.cssf.lu 186 services Bankhurst Securities 10-12 Lower Thames Street, London EC3R, United United unauthorized subject www.fsa.gov.uk 187 Kingdom Kingdom www.bankhurst.co.uk Barbell Duh, S.L. C/Ramos Carrión, 2 Local D, 28002-Madrid, Spain unauthorized subject www.cnmv.es 188 Av. Alfonso XIII, 19, 28002-Madrid, Spain Spain Barclay Trust International www.barc-trust.com United unauthorized subject www.fsa.gov.uk 189 Kingdom Barlow & Ramsey 15th Floor, Sanno Park Tower, 2-11-1, Nagatacho,Chiyoda- Netherlands unauthorized subject www.afm.nl/warninglists 190 ku, Tokyo 100-6113 Japan Austria Phone +43 1 24959 5106 Barrington Group 541 Madison Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10010 191 USA Tel: 001917381694 Fax: 0019176778271 Website: http://barringtonconsultancy.com 192 Barvetii Wealth Consultants Paseo de la Castellana 95-15, 28046 Madrid, Spain Belgium unauthorized subject www.cbfa.be BARVETII WEALTH CONSULTANTS Paseo de la Castellana 95, Planta 15 Spain unauthorized subjec www.cnmv.es 193 Madrid 28046 www.barvetii.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 194 Bauer & Weiss Associates Ireland unauthorized subject www.financialregulator.ie BEACON POINTE SECURITIES 39/F THE CENTRIUM United unauthorized subject www.fsa.gov.uk 54-60 WYNDHAM STREET Kingdom HONG KONG Tel: +852 3015 9566 +852 3693 1546 195 Fax: +852 3020 7303 +852 5808 1224 www.beaconpointesecurities.com ; www.research.beaconpointesecurities.com
BEAUMONT, GREENE & PARTNERS 24/F 750 THIRD AVENUE, United unauthorized subject www.fsa.gov.uk NEW YORK Kingdom 10017 NY UNITED STATES 196 TEL: 1-347-349-9243 FAX: 1-347-348-0705 EMAIL: [email protected] www.beaumontgreene.com Beijing International Market Exchange Anzhen Building 2, An Ding, Men Wai Street, Beijing, China Norway unauthorized subject www.finanstilsynet.no 197 (BEIMEX) www.beimex.com
198 Belgium Financial Group Grasmarkt/rue du Marché100, 1000 Brussel, Belgium Belgium unauthorized subject BELLFIELD INTERNACIONAL Calle Rafael Alberti 58, apartado 10, 17310 Lloret de Mar, Spain unauthorized subject www.cnmv.es 199 ESPAÑA,S.L. Gerona www-bellfield-barna.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Bellview Financial Riviera Minami, United unauthorized subject www.fsa.gov.uk Aoyama Building 4F, Kingdom Tokyo, 107-0062, 200 Japan Tel: +813 45888 717 Fax: +813 67309 634 Website: www.bellviewfinancial.com Email: [email protected] Belvedere Capital Partners Schweizergrasse 23 United unauthorized subject www.fsa.gov.uk 201 8001 Switzerland Kingdom www.belvederecapitalpartners.com Benefit Planners Intl www.bpiwealth.com United unauthorized subject www.fsa.gov.uk 202 Kingdom BENTALL KENNEDY 25 OLD BROAD STREET United unauthorized subject www.fsa.gov.uk INTERNATIONAL FINANCIAL CENTRE CITY OF LONDON Kingdom EC2N 1HQ 203 Email Address: [email protected] Tel: 02033184479 0203 608 1366
Bergmann & Co. International Room 2025, Tower 1, Lippo Centre, 89 Queensway, Norway unauthorized subject www.finanstilsynet.no Admiralty, Hong Kong 204 www.bergmannco-international.com.
Bergmannwhite Associates The Center, 99 Queens Road, Central, Hong Kong Norway unauthorized subject www.finanstilsynet.no 205 www.bergmannwhite-associates.com Berkeley Capital Finance/Berkeley 1 Hamilton Place United unauthorized subject www.fsa.gov.uk Finance Group London W1J 7DA Kingdom 206 www.berkeleycapitalfinance.net www.berkeleycapitalfinance.com 207 Berkley Liquidation & Administration www.berkleyliquidation.com Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information B-92475326, María Auxiliadora, n 5, Edificio Marbella - 6, 208 Berkley Wyatt Asset Limited, S.L. Planta Baja, 29600, Marbella, MÁLAGA Spain unauthorized subject www.cnmv.es Berkley Wyatt Asset Limited, S.L. Maria Auxiliadora, n 5, Edificio Marbella-6, Planta Baja, Spain unauthorized subject www.cnmv.es 209 29600, Marbella, Malaga Avenida Diagonal, n 605, 8, 3a, 08028 Barcelona Bernstein, Whitman & Lloyds 10 East 40th Street, New York NY 10016, USA United unauthorized subject www.fsa.gov.uk 210 www.bwl.us Kingdom Berrington Fund Management 50 City Tower Basinghall Street United unauthorized subject www.fsa.gov.uk London Kingdom 211 EC2V 5DE www.berringtonmanagement.com Berrscott, Elliott & Associates Suite 868, 260 Madison, East 38th Street, NW Corner To unauthorized subject www.fsa.gov.uk 212 East 39th Street, New York City NY 10016, USA United www.berrscottelliot.com Kingdom BEST SELECT FINANZ FIRST FLOOR United unauthorized subject www.fsa.gov.uk CHANCERY LANE 22 Kingdom LONDON WC2 A1LS 213 Tel: 0203 519 0004 www.bestselectfinanz.com
214 BFXOption www.bfxoption.com Belgium unauthorized subject www.cbfa.be 215 BH France 145 Saint John Street, London, United Kingdom France unauthorized subject www.amf-france.org 216 BH France 145 Saint-John Street, London EC4, United Kingdom Belgium unauthorized subject www.cbfa.be BI ASSET MANAGEMENT / BUSINESS 16 Old Queen Street, London SW1H 9HP United Kingdom United unauthorized subject www.fsa.gov.uk INTELLIGENCE Dubai International Financial Centre, Level 10, East Wing, Kingdom The Gate Building, PO Box 506511, Dubai, United Arab Emirates 217 Sundkrogsgade 7, Kobenhavn o, DK-2100, Denmark www.biamanagement.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information BI Asset Management http://www.biamanagement.com/. Denmark unauthorized subject www.finanstilsynet.dk Fondsmæglerselskab A/S These persons make unauthorized use of BI Asset Management Fondsmæglerselskab A/S' name, address and registration 218 number. In addition to this, the persons in question use the name Business Intelligence.
Billmen & Associates Euro Business Center, 21-23 Hill Street, Edinburgh EH2 United unauthorized subject www.fsa.gov.uk 219 3JP, United Kingdom Kingdom www.billmenassociates.com BINGHAM CONSULTING GROUP 26th Floor United unauthorized subject www.fsa.gov.uk 67-68, 8th Avenue Kingdom New York NY 10018 USA 220 Tel: 0016465028313 Fax: 0016467864623 Email: [email protected] Website: www.binghamconsultinggroup.com
221 Bio-Investor Ltd 5 London Road, London SW179JR, United Kingdom Poland unauthorized subject www.knf.gov.pl Bishop & Parkes Advisory United unauthorized subject www.fsa.gov.uk 222 Kingdom Black River Asset Management Tel: 0203 608 2690 United unauthorized subject www.fsa.gov.uk 223 Kingdom Black Rose Financial Badenstrasse 176, P.O. Box 8026 Zurich 4, Switzerland United unauthorized subject www.fsa.gov.uk 224 www.blackrosefinancial.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Black Swan Wealth Management Schützenstraße 63 United unauthorized subject [email protected]. 225 10117 Berlin Kingdom uk www.fsa.gov.uk Germany; www.blackswanwm.com Blackstone Royalty Corporation 88 Union Street, Jersey City, NJ 08081, USA. Sweden unauthorized subject www.fi.se 226 www.blackstone-royalty.com BLACKSTONE ROYALTY 88 Union Street United unauthorized subject www.fsa.gov.uk CORPORATION Jersey City Kingdom Nj 08081 Usa 227 Tel: + 1 (201) 984-5228 Fax: + 1 (201) 604-6714 Website: www.blackstone-royalty.com Email: [email protected] BLACKSTONE Stocks Court United unauthorized subject www.fsa.gov.uk Stayners Road Kingdom 228 London E1 4AH : www.bskinternational.com
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information BLUE RIDGE FINANCIAL GROUP 5623 34th Avenue NE Seattle, WA 98201 USA United unauthorized subject www.fsa.gov.uk 234 vvvw.blueridgefinancialgroup.com Kingdom Blue Sky Group Europe 35 Great St Helen´s, London EC3A 6AP, United Kingdom United unauthorized subject www.fsa.gov.uk 235 Kingdom Blue Sky Management Bahnofstrasse 52 United unauthorized subject www.fsa.gov.uk Zurich ch-8001 Kingdom 236 Switzerland www.blue-sky-management.com Blue Sky Solutions Inc. No.07-24 Nihonbanshi Kabutocho, Chuo-Ku, Tokyo 103- Sweden unauthorized subject www.fi.se/warning 237 0026, Japan BLUECREST CAPITAL MANAGEMENT United unauthorized subject www.fsa.gov.uk / BLUECREST NEW INVESTMENT Kingdom 238 CAPITAL HEDGE FUND (NEWCAP)
Bluecrest International Capital, Inc. 1008 Raymond Boulevard Newark, New Jersey NJ 07102, Sweden unauthorized subject www.fi.se/warning 239 www.bluecrestintl.com BLUECREST WEALTH / BLUECREST 40 Bank Street, Herons Quays, Canary Wharf, E14 5HU United unauthorized subject www.fsa.gov.uk WEALTH ASSET MANAGEMENT / 25 Park Lane, London W1K 1RA, United Kingdom Kingdom 240 BLUECREST WEALTH SECURITIES www.bluecrestwealth.co.uk
BLUESTAR MANAGEMENT Plaza Santa Eulalia N. 5 Oficina 1, 07001-Palma de Spain 241 Mallorca unauthorized subject www.cnmv.es Blundell Oliver Ltd. 17 Square Edouard VII, 75009, Paris and Av. Da Ribera, Netherlands unauthorized subject www.afm.nl 242 Casa yz APTO 2-11, 299660 PTO, Banus Marbella, Spain
BMC Investment Group Singapore Samsung Hub, Church Street, Singapore Sweden unauthorized subject www.fi.se/warning 243 049483. www.bmcigroup.com BNY Mellon Wealth Management 701 Westchester Avenenue, White Plains, NY 10604 USA Sweden unauthorized subject www.fi.se 244 www.bnymellon,com/wealthmanagement
Board of International Finance 764 13th Street Northwest, Washington DC 20005, USA United unauthorized subject www.fsa.gov.uk 245 www.gov.boif.us Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information BOLERO BPO LLC 701 Bricknell Ave United unauthorized subject www.fsa.gov.uk Miami Kingdom 246 FL 33131 USA Website: www.bolerobpo.com Bolsarentable Asesores Financieros 12 Wall Street floor 19 Spain unauthorized subject www.cnmv.es 247 10005 Manhattan, New York www.bolsarentable.com Bond Asset Management 11-15 Saint Mary at Hill, London EC3R 8EE United unauthorized subject www.fsa.gov.uk 248 www.bondassetmanagement.com Kingdom 249 Bordeaux Advisory B.V. Netherlands unauthorized subject www.afm.nl Borsa Financial Via Barberini 3/A, 00187 Rome, Italy Belgium unauthorized subject www.cbfa.be 250 www.borsafinancial.com Ireland financialregulator.ie Boston Private Equity 51 Custom House Street, Boston, MA 02110-3513. Švédsko neautorizovaný www.fi.se/warning 251 www.bostonpe.com subjekt 252 Boulton Capital Partners Ireland unauthorized subject www.financialregulator.ie BOY MALON 21, S.L. (EUROPEAN C/ França 11 Spain unauthorized subject www.cnmv.es 253 FINANCIAL SERVICES) 43816 Querol Tarragona BP Holdings BP Business Center, Calle de Jerez de los Caballeros, Belgium unauthorized subject www.cbfa.be 28042 Madrid, Spain Spain www.cnmv.es 254 16/F Miramar Tower, 132 Nathan Road, Tsim Sha, Tsui, Kowloon, Hong Kong 255 BR CONSULTANCE ALFAZ, S.L. C/Tabarca, Arabi Plaza n 24, L Alfas del Pí, Alicante Spain unauthorized subject www.cnmv.es BRADFORD SECURITIES LLC Smith St Farmingdale, NY 11735-1023 United unauthorized subject www.fsa.gov.uk 256 www.bradfordsecuritiesllc.com Kingdom Bradley King M & A Albert Complex, 60 Albert Street, Singapore, 189969. Sweden unauthorized subject www.fi.se 257 www.bradleykingma.com Brady & Bell Acquisition Ltd 12th and Midtown, 1075 Peachtree Street NE, At-lanta, GA Sweden unauthorized subject www.fi.se 258 30309 www.bradybellacq.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information BRACHMANN INTER DEALER 20-22 KING EDWARD STREET United unauthorized subject www.fsa.gov.uk 259 SERVICES LONDON EC1A 1HQ Kingdom www.brachmann-ids.com Braun and Brandt Consulting Firm 401 W 26th Street New York, USA United unauthorized subject www.fsa.gov.uk 260 www.braunbrandtconsulting.com Kingdom Brenner and Associates West 112th Street United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10018 261 USA www.brennerconsultancy.com E-mail: [email protected] Brentwood Capital Ventures 11TH STREET United unauthorized subject www.fsa.gov.uk 11TH FLOOR Kingdom 262 NEW YORK NY 10003 USA 263 Brentwood Group Ltd Level 14, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku,Austria Tokyo,unauthorized Japan 100-0005 subject www.fma.gv.at Brentwood Trust Company 8270 Woodland Center Blvd. Waters Tampa, Florida Sweden unauthorized subject www.fi.se/warning 264 33614 United States of America Brewer Consulting Group N Boadway Street 3, Chicago, Illinois 60657, USA United unauthorized subject www.fsa.gov.uk 265 www.brewerconsultants.com Kingdom 266 Bridge Investment Network www.bridgeinvest.dk Denmark unauthorized subject www.finanstilsynet.dk Bridgestone Trading 18th Floor Kyoung Am Bldg, Gangnam-gu, 157-27 Belgium unauthorized subject www.cbfa.be 267 Samsung-dong, 135-010 Seoul, Korea Bridgeway Corporate Management Hong Kong United unauthorized subject www.fsa.gov.uk 268 www.bridgewaycm.com Kingdom Bridport Advisory 14 Rye Jean-Petitot United unauthorized subject www.fsa.gov.uk Geneva – CH 1211 Kingdom a tiež: 269 117 Fenchurch Street London EC3M 5DY www.bridportadvisory.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Bright Bridge Wealth Management Inc. Talstrasse 40 United unauthorized subject www.fsa.gov.uk 270 Zurich 8001 Kingdom www.brightbridgewm.com BRM International St Martins House United unauthorized subject www.fsa.gov.uk com 16 Saint Martin's Le Grand Kingdom 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 271 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
BROKER'S SOCIETY SOCIEDAD DE C.I.F. B-83044354, c/Ortega y Gasset n 40, Madrid Spain unauthorized subject www.cnmv.es 272 GESTIÓN Y TRAMITACIÓN FINANCIERO ASEGURADORA, S.L. Bronte Financial International Commerce Centre, Union Square, Yai Tsim Sweden unauthorized subject www.fi.se MongKowloon, Hong Kong 273 www.brontefinancial.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Brookes & Associates 628 Hutchison House United unauthorized subject www.fsa.gov.uk 10 Harcourt Road Kingdom 274 Hong Kong Tel: +852 397 33748 www.brookes-associates.com Brookes and Hargreaves Level 18, 40 Bank Street, Canary Wharf, London E14 5NR, United unauthorized subject www.fsa.gov.uk 275 United Kingdom Kingdom www.brookes-hargreaves.com B-63263545, C/ROGER DE LLÚRIA 137-BAJOS, 08037 276 BROOKFIELD PARTNERS, S.L. BARCELONA Spain unauthorized subject www.cnmv.es Brooks and Hawthorne Consulting Ltd 22nd Floor, Suite 2232, Mori Tower, Roppongi Hills, 6-10-1 unauthorized subject www.fsa.gov.uk 277 Roppongi, Minato-Ku, Tokyo 106-0032, Japan United www.brooks-hawthorne.com Kingdom BROOMPARK INVESTMENTS LTD Website: www.b-pll.com United unauthorized subject www.fsa.gov.uk 278 Kingdom Browell Limited 16/Fn Sterling Centre, 11 CHEUNG, YUE Street, Belgium unauthorized subject [email protected] 279 CHEUNG SHA WAN, HK – KOWLOON, HONG KONG. BROWN AND WENGER 70 Linden Oaks, Rochester, New York 14625, USA United unauthorized subject www.fsa.gov.uk 280 CONSULTANCY FIRM www.brownwengerconsult.com Kingdom BROWN BROTHERS HARRIMAN SCA 32 Threadneedle Street, City of London EC2R 8AY, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 2-8 Avenue Charles de Gaulle, Luxembourg L-1653 281 Suite 1500, 410 Park Avenue, New York, NY 10022, USA www.bbhretail.com
Brubacher & Associates 8583 Boulevard Saint-Laurent, Montreal, Quebec, H2P Sweden unauthorized subject www.fi.se/warning 282 2M9 283 Bruno Beuriot Gestion France France unauthorized subject Phone +33(0)1 5345 6464 284 Brunswick Capital www.brunswickcapital.net Spain unauthorized subject www.cnmv.es Bryant Shaw LLC 29/F, Two International Finance Centre, 8 Finance Street, United unauthorized subject www.fsa.gov.uk 285 Hong Kong Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Bryce and Sons. Ltd. Oak Brook, 2021 Midwest Road, Ste.100, Oak Brook, Sweden unauthorized subject www.fi.se/warning Phone 286 Illinois, 60523 USA France +33 0 1 5345 6031 Netherlands www.afm.nl/warninglists 287 Bull and Bear Advisory (Ireland) Ireland unauthorized subject www.financialregulator.ie Bull Investment Advisors 120 Fenchurch Street United unauthorized subject www.fsa.gov.uk London Kingdom EC3M 5BP Tel: 0203 519 2082, Fax: 0207 806 8089 288 Email: [email protected] Websites: www.bullinvestmentadvisors.com www.bullinvest.co.uk www.bull-invest.com Burlington Corporate Management 18 Hanover Square United unauthorized subject www.fsa.gov.uk London Kingdom W1S 1HX And 289 8-9 New Street London EC2M 4TP Tel: 0203 394 0577 www.burlington-corp.com BUSINESS CASTLE FENIX, S.L. Av. Castilla 53 Pl. 2º Spain unauthorized subject www.cnmv.es 28830 San Fernando de Henares (Madrid) 290 www.castlefenix.com
Byrd Fleming and Associates 41 Madison Ave, New York NY 10017, USA United unauthorized subject www.fsa.gov.uk 291 www.bfandassociates.com Kingdom Cadden International Ltd. 1275 Glenlivet Dr. United unauthorized subject www.fsa.gov.uk Allentown, PA Kingdom 292 USA, 18106 Ph: +1 (484) 357-1969 www.caddenintl.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Cadogan United Securities United unauthorized subject www.fsa.gov.uk 293 Kingdom Caltherm Co Private Equity LLC 18 William Street, New York, NY 10005, USA Spain unauthorized subject www.cnmv.es 294 www.calthermco.com Camelot Advisors The Center, 99 Queens Road, Central, Hong Kong Norway unauthorized subject www.kredittilsynet.no 295 www.camelotadvisors Camelot Advisors Immobilien The Center, 99 Queens Road, Central, Hong Kong Denmark unauthorized subject www.dfsa.dk 296 www.camelotadvisors 297 Cameron McDonald & Co 625 4th Ave S, Minneapolis, MN 55415, USA Sweden unauthorized subject www.fi.se/warning Cameron Poe & Associates Inc. Cricket Square, Hutchinns Drive, P.O. Box 2681, Grand Denmark unauthorized subject www.finanstilsynet.dk 298 Cayman KY - 1111, Cayman Island www.cameronpoe.com Campbell Merger Solutions 8th Fl., Fukimoto Sawa Bldg., United unauthorized subject www.fsa.gov.uk 17-22, Koishikawa 4-chome, Kingdom Bunkyo-Ku, 299 112-0002, Tokyo, Japan Website: www.campbellmerger.com E-mail: [email protected] Campbell Stewart Advisory 52nd Street Avenue South United unauthorized subject www.fsa.gov.uk Seattle Washington 98105 Kingdom USA 300 Tel: 0012063190046 Website: www.campbellstewartadvisory.com Email: [email protected] Cantata Equity Management, LLC 125 High St. United unauthorized subject www.fsa.gov.uk Boston, MA 02110 Kingdom USA 301 www.cantataem.com Phone number: 617-517-3092 Fax: 617-830-9781 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Cantor Index / Cantor UK (Clone of FSA Tel: +44 20 3026 2539 United unauthorized subject www.fsa.gov.uk Authorised firm) Fax: +44 20 3026 2538 Kingdom Clone of previously Website: www.cantorfsa.com Emails: FSA authorised firm [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
Capital Acces Limited 1725 Street NW,Suite 3001 Farragut Office Centre, Sweden unauthorized subject www.fi.se/warning 303 Washington, District of Colombia 20006, USA Capital Alliances Ltd 46 Great Marlborough St, W1F 7JW, London, United France unauthorized subject www.amf-france.org 304 Kingdom Capital Edge Group Flurstrasse 30 Sweden unauthorized subject www.fi.se/warning CH-8048 Zurich Switzerland 305 Tel: 0041 (44) 586 82 40 www.capitaledgegroup.net [email protected] Capital Edge Group Flurstrasse 30 United unauthorized subject www.fsa.gov.uk CH-8048 Zurich Kingdom Switzerland 306 Tel: 0041 (44) 586 82 40 www.capitaledgegroup.net [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information CAPITAL INVEST TRADING EVELYN COURT BUSINESS CENTRE United unauthorized subject www.fsa.gov.uk DEPTFORD ROAD Kingdom LONDON SE8 5AD AND 10/11 RUE GUDIN 307 PARIS 75016 AND 15TH FLOOR, EMIRATES TOWER SHEIKH ZAYED ROAD DUBAI www.citrading.net Capital Investors Asset Management Switzerland unauthorized subject 308 A.G. Greece 309 Capital Investors S.A. . Luxembourg Greece unauthorized subject Capital Management Foundation of 391 NW 179th Ave, Aloha, Oregon 97006, USA France unauthorized subject +33 (0)1 5345 6029 310 North America 311 Capital Managements Schotts, S.L. Spain unauthorized subject www.cnmv.es Capital Markets Fleet House, New Bridge Street, London EC4V 6AL, United United unauthorized subject www.fsa.gov.uk 312 Kingdom Kingdom www.capitalmarketsuk.com 313 Capital Partners, a.s. Česká republika Greece unauthorized subject www.cmc.gov.gr Capital Registrars Group 2 Grand Canal Square, Dublin 2, Ireland United unauthorized subject www.fsa.gov.uk 314 Kingdom Capital Securities International 383 Madison Avenue, New York USA 10179 unauthorized subject www.fi.se/warning 315 2 Exchange Square, Hong Kong www.capseinternational.com Sweden Capitalium Consult SCRL route de Genval 31, 1380 Ohain unauthorized subject www.cbfa.be 316 Belgium Capitalium Europe SA route de Genval 31, 1380 Ohain unauthorized subject www.cbfa.be 317 Belgium CapitalSys c/Comtes de Bell-Lloc, 170, 08014 Barcelona, Spain Sweden unauthorized subject www.fi.se/warning 318 www.capitalsys.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Capitol Acquisition Management Inc. 509 7th Street, 8th Floor, N.W. United unauthorized subject www.fsa.gov.uk Washington DC 20004 Kingdom United States of America 319 Tel.: 1 202 552 1017 www.capitolami.com www.capami.com Capstone Alliance Group Level 7 Toranomon 40 MT Building, 5-13-1 Toranomon, Norway unauthorized subject www.finanstilsynet.no 320 Minato-ku, Tokyo, Japan www.capstone-alliancegroup.com Capstone Capital Group 160 Rivington Street, New York, NY 10002, USA United unauthorized subject www.fsa.gov.uk 321 www.capstonecapital.com Kingdom Capstone Financial Group UK Tower 42, International Financial Centre, 25 Old Broad United unauthorized subject www.fsa.gov.uk Street, Kingdom City of London 322 Tel: +44 (0) 203 318 2627 www.capstonefinancialuk.com
324 Card Guard AG Neuhausen am Rheinfall Switzerland unauthorized subject www.swx.com Carlisle-Conroy Ventures Kudan Horie Bldg., 25F, 4-3-14 Kudan-kita, Tokyo 102- Sweden unauthorized subject www.fi.se/warning 0073, Japan. 325 Carlisle-Conroy www.carlisle-conroy.com Carlson Group Consultancy 87C West 11th Street, United unauthorized subject www.fsa.gov.uk New York, Kingdom NY 10001. 326 Tel: 009145172746 Fax: 0019144623270 Website: www.carlsonconsultancy.com Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information CARLTON CAPITAL INC 48 Wall Street, New York, NY 10005, USA United unauthorized subject www.fsa.gov.uk 327 www.carltoncapitalinc.com Kingdom Carlton Global Management 18th Floor Kyoung Am Building, 157-27 Samsung-dong, Sweden unauthorized subject www.fi.se/warning 328 Kangnam-ku, Seoul, 135 090 Korea 329 Cartius Finance Belgium unauthorized subject www.cbfa.be Cartwright & Keating Sun Truet Plaza, Suite 2410, 303 Peachtree Street, Atlanta, unauthorized subject www.fi.se/warning 330 Georgia 30303, USA www.cartwrightandkeating.com Sweden Cartwright Investment Group Kensington Olympia United unauthorized subject www.fsa.gov.uk Crown House Kingdom 331 72 Hammersmith Road London W14 8TH UK Castle Rock Corporate Finance 10th Floor Togin Building United unauthorized subject www.fsa.gov.uk 4-2 Marunouchi 1-chome Kingdom Chiyoda-ku 100-0005 Tokyo 332 Japan
Website: www.castlerock-cf.com E-mail: [email protected] CASTLE TRADE INTERNATIONAL X-Tower, Floor 2, Osaka Bay 1-3-1 Benten, Osaka, Osaka - Portugal unauthorized subject www.cmvm.pt 333 fu, Japan www.castletradeinternational.com Castlepeak and Sons, Ltd. Blue Ash 11427 Reed Hartman Highway, Cincinnati, OH Netherlands unauthorized subject Phone +31 (0)20 5535 535 334 45241, USA 335 Cathay Asset Management Netherlands unauthorized subject www.afm.nl/warninglists 336 Cayo Flow Capital www.cayoflow.com Cyprus unauthorized subject www.cysec.gov.cy CDV Investments 40 Bank Street, Canary Wharf, London E14 5NN, United United unauthorized subject www.fsa.gov.uk 337 Kingdom Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information CDV Investments (Europe) Mariahilfer Strasse 123 Austria unauthorized subject t.č. +43 (0)124959-5106 1060 Vienna 338 Phone: +43 (0) 720 880 227 ext. 351 +43 (0) 720 880 227 ext. 352
CEEM Central & Eastern European with alleged place of business Austria unauthorized subject Phone +43 (0)1/24 959 5106 Markets Asset Management Burgring 16, A-8010 Graz, Austria http://ceemam.com 339 Phone: +43 720 88 07 17 Fax: +43 720 88 07 18
Centaur Global Advisors 509 Olive Way Seatlle, WA 98101 USA. Sweden unauthorized subject www.fi.se/warning 340 www.centaur-advisors.com CENTER FINANCE MANAGEMENT 27th Floor, Ark Mori Building, W-12-32, Akasaka 1-chome, United unauthorized subject www.fsa.gov.uk 341 Minato-ku, Tokyo, Japan 107-6030 Kingdom www.centerfinancemanagement.com Centrade Management Corp. 440 W. 33 Street, New York, NY 10001 Sweden unauthorized subject www.fi.se 342 www.ctmgtcorp.com Central & Eastern Markets Asset Burgring 16, A-8010 Graz, Austria Belgium unauthorized subject www.cbfa.be 343 Management www.ceemam.com Centurion Capital International , Inc. 703 Wiles Rd., Suite 311, Coral Springs, FL 33067, USA Sweden unauthorized subject www.fi.se/warning 344 Century Direct Group No. A-90, Lajpat Nagar 2, New Delphi, 110024 India The unauthorized subject www.afml.nl 345 www.centurydirectgroup.com Netherlands 346 CertiGroup United Kingdom head office, China branch Slovenia unauthorized subject www.a-tvp.si 347 CF Invest Ltd www.sfimarkets.com Cyprus unauthorized subject www.cysec.gov.cy CFM Trading LP 405 Lexington Avenue, 41 st. Flr, New York NY 10174, unauthorized subject www.fi.se/warning 348 USA www.cfmtradings.com Sweden CFS PLC Trading Office, 29th Floor, 1 Canada Square, Canary United unauthorized subject www.fsa.gov.uk Wharf, E14 5DY Kingdom 349 78 Sir John Rogerson Quay, Dublin 2, Ireland www.cfsplc.co.uk Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 350 Ci Com SA Switzerland unauthorized subject www.swx.com 351 CIAR INVESTMENT CORP 2236 Albert Hoy Street, Belize City Spain unauthorized subject www.cnmv.es CIB Malta PLC http://cibmalta.eu Malta Malta Financial Services Authority Tel: +356 21441155 Direct: +356 25485386 352 Email: [email protected] .mt Web: www.mfsa.com.mt CISA, S.L., Corporate Investment 353 Services B-63734974, Calle Balmes, n 152, 3, 2a, 08080 Barcelona Spain unauthorized subject www.cnmv.es Citi Capital Partnership 400 Park Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom 354 NY 10022-4699 USA www.citicapitalpartnership.com 355 CitiFund Asset Management Inc 399 Park Avenue, 8th Floor New York, New York Sweden unauthorized subject www.fi.se/warning CITILIFE FINANCIAL (Clone of FSA 29 Throgmorton Street 1 Northwall Quay United unauthorized subject www.fsa.gov.uk EEA Authorised firm) London Kingdom Clone of FSA EEA Dublin 1 Authorised firm EC2N 2AT County Dublin Ireland 356 Tel: 0207 193 2824 00 (353) 1443 4076 Fax: 0203 514 2602 00 (353) 1696 8961 www.citilifefinancial.com Email: [email protected]; [email protected] 357 Citilife Financial Limited Ireland & UK Ireland unauthorized subject www.financialregulator.ie 358 City Capital MA 6990 W. Cedar Ave., Lakewood, CO 80226 USA Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Citywide Associates 12-14 Old Street United unauthorized subject www.fsa.gov.uk London Kingdom EC2A 4AA 359
Tel: 0203 284 8374 Fax: 0203 284 8375 Clairmont Capital Partners Marunouchi Kitaguchi Bldg, 6-5,1 Marunouchi, Chiyoda-ku, Sweden unauthorized subject www.fi.se 360 Tokyo, Japan www.clairmontcapitalpartners.com 361 Claridon Asset Management (UK) Ireland unauthorized subject Central Bank of Ireland Clarity Capital Markets Lansdowne House, 57 Berkeley Square, London W1J 6ER, United unauthorized subject www.fsa.gov.uk 362 United Kingdom Kingdom www.claritycapitalmarkets.com Classicus AG Feldkircher Straße 48 Austria unauthorized subject Phone +43 (0)1/24 959 5106 9494 Schaan 363 Liechtenstein [email protected]
CLAYBOURNE GROUP Tesbury Center, 24-32 Queens Road East, Wanchai, Hong United unauthorized subject www.fsa.gov.uk 364 Kong Kingdom www.claybournegroup.com Claymore Capital 51 Fitzwilliam Sq.W., Droichead Na Dothra, Dublin 2, United unauthorized subject www.fsa.gov.uk Ireland Kingdom 365 PO Box 1917, Dublin 2, Ireland www.claymorecapital.com Clayton Pressman Ivy International www.cpi-i.com United unauthorized subject www.fsa.gov.uk 366 Kingdom CLOSE CAPITAL INVESTMENTS 10 EXCHANGE SQUARE United unauthorized subject www.fsa.gov.uk PRIMROSE STREET Kingdom 367 LONDON EC2A 2BY www.close-capital.com Close on, S.L. c/Diego de León 28, 28006 Madrid, Spain unauthorized subject www.cnmv.es 368 Spain Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information CLUB DE INVERSIÓN DE ALTO Avenida 300, n. 13, bajos 1a, Castelldefels, 08860- Spain 369 RENDIMENT (CIAR) Barcelona, Spain unauthorized subject www.cnmv.es 370 CMBS Portfolio LLC Ireland unauthorized subject www.financialregulator.ie CNB Acquisitions Inc. Financial Street Centre, No. 9 Financial Street, XiCheng United unauthorized subject www.fsa.gov.uk District, Beijing 100033 Kingdom 371 Lloyds Building, 12 Leadenhall Street, EC3V 1LP www.cnbacquisitions.com CoachTrader www.coachtrader.com. France unauthorized subject Tél. : 01.53.45.58.71 - Fax : 01.53.45.58.70 372 [email protected]
Cohen Corporate Consulting 45D Mariaville Road, Pattersonville, New York 12137, USA United unauthorized subject www.fsa.gov.uk 373 www.cohencorporateconsulting.com Kingdom
Coleman and Partners 124 Fulton Street, New York, USA United unauthorized subject www.fsa.gov.uk 374 www.colemanandpartners.com Kingdom Coleman, Peterson & Associates 1645 Dr. Martin Luther King Drive, Suite 1201, St. Louis, Sweden unauthorized subject www.fi.se/warning 375 MO USA 63106 Collingbourne Group Amber Commercial Building, 70-72 Morrison Hill Road, United unauthorized subject www.fsa.gov.uk 376 Hong Kong Kingdom COMFIMO INVERSIONES, S.L. Paseo de la Castellana, 210.14-6 Spain unauthorized subject www.cnmv.es 28046 MADRID 377 http://comfimo-inversiones.com
Commodore Asset Ohio, USA Norway unauthorized subject www.kredittilsynet.no 378 www.commodoreasset.com Belgium www.cbfa.be Commonwealth Alliance Corporation 53rd Street Marbella, World Trade Center, 1st Floor Sweden unauthorized subjec www.fi.se/warning 379 Commercial Area, Panama City, Panama 0832-00155 www.thecommonwealthalliancecorp.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Companies Investment Holdings Ltd Zephyr House, 122 Mary Street, PO Box 709, Grand United unauthorized subject www.fsa.gov.uk Cayman KY1-1107 Kingdom 380 1 Gwynne Gardens, East Grinstead, West Sussex RH19 1PY, United Kingdom www.companiesinvestment.com Complete Commodity Trading Tower A, 23/F Center Plaza, 161 Lin He Xi Road, Tian He Norway unauthorized subject www.kredittilsynet.no 381 District, Guangzhou 510620 www.completcommodity.com Concept Fund Solutions 29th Floor, One Canada Square, London E14 5DY, United United unauthorized subject www.fsa.gov.uk 382 Kingdom Kingdom www.conceptfundsolutions.com CONCEPTS FINANCIAL unauthorized subject 383 CONSULTANTS SA Greece CONINVER ASESORES, S.L. C/Barbadillo, 4-1 a planta, 28042 Madrid, Spain Spain unauthorized subject www.cnmv.es 384 www.coninver.es Connelly Peterson Ltd. 200 West Madison Street, P.O. Box 57680, Chicago, IL Sweden unauthorized subjec www.fi.se/warning 60606. 385 www.connellypeterson.com
Connors Thompson Reed United unauthorized subject www.fsa.gov.uk Tel: 0845 686 1766 Kingdom Clone of previously FSA registered firm The firm Connors Thompson Reed Limited, which 386 appears on the FSA register under the Firm Registration Number 200645, is no longer FSA registered. Conquest Private Equity LLC 1127 Avenue of Americas, New York, NY 10036, USA Norway unauthorized subject www.finanstilsynet.no 387 www.conquestpe.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 388 Constant Financial Services Cyprus unauthorized subject www.cysec.gov.cy CONSULTRADING www.cfdivisas.com 389 SOLUTIONS GROUP www.hispatraders.com Spain unauthorized subject www.cnmv.es Cooper and York Office 2606, 26/F, Richmond Commercial unauthorized subject www.fi.se/warning 390 Bldg. 109, Argyl St, Mong Kok, Kowloon, Hong Kong Sweden Cooper Company Management 2 Penn Plaza, New York, NY 10001, USA United unauthorized subject www.fsa.gov.uk 391 www.coopercompanymanagement.com Kingdom Cornerstone Worldwide 129 Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato- unauthorized subject www.fi.se/warning 392 ku, Tokyo, Japan 105-003 Sweden CORNHILL MANAGEMENT, S.L. Calle Balmes, C.I.F.: B-64385909 n 152, 3o, 2a, 08080 Spain unauthorized subject www.cnmv.es 393 BARCELONA Corolla Financial Yebisu Garden Place Tower, Ebisu, Shibuya-ku, Tokyo, Belgium unauthorized subject www.cbfa.be 394 Japan Corporate One Asset Management Koda Sweden unauthorized subject www.fi.se/warning Building 11F, 10-2 Nishi-Tenma 2-chome, Kita-ku, 530- 395 0047, Oska, Japan. www.corporateoneassetmgm.com Corporate One Asset Management Sweden unauthorized subject www.fi.se/warning Koda Building 11F, 10-2 Nishi-Tenma 2-chome, Kita-ku, 530-0047, Oska, Japan. 396 605 Horie Blg., Kudankita 4-3-14, Chiyoda-Ku, 102-0073, Tokyo, Ja-pan. www.corporateoneassetmgt.com Corporate One Asset Management Koda Building 11F United unauthorized subject www.fsa.gov.uk 10-2 Nishi-Tenma 2-chome Kingdom Kita-ku 530-0047 397 Osaka Japan Tel: +81 6 4560 4046 Website: www.corporateoneassetmgmt.com 398 CorporateBonds.pl Sp. Z o.o. Rajców 4, 00-220 Warsaw, Poland Poland unauthorized subject www.knf.gov.pl Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Courtney Brown Group 42, allée Scheffer, L-2520 Luxembourg Luxemburg unauthorized subject www.cssf.lu 399 www.thecourtneybrowngroup.com Courtney Brown Group 42 Allee Scheffer United unauthorized subject www.fsa.gov.uk Luxembourg City Kingdom 400 Luxembourg L2520 www.thecourtneybrowngroup.com Cover Capital Partners 1722 John F Kennedy Blvd, Philadelphia PA 19103, USA unauthorized subject www.fi.se 401 www.covercp.com Sweden CP Brokers Admirals Way, Canary Wharf, London E14 9XG United unauthorized subject www.fsa.gov.uk 402 Taunusanlage 12, Frankfurt, Hesse, Germany Kingdom www.cpbrokers.co.uk CPI International Equitable Building, Floor 23 Suite 1996 United unauthorized subject www.fsa.gov.uk 120 Broadway Kingdom Manhattan New York10271 403 USA Tel: 0016463891920 Fax: 0016463891923 E-mail: [email protected] Website: www.cpiint.com Crawford & Knight Platz der Einheit 1 United unauthorized subject www.fsa.gov.uk 60327 Frankfurt am Main Kingdom 404 Germany www.crawfordknight.com Crawford Capital Partners 112 East 50th Street United unauthorized subject www.fsa.gov.uk New York Kingdom 10022, New York 405 U.S.A. Tel.: 001 631 415 9996 Email: [email protected] Website: www.crawfordcapitalpartners.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Credi Corp Securities : 18 Bleicherweg 8002, Zurich, Switzerland Norway unauthorized subject www.kredittilsynet.no 406 http://www.credicorpsecurities.com/. Finanstilsynet Credible Solutions Inc. 345 California Street, San Francisco, CA 94104 Sweden unauthorized subject www.fi.se/warning 407 www.credible-solutions.us Credit Suisse (UK) Limited United unauthorized subject www.fsa.gov.uk 408 Kingdom 409 Crickmore & Lutz 22, rue/avenue de la Gare, L-1610 Luxembourg Luxemburg unauthorized subject CROMWELL AND GOODWIN 221 E 18TH ST # 1 NEW YORK United unauthorized subject www.fsa.gov.uk NY 10003-3620 Kingdom 410 UNITED STATES www.cromwellgoodwin.com. Crossbridge Partners 19F Hing Wai Centre, 7 Tin Wan Praya Road, Hong Kong Sweden unauthorized subject www.fi.se 411 Island, Hong Kong. www.crossbridgepartners.com Crossley Acquisitions 1233 20th Street NW #104 United unauthorized subject www.fsa.gov.uk 412 Washington D.C. Kingdom www.crossleyacquisitions.com Crown Point Mergers & Acquisitions Shinjuku Park Tower, 163, 1030 Tokyo, Japan unauthorized subject www.fi.se/warning 413 Limited Sweden Cruse & Associates Suite 1003, 9/F Bank of America Tower,12 Harcourt Road, Norway unauthorized subject www.finanstilsynet.no 414 Central, Hong Kong www.cruseandassociates.com. CT Lambson and Associates 432 Park Avenue South, Manhattan, NY 10016, USA United unauthorized subject www.fsa.gov.uk 415 www.ctlambson.com Kingdom 416 CTA Bank www.ctabank.com Belgium unauthorized subject www.cbfa.be CulverHouse Capital L-1248 Luxembourg, rue de Bouillon Luxemburg unauthorized subject www.cssf.lu 417 website: www.culverhousecapital.com Cunningham Hyatt Mergers & First National Plaza, 70 West Madison St., Three First unauthorized subject www.fi.se/warning 418 Acquisitions, LLP National Plaza, Chicago, Illinois 60602-4270 Sweden CV Global Corp LLC 140 4th Avenue North, Seatle, WA 98109, USA United unauthorized subject www.fsa.gov.uk 419 www.cvglobalcorp.com Kingdom D.Keffel-Fallahi 119 C. Jara, E-29630 Benalmadena, Spain,e-mail: Austria unauthorized subject Phone +43 (0)124959-5106 420 [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Dai-ichi Securities 15th Floor, KDDI Otemachi building, 1-8-1 Otemachi, Denmark unauthorized subject www.finanstilsynet.dk/sw126 421 Chiyoda-Ku, Tokyo 100-0004, Japan 7.asp www.dai-ichi-securities.com 422 DAILY REPORT, S.A. A-63429765, Avd. Diagonal 615, 8 A, 08028 Barcelona Spain unauthorized subject www.cnmv.es Damon and Callus 743 Third Avenue, Suite 22A, New York, NY 10017, USA Sweden unauthorized subject www.fi.se/warning 423 DANT AND COMPANY LLC 750 7th Avenue, New York, NY 10019, USA United unauthorized subject www.fsa.gov.uk 424 www.dantcompany.com Kingdom Dauphin Asset Europe Seefeldstrasse 69, 2nd Floor, Zurich, Switzerland Sweden unauthorized subject www.fi.se/warning 425 Netherlands www.afm.nl 426 Davenport Chadwick & Co. Ltd Cyprus unauthorized subject www.cysec.gov.cy Davidson Capital Partners (USA) Ireland unauthorized subject www.financialregulator.ie 427 DAVIDSON CAPITAL PARTNERS 98 – D EAST MAIN STREET United unauthorized subject www.fsa.gov.uk SUITE 209 Kingdom BATAVIA 428 NEW YORK 14021
Davis & Co LLC One Commerce Plaza, 99 Washington Ave, Albany, NY United unauthorized subject www.fsa.gov.uk 429 12231 Kingdom www.daviscompanyllc.com Davis & Rudell LLC Liberty Street, Financial District, New York City, New Your unauthorized subject www.fi.se/warning 430 10006, USA www.davis-rudell.com Sweden Davis Mayer Group Doosan Building, 10th Floor, 105-7 Nonhyun-dong, Belgium unauthorized subject www.cbfa.be 431 Gangnam-Ku, Seoul 135-010, South Korea Norway www.kredittilsynet.no Austria www.fma.gv.at Davis Ward & Beck Partners LLC 444 North Capitol Street, Washington, D.C., USA The unauthorized subject www.afml.nl 432 www.dwbpartners.com Netherlands Dawson & Crane Inc. 37th Floor, The Center, 99 Queen´s Road Central, Central Austria unauthorized subject www.fma.gv.at 433 Hong Kong www.equicap-corp.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Dawson & Fielding Inc 8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-ku, Sweden unauthorized subject www.fi.se/warning 434 Tokyo, 100--0005, Japan www.dawsonfielding.com 435 Dc Digital Finance Cyprus Italy unauthorized subject De Vos [email protected] Netherlands unauthorized subject t. č. +31 (0)20 797 3751 436 [email protected] [email protected] Dealers Quality Consulting, S.L. c/Diego de León 28, 28006 Madrid, Spain unauthorized subject www.cnmv.es 437 www.dealers.com.es Spain 438 Dean Witter Consultancy (USA) Ireland unauthorized subject Central Bank of Ireland Decker Investors Corporation http://www.deckercorporation.com: Cyprus unauthorized subject www.cysec.gov.cy 439
Deep Blue Group Corporate Center Calle de la Ribera del Loira, 28042 Madrid, Spain Norway unauthorized subject www.finanstilsynet.no 440 www.deepbluegroup.com Delacour Investments / Delacour Group 8-12 Salisbury House, London Wall, London EC2M 5QN, United unauthorized subject www.fsa.gov.uk Ltd United Kingdom Kingdom 441 11th Floor, Guangdong Finance Building, ConnaughtRoad West, Sheung Wan, Hong Kong www.delacourinvest.com Delta IMT 62A, Mihai Bravu Avenue, Commercial Center Spectrum, Denmark unauthorized subject www.finanstilsynet.dk 442 1. Floor, sector 2, Bucharest, Romania Delta Trade Financial Group Promenade 11, 1170 Peachtree Street N.E., Atlanta, GA Sweden unauthorized subject www.fi.se/warning 443 30309 USA, Stephanie Square Centre, Avenue Louise 65, 1050 Brussels, Belgium Delta West Financial Management 1553 4th Ave # 600, New York, New York 10017 Norway unauthorized subject www.finanstilsynet.no 444 www.deltawestfinancialmgt.com. Delta West Financial Management . 1553 4th Ave # 600, New York, New York 10017 Sweden unauthorized subject www.fi.se/warning 445 www.deltawestfinancialmgt.com Denhman Ogilvie The Compass Center, 97B Queen's Road, Central Hong Sweden unauthorized subject www.fi.se/warning 446 Kong. www.denhman-ogilvie.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Denko Group 35th and 36th Floor Singapore UOB Plaza 1 Centre, 80 Sweden unauthorized subject www.fi.se/warning 447 Raffles Place, Singapore 042624 Austria Phone +43 (0)124959-5106 www.denkogroup.com 448 Denton Mergers and Acquisitions 56, Fultonstreet, New Yourk, NY 10038, USA Netherlands unauthorized subject www.afm.nl Department of Financial Trading 18th Street Northwest, Washington DC, USA United unauthorized subject www.fsa.gov.uk 449 Kingdom Department of Foreign Investment 1048 12th Street Northwest, Washington DC, 20005, USA United unauthorized subject www.fsa.gov.uk Control www.gov.dfic.us Kingdom 450 www.dfic.us
DeVere & Partners UK Limited United unauthorized subject www.fsa.gov.uk 451 Kingdom Devonshire Holdings 1 Canada Square, London E14 5AA United unauthorized subject www.fsa.gov.uk 452 www.devonshireholdings.co.uk Kingdom Dietrich & Sohn London Towers Perrin I S R 71 High Holborn, Greater London Austria unauthorized subject www.fma.gv.at 453 WC1V 6TP, United Kingdom www.dietrich-sohn.com Digital 1 Media, Inc. 3307 NW 55th Street, Bldg. 14, Fort Lauderdale, FL 33309 Sweden unauthorized subject www.fi.se/warning 454 Di-La et Thalia Assurances Rue du Champ de Mars 5, 1050 Brussels. Belgium unauthorized subject [email protected] 455 DIRECT BROKERS INVEST / DB Tel: 0203 514 2065 United unauthorized subject www.fsa.gov.uk INVEST (Clone of former FSA Fax: 0203 514 2067 Kingdom Clone of previously Registered firm) Email: [email protected] FSA authorised firm 456 may also use DIRECT BROKERS INVESTMENTS
Direct Capital Connection Sea Fort Square center Building, 2-3-12 Higashi-Shingawa, Norway unauthorized subject www.finanstilsynet.no 457 Tennozu Isle, Shinagawa-ku, Tokyo, Japan www.directcapitalconnection.com Direct Mergers & Acquisitions Inc 17th Floor, Resona Maruha Building, 1-2 Otemachi 1- United unauthorized subject www.fsa.gov.uk 458 chome, Tokyo 100-0004, Japan Kingdom www.directmergersacq.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 459 Direct Settlements Pte Ltd. Dammstr. 19, CH-6301 Zug, Switzerland Norway unauthorized subject www.kredittilsynet.no DISTRESSED ACQUISITIONS 18 HARBOUR ROAD United unauthorized subject www.fsa.gov.uk COMMISSION WAN CHAI Kingdom 460 HONG KONG www.distressedac.com Diversified Capital 18th Floor, One International Finance Centre, 1 Harbour United unauthorized subject www.fsa.gov.uk 461 View Street, Central Hong Kong Kingdom www.div-capital.com Diversified Capital Management Ltd Suite 3102, HSBC Building, 1 Queen's Road, Central Hong Sweden unauthorized subject www.fi.se/warning 462 Kong, P.O.Box 392, 51 Main Street, Road Town, Tortola, Netherlands www.afm.nl British Virgin Islands Diversified Portfolio Management Invest Unit 177 Carnegie Hall Tower, 152 West 57th Street, unauthorized subject www.fsa.gov.uk 463 (DPM Invest) Midtown, Manhattan, New York City, NY 10019, USA United www.dpminvest.com Kingdom 464 Dividium Capital, S.L. Gran Vía Asima 20, 07009 Palma de Mallorca Spain unauthorized subject www.cnmv.es DMR Consulting, LLC 1500 JFK Boulevard Suite 200, Philadelphia, PA 19102, Sweden unauthorized subject www.fi.se USA. Cerulean Tower, 26-1, Tokyo, 150-0031 Shibuya-ku, 465 Japan. 44 Market Street, Sydney NSW 2000, Australia. Calle de Velázquez, 85, 28006 Madrid, Spain. www.dmrconsultingllc.com 466 Dominion Royal Ekonomisk Forening Sweden unauthorized subject www.fi.se/warning Donaldson and Turner Ltd. 30 N. La Salle Street, #2800A Austria unauthorized subject Phone +43 (0)1/24 959 5106 Chicago, IL 60602-3349 USA 467 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 United unauthorized subject www.fsa.gov.uk 468 Doncaster Wealth Management Kingdom Kingdom (Brokers) Ltd www.doncasterwm.co.uk Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Doyle John Joseph Ilp 2 Rector Street, 21st Floor, New York, NY 10006, USA Sweden unauthorized subject www.fi.se/warning 469 www.doylejohnjoseph.com Dragon International The 57, West 57 Street, New York, NY 10019, USA United unauthorized subject www.fsa.gov.uk 470 www.dragonmergers.com Kingdom Dragon Partners Inc. 2 Jian Guo Men Wai Ave, 18, Beijing, China unauthorized subject www.cbfa.be 471 www.dragonptsn.com Belgium Dragon Securities 502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku- unauthorized subject www.kredittilsynet.no 472 ku, Tokyo 162-0825, Japan Norway DRAKE & CHILDS GOBAL 15 Upper Bank Street, London E14 5EE, United Kingdom United unauthorized subject www.fsa.gov.uk 473 TRANSFERS Kingdom Drake Merger Management 8th Flr., Kanematsu Bldg., 14-1, Kyobashi 2-chome, Chuo- United unauthorized subject www.fsa.gov.uk 474 ku, Tokyo, Japan, 104-0031 Kingdom www.drakemerger.com Drexel Lambert Mergers and 1221 Avenue of the Americas United unauthorized subject www.fsa.gov.uk 475 Acquisitions New York, NY 10220 Kingdom www.drexellambertmergersandacquisitions.com Drexel-Bearns Consulting Group 8th Avenue United unauthorized subject www.fsa.gov.uk Suite 401 Kingdom New York 10018 USA 476 Tel: 0016467559013 Fax: 0016462249557 E-mail: [email protected] Website: http://drexelbearns.com; www.computeratwork.com/drexelbearns DSB Singapore Pte. 32 Maxwell Road, #03-07 White House, Singapore 069115 Sweden unauthorized subject www.fi.se/warning 477 DT Group Business Solutions 115 E 54th Street, New York NY 10022, USA United unauthorized subject www.fsa.gov.uk 478 www.dtgconsult.com Kingdom DTZ Investment Group Financial Isle of Man Isle of Man, unauthorized subject www.gov.im 479 Securities United Kingdom 480 Dufresne and Andy International USA Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 481 Dufresne and Andy International USA Ireland unauthorized subject www.financialregulator.ie Dunleavy Management Ltd Level 9, Edobori Cener Building, 211 Edobori, Nishi-Ku, Sweden unauthorized subject www.fi.se/warning 482 Osaka 550-0002, Japan Dupont Conseille AG Selnaustrasse 28, Postfach 8021, Zurich, Switzerland The unauthorized subject www.afm.nl 483 www.dupontconseille.com Netherlands Durdan Heyer Ltd 415 W Mercer Street United unauthorized subject www.fsa.gov.uk Seattle, WA 98119 Kingdom Tel: +1 (202) 462 5341 484 +1 777 889 1731/1734 www.durdanheyer.com [email protected] Dyman Associates 10-1, Roppongi 6-chom, Minato-ku, Tokyo, 106-6114, Norway unauthorized subject www.finanstilsynet.no Japan 485 27 Avenue de l´Opera, 75001 Parus, France www.dymanassociates.com Dynamic Wealth Management Schuetzengasse 4, 8001 Zurich, Switzerland Sweden unauthorized subject www.fi.se/warning 486 www.dynamicmanagement.com Dynamic Wealth Management Schutzengasse 4, 8001 Zurich, Switzerland. France unauthorized subject t.č.+33(0)1 5345 6034 487 http://www.dynamicwmanagement.com. EAGLE ADVISORS United unauthorized subject www.fsa.gov.uk 488 Kingdom 489 Eagle Commerce Group (USA) Ireland unauthorized subject Central Bank of Ireland EAGLE STAR INTERNATIONAL Edificio Compostela c/ Leganitos no 47, 10, 28013 Madrid Spain unauthorized subject www.cnmv.es 490 GROUP East Financial Group 1675 Broadway, 30th FL., New York, NY 10019-5820 unauthorized subject www.fi.se/warning 491 www.eastfinancialgroup.net Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information EAST FUND MANAGEMENT Website: www.ef-management.co.uk United unauthorized subject www.fsa.gov.uk Address: 1 Cabot Square, Canary Wharf, London E14 4QR Kingdom Clone of previously Telephone: 0207 193 7828 FSA EEA authorised Fax: 0203 514 0464 firm Email: [email protected] previously using the following contact details: 492 Website: www.efm-consulting.co.uk Address: 1 Canada Square, London E14 5DY Telephone: 0208 144 2837 Fax: 0203 318 4411 Email: [email protected]
493 Eastern Property Holdings Limited Switzerland unauthorized subject www.swx.com Eastman Asset Management www.eastmanasm.com Sweden unauthorized subject www.fi.se 494 [email protected] Eastman Pierce Partners Mergers & Chrysler Building, Sweden unauthorized subject www.fi.se 495 Acquisitions 405 Lexington Avenue, New York, NY 10017 www.eastmanpierce.com Eastman Pierce Partners Mergers and Chrysler Building United unauthorized subject www.fsa.gov.uk Acquisitions 405 Lexington Avenue Kingdom New York NY 10017 USA 496 Tel: 001 646 810 3882, Tel: 001 212 359 1686 Fax: 001 212 658 9677 Fax: 001 646 514 5425 E-mail: [email protected] Easton Corporate Finance 1 West Street United unauthorized subject www.fsa.gov.uk New York Kingdom 497 USA www.eastoncorporate.com 498 Easy Tech Solutions www.easytech-ltd.com Norway unauthorized subject www.finanstilsynet.no Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Eaton Capital Americas 12 calle 1-25, zona 10, Torre sur Oficina 1107, Gemimis Sweden unauthorized subject www.fi.se/warning 499 International Mall, Guatemala City, Guatemala Norway www.finanstilsynet.no Eaton Capital Americas unauthorized subject www.cssf.lu 500 (Belize/Guatemala) Luxemburg Eclipse Advisory B.V. 984 Orteliuslaan Austria unauthorized subject Phone +43 (0)1/24 959 5106 3526 Utrecht Holland 501 Tel: +31-308-903263 Fax: +31-303-100151 http://eclipse-advisory.com/ [email protected] Eclipse Options Ltd Europe / Eclipse 35 Great St Helen´s, London EC3A 6AP, United Kingdom United unauthorized subject www.fsa.gov.uk 502 Trading Kingdom
503 Ecominvest.co.uk www.ecominvest.co.uk Slovenia unauthorized subject www.a-tvp.si Eden Management Partners Asia Pacific Centre, 8 Wyndham Street, Central and West unauthorized subject www.fi.se/warning 504 Hong Kong www.eden-management-partners.com Sweden Edenbourg Advisory Services Place Sainte-Gudule/Sinter Goedeleplein 17, 1000 Belgium unauthorized subject www.cbfa.be 505 Brussels, Belgium EDENSTONE CONSULTING 42 BAHNHOFFSTRASSE United unauthorized subject www.fsa.gov.uk FLOOR 6-8 Kingdom CH8001 ZURICH 506 SWITZERLAND Tel: +41 44 586 5423
Edge Capital Markets International Commercial Centre, 11th Floor, 1 Austin Road United unauthorized subject www.fsa.gov.uk 507 West, Kowloon, Hong Kong Kingdom www.edgemltd.com EDGELAKE MERGERS & 79 ROBINSON ROAD United unauthorized subjec www.fsa.gov.uk ACQUISITIONS SINGAPORE Kingdom 508 068897 www.edgelakema.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Edgewood Equities Capital Investment 25 Old Broad Street, EC2N 1HQ London, United Kingdom United unauthorized subject www.fsa.gov.uk Inc 350 Park Avenue 18th Floor, New York, NY 10022, USA Kingdom 509 www.edgewoodequities.com
510 Edmund Rome Corporate 65, Avenue Louise, 1050 Brussels, Belgium Belgium unauthorized subject www.cbfa.be Edward Evans Group www.edwardevansgroup.com United unauthorized subject www.fsa.gov.uk 511 Kingdom Edward Jones Group Financial Center at the Gardens United unauthorized subject www.fsa.gov.uk 3801 PGA Boulevard, Floor 600 Kingdom Palm Beach Gardens Florida, 33410 512 United States of America Tel.: +1 (561)2838430 Fax: +1 (561)2829208 www.edwardjonesgroup.com [email protected] 513 Edzel Ventures Sokolovská 93, 186 00 Praha 8, Czech Republic Sweden unauthorized subject www.fi.se/warning EFG Associates Two International Finance Centre, 8 Finance Street, Norway unauthorized subject www.finanstilsynet.no 514 Central Hong Kong, Hong Kong S.A.R. www.efg-associates.net El Toro Consult, S.L. Can Ribera 4 1 A, 070 12 Palma de Mallorca unauthorized subject www.cnmv.es 515 Pastoritx 2, 07013 Palma de Mallorca Spain Eldridge Financial Suite 306-310, Rue De La Terrassiére 43, 1207, Genéve, Sweden unauthorized subject www.fi.se/warning 516 Swit-zerland www.eldridgefinancial.com) using the fol-lowing address Eldridge Financial Suite 306-310, Rue De La Terrassiére 43, 1207, Genéve, Ireland unauthorized subject www.financialregulator.ie 517 Swit-zerland United www.fsa.gov.uk www.eldridgefinancial.com) using the fol-lowing address Kingdom 518 Electronic Money Inc. www.autochange.page.tl Cyprus unauthorized subject www.cysec.gov.cy Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ELITE EEA INVESTMENT PORTFOLIO TOWER 42, INTERNATIONAL FINANCIAL CENTRE United unauthorized subject www.fsa.gov.uk 25 OLD BROAD STREET Kingdom LONDON 519 EC2N 1HQ UK www.elite-eea.com ELITE INDEPENDENT FINANCIAL 53 65 STATION ROAD United unauthorized subject www.fsa.gov.uk ADVISERS PORT TALBOT Kingdom 520 WEST GLAMORGAN SA13 2NW www.elite-ifa.co.uk Elliott & Laurence Consultancy Group Ireland unauthorized subject www.financialregulator.ie 521 (USA). ELLIOTT AND LAURENCE 142A SOUTH CLARK United unauthorized subject www.fsa.gov.uk CONSULTANCY GROUP CHICAGO Kingdom ILLINOIS 60603 , USA 522 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 United unauthorized subject www.fsa.gov.uk 523 www.ellisharperco.com Kingdom Ellis Stanley Alden Wheelock House, 20 Pedder Street, Central, Hong Kong Nórsko neautorizovaný www.finanstilsynet.no 524 PRC subjekt www.esaglobalservices.com. Emerald Securities 30 King Street, City of London EC2V 8AU, United Kingdom United unauthorized subject www.fsa.gov.uk 525 www.emerald-securities.com Kingdom
Emerson Capital Ltd 14 Robinson Road, 13-00 Far East Finance Building, Sweden unauthorized subject www.fi.se/warning 526 Singapore 048545 527 Empire Investments unauthorized boiler rooms Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 528 Empire State Consultants 110 Wall Street, 11th Floor, New York, NY 10005, USA Sweden unauthorized subject www.fi.se/warning 529 Englefield Capital Belgium unauthorized subject [email protected] EPICON FINANCIAL 25 Canada Square United unauthorized subject www.fsa.gov.uk London E14 5LQ Kingdom 530 www.epiconfinancial.com
531 Epsilon Capital Management Switzerland Ireland unauthorized subject www.centralbank.ie Equicap Corporation 477 Madison Avenue, New York 10022, USA Austria unauthorized subject www.fma.gv.at 68 King William Street, London EC4N 7DZ United Kingdom 532 www.equicap-corp.com
Equinity Registars Group United unauthorized subject www.fsa.gov.uk 533 Kingdom Equinox Ventures Corporation 61 Windsor Avenue, Wimbledon, London, United Kingdom, Sweden unauthorized subject www.fi.se/warning 534 SW19 2RR. www.equinoxventurescorp.com Equinox Ventures Corporation 61 Windsor Avenue, Wimbledon, London, United Kingdom, Sweden unauthorized subjec www.fi.se/warning 535 SW19 2RR. www.equinoxventurescorp.com 536 Equities Europe Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ernest Weiss Securities Office 8-14 United unauthorized subject www.fsa.gov.uk Floor 11 Kingdom 5 Canada Square London E14 5AQ Tel: 0203 582 9968 Fax: 0203 284 1145 [email protected] [email protected] 15th Floor 537 380 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 Escrow Advisory Group/Escrow 1 Canada Square United unauthorized subject www.fsa.gov.uk 538 Advisory Ltd Canary Wharf Kingdom London E14 5AX ESIP Finance 17 Queens Terrace, Southampton, Hampshire SO14 3QL, United unauthorized subject www.fsa.gov.uk 539 United Kingdom Kingdom www.esipfinance.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ESPA FINANCIAL (Clone of previously The Gherkin United unauthorized subject www.fsa.gov.uk FSA EEA Authorised firm) 30 St Mary Axe Kingdom Clone of previously London EC3A 8BF FSA authorised firm Tel: 020 7416 6778 540 +43 5 0100 11490 Fax: 0872 110 4317 Website: www.espa-financial.com Email: [email protected]
Estlander & Ronnlund Capital Aleksanterinkatu 50 a 9.00100 Helsinky, Finland United unauthorized subject www.fsa.gov.uk 541 Management www.eandrcapital.com Kingdom 542 Eternity Funds www.eternityfunds.com France unauthorized subject Phone +33(0)1 5345 6031 Euro American 75 Harrington St., Dublin United unauthorized subject www.fsa.gov.uk 543 www.euroamericanonline.com Kingdom Euro Benefit Network Box 1230, Kitsa, Sweden SE 16428 United unauthorized subject www.fsa.gov.uk 544 68 Lombard Street, London EC3V 9LJ, United Kingdom Kingdom www.eurobenefitnetworks.com 545 Eurocapital Trading www.eurocapitaltrading.com Spain unauthorized subject www.cnmv.es EuroConsult International Mergers & United unauthorized subject www.fsa.gov.uk 546 Acquisitions Ltd Kingdom Europa Capital Group 132-135 Sloane Street United unauthorized subject www.fsa.gov.uk 547 Granville House London SW1X 9AX Kingdom www.europa-capital-group.com Europa Financial Group Karlplatz 14 United unauthorized subject www.fsa.gov.uk 80335 Kingdom 548 Munich Germany Europe Ventures Corso Colombo 1, 20144 Milano, Italy Sweden unauthorized subject www.fi.se/warning 549 www.europeventures.com Austria Phone +43 1 249 59-0 European Value Partners Advisors 49 Tilney Street, London W1J 7AL, United Kingdom United unauthorized subject www.fsa.gov.uk 550 www.europeanvaluepartneradvisors.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information European Ventures Capital Advisors Level 33, 25 Canada Square, Canary Wharf, London Norway unauthorized subject www.finanstilsynet.no 551 E145LQ www.evcadvisors.com EuroStock Group Rudolfsplatz 6-8, A1010 Vienna, Austria Austria unauthorized subject t.č. +43 (0)124959-5106 552 www.eurostock.at Eurotex Global Savings and Trust, S.A. 10 Rue Jean Baptiste Esch, L-1473 Luxembourg Spain unauthorized subject www.cnmv.es 553 www.egsavings.com Eurowork Ltd 29 Harley Street, London W1G 9QR, unauthorized subject Phone +33(0)1 5345 6031 554 United Kingdom France Evercrest Law Firm & Management 28/A ICBC Tower, Citibank Plaza, 3 Garden Road, Central, unauthorized subject www.fi.se/warning Hong Kong 555 1844 7th Avenue, New York, NY 10026, USA www.evercrest.us Sweden Everest Asset Management AG Stockerstrasse 39, P.O.Box 1665, CH-8027 Zurich, Sweden unauthorized subject www.fi.se/warning 556 Switzerland www.everestam.com Evolution Market Group Inc (commercial Calle 50, Global Bank Tower, Piso 16, Oficina 1607, unauthorized subject www.cnmv.es 557 name - FINANZASFOREX) Panama, Apartado Postal 0819-12496 El Dorado, Republic of Panama Spain Evolution Securities (ES) www.evolutionsec.co.uk United unauthorized subject www.fsa.gov.uk 558 Kingdom EVV Group 77-91 Castlewood House United unauthorized subject www.fsa.gov.uk New Oxford Street Kingdom London WC1A 1DG 559 Tel: +44 (0)845 075 5852 Fax: +44 (0)203 280 3649 Email: [email protected] www.evvgroup.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Excelsus Business Services International Commerce Centre, 1 Austin Road West, Norway unauthorized subjec www.finanstilsynet.no Hong Kong, Japan / 81 Robinson Rd, Singapore 068893, 560 Singapore http://excelsusbusinessservices.com. 561 EXELYUM Ltd 105 Sham Peng Tong Plaza, Victoria, Mahé, Seychelles France unauthorized subject www.amf-france.org Extend Capital Corp. (Group) Ricardo Arias Avenue Advanced Tower, 11th floor Suite B, Sweden unauthorized subject www.fi.se/warning Panama, Republic of Panama, 562 Hammarby fabriksvag 21A 7th floor, SE-12033- Stockholm, Sweden Fairfield and Hayes 14th Floor, Shinjuku Maynds Tower 2-1-1 Yoyogi, Shibuya- Norway unauthorized subject www.kredittilsynet.no 563 Ku, 151-0053 Tokyo, Japan Fairvesta Konrad-Adenauer Str. 15, D-72072 Tübingen, Germany. Its France unauthorized subject Phone +33(0)1 5345 6031 564 website at: www.fairvesta.de Fairway Associatess 46/F, The Central Building, 99 Queens Road, Central Hong Austria unauthorized subject www.fma.gv.at 565 Kong www.fairwayassociates.com Falon Group Limited 14 Robinson Road, 13-00, Far East Finance Building, unauthorized subject www.fi.se/warning 566 Singapore 048545 Sweden Farrel, Thornton, Lloyd & Brown 2000 Market Street, Suite 2122, Philadelphia, PA 19103, Sweden unauthorized subjec www.fi.se/warning 567 United States www.ftlbpa.net Fast Line Legal Plaza De La Iglesia, Local 9, Planta 2, Malaga, 29631 United unauthorized subject www.fsa.gov.uk 568 Spain Kingdom www.fastlinegal.com FAXTOR SECURITIES 35 Bew Broad Street House, New Broad Street, London United unauthorized subject www.fsa.gov.uk 569 EC2M 1NH, United Kingdom Kingdom www.faytorsecurities.co.uk Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information FCV BROKER (Clone of FSA EEA Address: 10 Fenchurch Avenue United unauthorized subject www.fsa.gov.uk Authorised Firm) London Kingdom Clone of previously EC3M 5BN FSA EEA authorised Tel: 0203 582 9618 firm Fax: 0203 411 9358 570 Website: www.fcvbroker.com Emails: [email protected] [email protected] [email protected] [email protected] [email protected] [email protected] [email protected] [email protected] FEINLER MANAGEMENT GROUP 90 Broad Street, 11h Floor, New York, NY 10004, USA United unauthorized subject www.fsa.gov.uk 8F, Hannover Square, 64 Wall Street New York 10004, Kingdom 571 USA www.feinlergroup.com FENTON POWER INTERNATIONAL 4-3, Nihonbashi-Muromachi 2-Chome Chuo-ku, 103-8303 Portugal unauthorized subject at [email protected]. Tokyo, JAPAN Kingsfordweg 151 1043 GR Amsterdam NETHERLANDS Av. Paulista 1079 São Paulo, BRAZIL E- 572 mail: [email protected]; [email protected]; [email protected] Website: www.fentonpower.com
Ferrell & Associates 23A Seventh Avenue, New York USA United unauthorized subject www.fsa.gov.uk 573 Tel: 001 914 517 2752 Kingdom Fax 001 646 619 4542 Ferrer Invest C/Coronel Ildefonso Valls de la Torre, 7 2 G, Arrecife (Las Spain unauthorized subject www.cnmv.es Palmas), Spain 574 Avda.Mancomunidas, 8 Arrecife (Las Palmas), Spain www.ferrerinvest.com 575 FERROFORTIA LTD www.planetoption.com Cyprus unauthorized subject www.cysec.gov.cy 576 FIA COPRPORATION SA Greece unauthorized subject FIB TRADING, S.L. Avda.Ricardo Soriano, 1, Edificio Capitol, 2 Planta, 09602 unauthorized subject www.cnmv.es 577 Marbella, Málaga Spain Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Fidelis Research Group Bahnhofstrasse, CH - 8001, Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 578 www.fidelis-swiss.com Kingdom Fidelity Global Recovery 1380 Broadway Ave, 3rd Floor, Suite 7, New York, NY United unauthorized subject www.fsa.gov.uk 579 10001, USA Kingdom FIL Investment Management Canada Square, Canary Wharf, London E14 5LQ, United United unauthorized subject www.fsa.gov.uk 580 Kingdom Kingdom www.filinvestments.com Fileamin Invest Ltd. & Fileamin Limited Lodin Lepps gt 4, 5003 Bergen Norway unauthorized subject www.kredittilsynet.no Cefalon House, 100 Pall Mall, SW1Y 5EA London, United Kingdom 581 BSL Centre 5A, 2nd Floor, Birkirkara Road, Kappara, SGN 4197, San Gwann, Malta www.fileamin.com FIMB International Remittance Bank 452 Ocean Avenue, Long Branch, New Jersey 4572, Sweden unauthorized subject www.fi.se/warning United States of America. 46, Lansdowne Terrace, Gosforth, Newcastle Upon Tyne, NT7 4GY, United Kingdom. 582 Sarawak House Complex, 46 Jln Kampung, 45278 Sibu, Sarawak, Malaysia. www.fimbintbk.com
Final Hurdle Ltd Berkley Square House United unauthorized subject www.fsa.gov.uk Berkley Square London Kingdom W1J 6BD London 583 United Kingdom Tel: 02033182633 Fax: 02033182634 Website: www.final-hurdle.com E-mail: [email protected] Finance Asset Recovery Avenue de la Toison d'Or 24, 1050 Brussels, Belgium Denmark unauthorized subject www.finanstilsynet.dk 584 http://www.financeassetrecovery.org 585 Financial Advisors Online Rue Abbe Cuypers 3, 1040 Brussels, Belgium Belgium unauthorized subject www.cbfa.be Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Financial Consulding World Ltd. 6023 Larnaca Austria unauthorized subject tel.no. +43 (0)124959-5106 respectively 61-63 Lord Byron Street 5th floor No: 83358 586 EU Financial Consulding World Ltd. Mail: [email protected] Telefax: +357-240 230 40 www.wfb-financ.com FINANCIAL IMPROVE 2008, S.L. Domicilio social: c/ Diego de León nº 28. Entreplanta izda. Spain unauthorized subject www.cnmv.es 28006 Madrid. c/ Serrano nº 8. 1ºD. 587 28001 Madrid www.financialimprove.es Is
FINANCIAL INVESTMENT GROUP Po. de la Castellana 141 Spain unauthorized subject www.cnmv.es 588 SPAIN, S.L.
Financial Research Advisors Stureplan 23, 114 35 Stockholm, Sweden unauthorized subject www.fi.se/warning 589 www.melquinvest.com Sweden Financial Solutions NY 1006, 165 Broadway New York, Suite 3625 unauthorized subject www.cbfa.be 590 www.financialsolutions.com Belgium FINANCIAL TRADING BOARD 1091 Vermont Ave NW, Washington DC, 20005, USA United unauthorized subject www.fsa.gov.uk 591 www.dov.fintb.us Kingdom 592 Finata Plc London, United Kingdom Italy unauthorized subject telč. +39 06 84 77 277 FinAXA Settlements Inc Suite 300 JFK BLDG., 1800 JFK Blvd., Philadelphia, PA Sweden unauthorized subject www.fi.se/warning 593 19103 Slovenia www.a-tvp.si. 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., unauthorized subject Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Firkin Asset Consultants 5-501 Senba Center Building, Chuo-ku, Osaka, 541-0055, United unauthorized subject www.fsa.gov.uk Japan Kingdom 12 Hilton Plaza, West Office, Tower 222, Umeda Kita-ku, 595 Osaka 5300001, Japan www.firkinac.com
FIRST ALLIED CAPITAL 22F NAMBA PARK TOWER United unauthorized subject www.fsa.gov.uk 2-10-70 NAMBANAKA Kingdom NANIWA-KU OSAKA, 556-0011 596 JAPAN Tel: +81 6 7635 4825 Fax: +81 6 7635 4817 www.firstalliedcapital.com Email: [email protected] First Catholic Financial Seiroka Tower, 8-1 Akashicho, Chuo-ku, Tokyo, Tokyo-to, Sweden unauthorized subject www.fi.se 597 Japan www.firstcatholicfinancial.com 598 First Diminion Capital Corp 8730 Stony Point Parkway, Richmond, VA 23229, USA Sweden unauthorized subject www.fi.se/warning 599 First Financial Management www.firstfinancialmgmt.com Norway unauthorized subject www.kredittilsynet.no First Free Bank - Forex Investment Panama unauthorized subject www.a-tvp.si 600 Brokers www.firstfreebank.com Slovenia First China Corporate Management Oreintal Plaza 1 East Chang Av., Level 6, Toqer W2, Dong Austria unauthorized subject Phone +43 (0)124959-5106 601 Group Cheng District, 100738 Bejing, China, www.firstchinacmg.com First Inc Limited Tower 2, Exchange square, 8 Connaught place, Hong Sweden unauthorized subject www.fi.se 602 Kong www.firstincltd.com First Inc Limited Tower 2 United unauthorized subject www.fsa.gov.uk Exchange Square Kingdom 603 8 Connaught Place Hong Kong www.firstincltd.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information First Inc Ltd. Tower 2, Exchange square, 8 Connaught place, Hong Norway unauthorized subject www.finanstilsynet.no 604 Kong http://www.firstincltd.com. First Initial Asset Management 56-61 Tabernacle Street United unauthorized subject www.fsa.gov.uk 605 London EC2A 4AA Kingdom www.firstinitialassetmanagement.com First Nevada Securities Ltd. 5300 Scarsdale Circle, Reno, NV 89502-9692 Sweden unauthorized subject www.fi.se/warning 606 www.firstnevadasecurities.com Norway 607 Sweden First Prime International 6-1-6-503 Minami-Aoyama, Minato-ku, Tokyo, Japan 107-0062Netherlands unauthorized subject Phone +47 22 93 98 00 www.fi.se Phone +31 20 797 3715 First Private Clients Ltd 1 Berkley Square United unauthorized subject www.fsa.gov.uk London Kingdom (clone of formerly W1 8DJ FSA registered firm) 608 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 September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information First Standard Management 20th Floor, Central Tower United unauthorized subject www.fsa.gov.uk 28 Queen's Road Kingdom Central Hong Kong Tel: 00 852 4738 7535 Hardturmstrasse 181 CH-8005 Zürich Switzerland 609 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 First Swiss Lowenstrasse 61 United unauthorized subject www.fsa.gov.uk CH-8001 Kingdom 610 Zurich Swit First Trade Europe Cambourne Business Park, Cambourne Road, Cambridge United unauthorized subject www.fsa.gov.uk CB23 6DW, United Kingdom Kingdom 7th Floor, International Commercial Centre, 1 Austin Road West, Kowloon, Hong Kong 611 www.fteuk.com Tel: 01223 790007 Fax: 01223 280239 : www.novauklimited.com and www.novaukltd.com 612 First Zurich Group www.firstzurich.org Switzerland unauthorized subject www.zurich.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Fischer & Schultz Independant Financial Canary Wharf United unauthorized subject www.fsa.gov.uk Advisors 1 Canada Square, Floor 14 Kingdom London 613 E14 5AX E-Mail: [email protected] Website: http://fischerandschultz.webs.com
Fiss Finance, storitveno podjetje d.o.o. Gorenjska cesta 39, 4202 Naklo, Slovenia unauthorized subject www.a-tvp.si 614 www.fiss.si Slovenia Fitzwilliam Group Limited 3705 Bank of America Tower, 12 Harcourt Road, Central, Sweden unauthorized subject www.fi.se/warning 615 Hong Kong Flaaten Invest AS Noreveien 30, 5542 Karmsund, Norway Norway unauthorized subject www.finanstilsynet.no 616 www.flaaten-invest.no. Flagship Consolidated 663 King´s Road, Hong Kong Sweden unauthorized subject www.fi.se/warning 617 www.flagshipcsld.com Flex Capital Partners World Wide House, 19 Des Voeux Road, Central Hong Norway unauthorized subject www.finanstilsynet.no 618 Kong www.flexcapitalpartners.com Focus Point Capital Yoshimura Building, Kitahama, 2-6-12, 541-0041 Chuo-ku, Belgium unauthorized subject [email protected] 619 Osaka, Osaka-fu,Japan, and Andrassy ut 12, H-1061 Budapest,Hungary. 620 Forbes First Financial Corporiation 8011 Clayton Road, St Louis, Missouri 63105 Sweden unauthorized subject www.fi.se/warning Forest4YOU Capital S.A. 5, rue Jean Monnet, L-2180 Luxembourg Luxemburg unauthorized subject www.cssf.lu 621 www.forest4you.eu
622 FOREX GLOBAL FX www.forexglobalfx.com Spain unauthorized subject www.cnmv.es 623 FOREX PLACE LTD www.4xp.com Cyprus unauthorized subject www.cysec.gov.cy 624 ForexTrada www.forextrada.com Belgium unauthorized subject www.cbfa.be Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Forextradingservice AG Ltd. 61-63 Lord Byron Street 5th floor Austria unauthorized subject Phone +43 (0)1/24 959 5106 6023 Larnaca Cyprus and Maria Waldburga Straße 1 625 6845 Hohenems Austria www.forextradingservice.ch [email protected]
Fortress Investment Group 23rd FloorE, Tokyo-to Shinjuku-ku 3 20-2, Japan United unauthorized subject www.fsa.gov.uk 626 Bleicherweg 33, Zurich, Switzerland Kingdom www.fortressig.com FOS Asset Management Co. Ltd 1-5-3 Muromachi, Nihonbashi, Chuo-ku, Tokyo 103-0022, unauthorized subject Phone +43 (0)1/24 959 5106 627 Japan www.fosassetmanagement.com Austria FRANDISTRANS GROUP Paseo de la Castellana, 95-15 Spain unauthorized subject www.cnmv.es 28046 Madrid 628 www.frandistrans-group.co.uk Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information FRANDISTRANS GROUP 1 CANADA SQUARE United unauthorized subject www.fsa.gov.uk CANARY WHARF Kingdom LONDON E14 5AA 0208 816 8626; Paris Medeleine 19 Boulevard Malesherbes ; 629 Madrid Financial District - Torre Europa Paseo de la Castellana 95-15
Frank Goldenberg Yoshi Level 23, One Island East, 18 Westland Road, Island East, United unauthorized subject www.fsa.gov.uk 630 Hong Kong Kingdom www.fgy.com.hk Frankfurt Capital Group Neue Mainzer Strase 47, 60311 Frankfurt am Main, United unauthorized subject www.fsa.gov.uk 631 Germany Kingdom www.frankfurtcg.com Franklin Rankin LLC Bank of Amerika Plaza, 901 Main Street, Dallas TX, 75202 Sweden unauthorized subject www.fi.se/warning 632
Franz Watermann AG states that its address is “Avenue Marnix 26, 1000 Belgium unauthorized subject [email protected] 633 Brussels”. Freud Capital 5 Gloucester Road, Revenue Tower, Floors 6-9, Wan Chai, Norway unauthorized subject www.finanstilsynet.no 634 Hong Kong www.freud-capital.com Friedman Holland & Associates Empire State Building, 33rd Floor, 350, 5th Avenue, New Sweden unauthorized subject www.fi.se/warning 635 York, NY 10118 Frontiers Group Investment Ltd www.frontierforex.com Cyprus unauthorized subject www.cysec.gov.cy 636 Malta www.nfsa.com.mt Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Frost Capital Partners 52 Broad Street, Boston, Massachusetts 02109, USA Norway unauthorized subject www.finanstilsynet.no 637 www.frost.com Fuehrende Investitionen Limited Carpenter Court 1 Maple Road, SK7 2DH Cheshire, United unauthorized subject www.a-tvp.si Kingdom 638 www.fiss-solutions.com www.fiss-investments.com Slovenia FUND ADVISERS EUROPE LONDON WALL BUILDINGS United unauthorized subject www.fsa.gov.uk 140 LONDON WALL Kingdom THE CITY 639 EC2M Tel: 0203 514 0810 Fax: 0203 514 0811 Website: www.faeurope.com Fund Logic 42 Brook Street, London W1K 5DB, United Kingdom United unauthorized subject www.fsa.gov.uk 640 Kingdom Fusion Capital Management Euro Business Center, 21-23 Hill Street, Edinburgh EH2 United unauthorized subject www.fsa.gov.uk 641 3JP, United Kingdom Kingdom
642 Future Trading Club Kronhusgatan 12, 411 05 Goeteborg, Sweden Sweden unauthorized subject www.fi.se/warning 643 FX Greece Ltd Glyfada, Greece Greece unauthorized subject t.č. +30 210 33 77 100 644 FX Trident 365 Ltd www.tridentfx.com Cyprus unauthorized subject www.cysec.gov.cy FXDealer / FX Dealer / FX Direct Dealer Malta unauthorized subject www.mfsa.com.mt 645 www.fxdealer.us 646 FXOpen Investments Inc. www.fxopen.com Cyprus unauthorized subject www.cysec.gov.cy FX-RUN LTD Suite 2, Portland House, Glacis Road, Gibraltar unauthorized subject www.a-tvp.si Exchange Tower, Docklands, London E14 9GE, United 647 Kingdom World Trade Center, Dunajska 156, 1000 Ljubljana, Slovenia Slovenia G R A F-Kantor OHG An der Autobahn 1, 02828 Görlitz, Neisse, Deutschland Sweden unauthorized subject www.fi.se/warning 648 www.grafkantorohg.com address: 649 Gaston Capital Group http://www.gastoncg.com Cyprus unauthorized subject www.cysec.gov.cy Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Gatemoor Securities Inc United unauthorized subject www.fsa.gov.uk 650 Kingdom Gatemore Capital Management Tel: 0203 318 1273 United Clone of FSA www.fsa.gov.uk 651 Fax: 0203 318 1275 Kingdom authorised firm Email: [email protected] GC Investment Credit & Trust Frejgatan 13, 114 79 Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning 652 Ekonomisk Forening, GCICT GCI Financial Ltd Gordon House, 4th Floor, 1 Coney Drive, Belize City, Belize Spain unauthorized subject www.cnmv.es 653 Genesis Transfer Group Bahnhofstrasse 53, 8001 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 654 www.genesistransfergroup.com Kingdom Genève Invest, whose headquarters 6, place Chevelu, CH-1201 Geneva, Switzerland. France unauthorized subject t.č.+33(0)1 5345 6034 655 http://www.geneveinvest.com.
Genius Funds Cyprus France unauthorized subject 656 www.geniusfunds.com t.č. +33 0 1 5345 6031 GERRARD INVESTMENT United unauthorized subject www.fsa.gov.uk 657 MANAGEMENT Kingdom 658 GIG HOLDINGS Ltd Greece unauthorized subject GIGA INVEST GIGA Invest GIGA United unauthorized subject www.fsa.gov.uk Canary Wharf Queens Road East Kingdom Clone of previously London E14 5LQ Invest (Asia) FSA EEA authorised Canada Square Hopewell CenterHong Kong firm 659 United Kingdom Tel: +44 (0)207 193 4833 +852 3103 1011 Fax: +44 (0)203 163 1722 Website: www.gigainvest.net Giles & Hochman Consulting 56 East 11th Street, New York, NY 10001, USA Ireland unauthorized subject www.financialregulator.ie 660 www.gileshochmanconsulting.com United www.fsa.gov.uk Kingdom Glendale Management Group 1553 4th Ave # 600, New York, NY USA 10017 Denmark unauthorized subject www.finanstilsynet.dk 661 http://glendalemgt.com/. Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Glenn Stephen Edwards Centrum House, 39 Queen Street, Glasgow G1 3DX, United unauthorized person www.fsa.gov.uk 662 United Kingdom Kingdom [email protected] Global Administrative Providers Inc United unauthorized subject www.fsa.gov.uk 663 Kingdom Global Analytical Solutions Address, telephone and fax numbers or website details are United unauthorized subject www.fsa.gov.uk 664 unknown. Kingdom Global Asset Group Beulstrasse 20, Hergisvil, Switzerland 6052 Sweden unauthorized subject www.fi.se/warning 665 www.global-asset-group.com Global Asset Management 14 Hanover Street United unauthorized subject www.fsa.gov.uk Hanover Square Kingdom (Clone of FSA London authorised firm) W1S 1YH 666 Tel: 0203 284 8370 Fax: 0203 281 7996 Website: www.gamanagement.co.uk Email: [email protected] Global Broker www.global-broker.net United unauthorized subject www.fsa.gov.uk 667 Kingdom 668 Global Capital Group www.gcgco.com Denmark unauthorized subject www.finanstilsynet.dk Global Capital Management 1681 Pines Street corner South 17th Street, Philadelpia Sweden unauthorized subjec www.fi.se/warning 669 Pennsylvania, USA. (www.globalcapmgt.com Global Capital Markets Worldwide 538 Broadhollow Road, #315 E, Melville, New York 11747. Sweden unauthorized subject www.fi.se/warning 575 Broadway, Suite 4000, New York, New York 10012. 670 ww.gcmworldwide.com
Global Corporate Partners 30th Street Columbus Circle, 8th Floor, New York NY, USA United unauthorized subject www.fsa.gov.uk 671 www.globalpartners.com Kingdom
Global Direct Asset Management 40 Wall Street, New York, NY 10005 672 ww.globaldirectam.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information GLOBAL DIRECT EQUITIES LLC www.globaldirectequities.com United unauthorized subject www.fsa.gov.uk 673 Kingdom Global Endowment LLC 7028 West Waters Ave, Suite 206, Florida 33634, USA United unauthorized subject www.fsa.gov.uk 674 80 SW 8th Street, Suite 2000, Miami FL 33130, USA Kingdom www.globalendowmentllc.com Global Energy Opportunities Weinerbergstrasse 9/131, 1100 Vienna, Austria unauthorized subject www.fi.se/warning 675 www.globalenergyopportunities.com Sweden Global Equities Capital Markets Tel: 0208 099 5446/5436 United Clone of FSA EEA www.fsa.gov.uk Fax: 0208 099 5420 Kingdom authorised 676 Website: www.ge-capitalmarkets.com /unauthorised firms Email: [email protected] Global Equity Partners/GE Partners 1 Berkeley Street, London W1J 8DJ, United Kingdom unauthorized subject www.fsa.gov.uk 677 5499 N Federal HWY Suite D, Boca Raton, Florida FL- United 33487, USA Kingdom Global Financial Corp Worldwide, GFC 100 Washington Avenue North, Suite 1319, Minneapolis Sweden unauthorized subject www.fi.se/warning 55401, USA. 632 Broadway Suite 407, Manhattan New York, New York 678 10012, USA. Global Financia www.gfcworldwide.com
Global Financial Products (Clone of 2-6 Colmore Row, United unauthorized subject www.fsa.gov.uk FSA EEA authorised 10th Floor, Kingdom Clone of previously firm) Birmingham, FSA EEA authorised B3 2QD. firm 679 Tel: 0871 218 0706 Website: www.mglobalfinance.com Email: [email protected]
Global GECR 3 London Wall Buildings, London EC2M 5SY United United unauthorized subject www.fsa.gov.uk 680 Kingdom Kingdom www.global-gecr.co.uk Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Global Hedge Fund Group Ltd. 2nd Floor, Cayman Corporate Centre, 28 Hospital Road, Austria unauthorized subject tel.no. +43 (0)124959-5106 681 PO Box 1993, Grand Cayman www.ghfgroup.net Global Intermediate Finance / The GIF Avenue J.F Kennedy, 1855 Erpeldange, Luxembourg United unauthorized subject www.fsa.gov.uk 682 Group / The GIF Group Zurich www.gif-group.com Kingdom Global International Trading 4-3-1 Toranomon, Minato Ku, Tokyo 105-6027, Japan Netherlands unauthorized subject www.afm.nl 683 France Phone +33 01 5345 6029
Global Investment Partners (Clone of Address: 3 St James Court United unauthorized subject www.fsa.gov.uk FSA EEA Authorised firm) St James Place Kingdom Clone of previously Whitefriars FSA EEA authorised Norwich NR3 1SH firm 684 Tel: 0845 154 6840 Fax: 01603 298129 Website: www.globalinvestmentpartners.net Email: [email protected]
Global Investments Ltd 7 King William Street, London EC2N 4DA, United Kingdom United unauthorized subject www.fsa.gov.uk 685 Tel: 0845 686 1766 Kingdom
GLOBAL LIFESTYLE GROUP S.A. (WorldFXClub) Austria unauthorized subject www.fma.gv.at Division worldfxclub Suite # 1056 P. O. Box 2284 686 #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, Sweden unauthorized subject www.fi.se/warning 687 048623 Singapore Global Management Inc Tower Executive Suites, # 10940 Wilshire Blvd, Suite 1500, unauthorized subject www.fi.se/warning 688 Los Angeles, CA 90024, USA Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 689 Global Mergers and Acquisitions Inc. 405 Lexington Avenue, New York 10017, USA Netherlands unauthorized subject www.afm.nl Global Mergers Corporation 3rd Flr., Area Shinagawa. 9-36, Konan 1-chome, Minato- Sweden unauthorized subject www.fi.se/warning 690 ku, Tokyo 102-8112, Japan. www.globalmergerscorp.com Global Network Fiduciary LLC 4695 MacArthur Court 11th Floor Veľká Británia neautorizovaný www.fsa.gov.uk Newport Beach subjekt 691 California CA 92660 USA GLOBAL ONE INTERNATIONAL 295 GREENWICH STREET (WALL STREET) United unauthorized subject www.fsa.gov.uk NEW YORK Kingdom 692 NEW YORK 10007 USA Global Partners EA Suite 2812, One International Finance, 1 Harbour View Sweden unauthorized subject www.fi.se 693 Street, Central Hong Kong. www.globalpartnersea.com Global Partners Securities Sweden unauthorized subject www.fi.se/warning Denmark www.dfsa.dk 694 FL 33309, USA. www.globalpartnerssecurities.com
Global Pension Plan unauthorized subject www.fi.se/warning 695 Sweden Austria Phone +43 1 249 59-0 GLOBAL PLUS INVERSIONES, www.globalplus-es.com Spain unauthorized subject www.cnmv.es 696 S.A.(GPI)
Global Venture Group 1 151F Chase Tower, 21 S Clark Street, Chicago, IL, 60603- Norway unauthorized subject www.kredittilsynet.no 697 3203, USA www.1gvg.com. Global Wealth Management Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 698 Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Global World Mergers and Acquisitions Hong Kong Ireland unauthorized subject www.financialregulator.ie 699
Globalbanc Financial Services Limited One Great Cumberland Place United unauthorized subject www.fsa.gov.uk London Kingdom 700 W1H 7AL www.globalbancgroup.com Globaleye SPRL / Globaleye SA / Belgium unauthorized subject www.cbfa.be 701 Globaleye Belgium Avenue Louise, Louzalaan 367, 1050 Brussels, Belgium 702 Globe Invest AG, Vienna, Austria Slovenia unauthorized subject www.atvp.si Glover Capital Group 578 Madison Avenue, 10 New York NY 10022, USA United unauthorized subject www.fsa.gov.uk 703 www.glovercapitalgroup.com Kingdom GMC EUROPE Tollhouse Hill, Nottingham, NG1 5FS, United Kingdom United unauthorized subject www.fsa.gov.uk 704 www.gmc-europe.net Kingdom GMM Equity Holding GMM Equity Holding United unauthorized subject www.fsa.gov.uk New Bond House Kingdom 124 New Bond Street 705 London W1S 1DX www.equityholding.com 706 Godfrey Brooks Investment Advisory Switzerland Ireland unauthorized subject www.financialregulator.ie 707 Goff Private Equity Limited Ireland Ireland unauthorized subject www.financialregulator.ie Gold Asset Managers Rue de Namur 46 United unauthorized subject www.fsa.gov.uk Suite 205 Kingdom 1000 Brussels 708 Belgium Website: www.goldassetmanagers.com Email: [email protected] Tel: 0032 2808 2187 Gold Coast Investments Wienerbergstrasse 11, Twin Tower, 1100 Vienna, Austria Austria unauthorized subject Phone +43 (0)1/24 959 5106 709 Gold Seal Trading Mooslackengasse 17, 1190 Vienna, Austria Austria unauthorized subject t.č. +43 (0)124959-5106 710 www.zukunft-neu.eu Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Goldberg & Associate Wall Street, New York City, New York 10005, USA, Austria unauthorized subject Phone+43 (0)1/24 959 5106 711 www.goldberg-newyork.com Goldberg Capital Group Ltd 1-4 Bury Street, The Gherkin Plaza, London, United United unauthorized subject www.fsa.gov.uk 712 Kingdom Kingdom www.goldbergcapitalgroup.com Goldberger & Decadenet Frankenberggasse 8 United unauthorized subject www.fsa.gov.uk 1040 Veinna Kingdom 713 Austria www.goldberger-decadenet.com 714 GOLDEN PURSE FUND Greece unauthorized subject Phone +30 210 33 77 100 Goldman and Lyle Consulting Group 332 Smith St, United unauthorized subject www.fsa.gov.uk Winnipeg, Kingdom MB R3 2H6, Canada 715 Tel: 1 204 272 2353 Fax: 1 204 480 4825 Website: www.goldmanandlyleconsulting.com Email: [email protected] Goldman Asset Management (GAM) Bastion Tower, Levels 20 & 21, 5 Place du Champ de Sweden unauthorized subject www.fi.se/warning 716 Mars, 1050 Brussels, Belgium Goldman Sachs International United unauthorized subject www.fsa.gov.uk 717 Kingdom Goldmill Wagner & Associates (Costa unauthorized subject www.cssf.lu 718 Rica) Luxemburg Goldsmith & Harris 80 Pine Street, New York, NY 10005 Sweden unauthorized subject www.fi.se/warning 719 www.ghasset.com 720 Goldwater Global Management “134 - 136 Avenue des Vaillants 12, Brussel”. Belgium unauthorized subject [email protected] Gordon, Tait & Co. LLC 818 Stewart St., Seatle, WA 98101, USA United unauthorized subject www.fsa.gov.uk 721 www.gordontait.com Kingdom 722 Gotthard Capital Partners Ireland unauthorized subject www.financialregulator.ie GRAN CANARIA CONSULTORES Y C.I.F.B 35773969, C/Carvajal 18 esquina Luis Doreste unauthorized subject www.cnmv.es 723 ASESORES, S.L. Silva, 35004 Las Palmas de Gran Canaria Spain Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Grand Financial Management 1140 Broadway Austria unauthorized subject Phone +43 (0)1/24 959 5106 New York NY 10001 Tel 1 646 918 8806 724 Fax 1 646 862 9519 E-Mail: [email protected] www.grandfinancialmgmt.com
Grand Meridian Private Equity Ltd 25E Wahington Street, Chicago, Illinois 60602, USA United unauthorized subject www.fsa.gov.uk 725 www.grandmeridianltd.com Kingdom Great Basin Scientific, Ltd. 375 West 200 South, Salt Lake City, UT 84101, 6036 South Sweden unauthorized subject www.fi.se/warning 726 Fort Apoache, ste. 110, Las Vegas, NV 89148 Great Cities Media, Inc. 5900 N. Andrews Ave. Suite 920, Ft. Lauderdale, FL 33309 Sweden unauthorized subject www.fi.se/warning 727 Green Cap Financial LLC 14001 Wells Fargo Building, 2030 Main street, Suite 1200, Sweden unauthorized subject www.fi.se/warning 728 Irvine California 92614 USA GREEN PLANTS INVESTMENT http://gplants.org/ Malta unauthorized subject www.mfsa.com.mt 729 MANAGEMENT Ltd Green Valley Venture Capitalist 86 Orville Drive, Bohemia, NY 11716 www.gvventure.com unauthorized subject www.fi.se/warning 730 Sweden 731 Greenbird Financial www.gbfintl.com Norway unauthorized subject www.finanstilsynet.no Greenfield and Associates 213 One Wall Street United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10286 USA 732 Tel: 0016 46502 8310 Fax: 0016 4660 73408 E-mail: [email protected] Website: www.greenfieldconsultancy.com
733 Greenfield Consulting Ltd 02-04-203 Ogikubo Suginami-ku, Tokyo Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Greenfield Securities Ltd 65-68 Lexington Avenue, East 51st Street, New York United unauthorized subject www.fsa.gov.uk 734 10022, USA Kingdom www.greenfieldltd.com Greengate Advisors Limmatstrasse 73 United unauthorized subject www.fsa.gov.uk Suite 40 Kingdom 8005 Zurich Switzerland and 735 Handelsstraat 53 Office 304 1000 Brussels Belgium www.greengateadvisors.com and www.greengate- advisors.com GreenIndex International Ltd Louizalaan 149/24, 1050 Brussels, Belgium unauthorized subject www.cbfa.be 736 www.greenindex-international.com Belgium Greenway Consultancy 104D US Route 67N United unauthorized subject www.fsa.gov.uk Ellicottville Kingdom NY 14731 New York 737 USA Tel: 001 646 502 8229 Fax: 001 646 839 2838 E-mail: [email protected] Website: www.greenwayconsultancygrp.com Greenwood Capital Advisors 504 5th Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10110 USA 738 Tel: 0016465642760 Fax 0016467864831 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Greenwood Capital Advisors 504 5th Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom 739 NY 10110 USA Tel: 0016465642760 Fax 0016467864831 Greenwyn M&A (‘Greenwyn’) Lippo Centre United unauthorized subject www.fsa.gov.uk 89 Queensway Road Kingdom Hong Kong Phone: 0085239733859 Fax: 0085230159362 Website: www.greenwyn.com AND 740 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 Sweden unauthorized subject www.fi.se/warning 741 Kingdom Greyson Consulting Group 40 Wall Street, United unauthorized subject www.fsa.gov.uk New York, Kingdom 742 NY 10005 United States www.greysonconsultinggroup.com 743 Grundbuchzertifikat Ltd. 95 Wilton Road, Suite 3, London, SW1V 1BZ Austria unauthorized subject Phone +43 (0)1/24 959 5106 GRUPO FINANCIERO ORIÓN, S.L. Po. de la Castellana 141 Spain unauthorized subject www.cnmv.es 744 28046 Madrid Guangzhou Commodity Exchange China West Fortune Plaza, 113 TiyuDong Rd., 510620 unauthorized subject www.fi.se/warning 745 Guangzhou, Guangdong, China www.gzcom.org Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Guardian International address: New York Times Building, 620 Eight Avenue, New Norway unauthorized subject www.finanstilsynet.no York 10018, USA, Sea Meadow House, Level 2, Road Town, Tortola VG 1110, British Virgin Islands and First 746 Canadian Place Level 16, 100 King Street West, Concourse Level, Toronto, On M5X 1A9, Canada http://www.guardian-inter.com/. Guardian Securities London Office United unauthorized subject www.fsa.gov.uk 193 Old Street Kingdom www.mfsa.com.mt EC1V 9LT Malta Tel: +44 20 3514 0880 Fax: +44 870 6262085 Switzerland Office Ackerstrasse 44 747 CH-8005 Zurich Switzerland Tel: +41 115 800 910 Fax: +41 8706 262 086 Website: www.guardian-securities.com
Gulf Oil Exploration Corporation Inc Two Allen Center 1200 Smith Street, Houston, Texas, USA The unauthorized subject www.afm.nl 748 www.gulfoilexploration.com Netherlands
H.B.Management 2000 Rue St. Catherine Quest, Montréal, Québec, Canada Sweden unauthorized subject www.fi.se/warning 749 H.S.F. IBZ, S.L. C.I.F.:B-57030785, Calle Juan Tur, no 11. Edificio Punta Spain unauthorized subject www.cnmv.es 750 del Mayol, Santa Eulalia del Río, 07840 IBIZA Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information H.Y. Markets 3rd Floor United unauthorized subject www.fsa.gov.uk 28 Throgmorton Street Kingdom (not to be confused London with FSA authorised EC2N 2AN firm Henyep Capital Markets (UK) Limited; Tel: 0044 203 514 2976 FSA FRN 186171, 751 Fax: 0044 203 514 2719 which operates under trading name HY Markets).
Haberman Brothers International 55 King St. W. And Bay St., 3rd Floor, TD Tower, Toronto, unauthorized subject www.fi.se/warning 752 ON M5K 1A2 Sweden Hadley Richards Shinjuku Monolith 12F, Austria unauthorized subject Phone +43 (0)1/24 959 5106 2-3-1 Nishi-Shinjuku, Shinjuku-ku, 163-0913 Tokyo, Japan. 753 Tel: +81 3 449 660 16 Fax: +81 3 449 660 26 Email: [email protected] www.hadleyrichards.com HadleyRichards Shinjuku Monolith 12F, 2-3-1 Nishi-Shinjuku, Shinjuku-ku, Denmark unauthorized subject www.finanstilsynet.dk 754 163-0913, Tokyo, Japan www.hadleyrichards.com Haffkin-Roth Asia Trade Tower, COEX Center, 159 Samsung-dong, Sweden unauthorized subject www.fi.se/warning 755 Gangnam-gu 135-729, Seoul, Korea www.haffkin-roth.com 756 Hachiro Mergers & Acquisitions 2-4-1 Chiyoda-ku, Tokyo, 100-8919 Japan Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Halmark Financial Solutions 4 Troton Square, Regents Place, London NW1 3HG, United unauthorized subject www.fsa.gov.uk United Kingdom Kingdom 42/44 Bishopsgate, City of London EC2N 4AH, United Kingdopm 757 International Commerce Centre, Floor 8, 1 Austin Road West, Hong Kong Level 41 Emerates Towers, Sheikh Zayed Road, Dubai, UAE www.halmarkfinance.com Hamilton and Pricehouse Consultancy 127 D West 81st Street, New York, NY 10017, USA United unauthorized subject www.fsa.gov.uk 758 www.hamiltonpricehouse.com Kingdom Hamilton Hastings & Associates Av. Diagonal 640, Planta 6, 08017 Barcelona unauthorized subject www.fi.se/warning 759 www.hamiltonhastings.com Sweden HAMILTON HOUSE INTERNATIONAL SEEFELDSTRASSE 69 United unauthorized subject www.fsa.gov.uk ZURICH 800 Kingdom 760 SWITZERLAND www.hamiltonhouse.com Hamilton International Group 8/F 37 West 82nd Street, New York NY 10024, USA United unauthorized subject www.fsa.gov.uk 761 www.hamiltonintl.com Kingdom Hamilton Pierce United unauthorized subject www.fsa.gov.uk 762 Kingdom Hamilton Trading Ltd OBF Center, Artha Graha Building, 6th Floor, JI. Jend Belgium unauthorized subject www.cbfa.be 763 Sudirman Kav, 52-53 Jakarta 12190 Hammond Global Solutions LLC 1700 Seventh Avenue, United unauthorized subject www.fsa.gov.uk Seattle, Kingdom WA, USA, 764 98101 Tel: + (206) 452 3469 Website: www.hammondglobal.com Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Hammond Global Solutions LLC 1700 Seventh Avenue, United unauthorized subject www.fsa.gov.uk Seattle, Kingdom WA, USA, 765 98101 Tel: + (206) 452 3469 Website: www.hammondglobal.com Email: [email protected] 766 Hampshire Consultants LLC Norway unauthorized subject www.kredittilsynet.no HANG SENG BANK 5/B Hang Sebg Tower, 33 Wai Yip, Kowloon Bay, Kowloon, United unauthorized subject www.fsa.gov.uk 767 China Kingdom Hanglung Group Hong Kong The Center 62/F & 66/F, Austria unauthorized subject www.fma.gv.at The Center, 99 Queens Road, Central Hong Kong Web : www.hanglung-group.com 768 Email: [email protected] Tel: +852 3012 9659 Fax: +852 3012 9660
Hannover & Rothchild Consultancy 10th Avenue Headquarters Suite, New York, NY 10018, Ireland unauthorized subject www.financialregulator.ie 769 USA United www.fsa.gov.uk www.hannoverandrothchildconsultancy.com Kingdom 770 Hannover Sterling Ltd Sweden unauthorized subject www.fi.se/warning Hanover Group 40 Berkeley Square, London W1J 5AL, United Kingdom United unauthorized subject www.fsa.gov.uk 771 Postrasse 23, Hamburg 20354, Germany Kingdom www.hanover-group.com Hanson Business Services LLC 140 4th Avenue North, Seatle, WA 98109, USA United unauthorized subject www.fsa.gov.uk 772 www.hansonkpo.com Kingdom 773 Hanson Group International Strandvagen 7A, S-11456 Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning HARAMI CONSULTORES, S.L. Plaza Fábrica de Paños, nº 2, esc. 2-2º L Spain unauthorized subject www.cnmv.es 774 28830 San Fernando de Henares (Madrid) www.haramiconsultores.es Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Harbert European Fund Advisors Brookfield house 5th floor, United unauthorized subject www.fsa.gov.uk 44 Davies Street, Kingdom 775 London W1K 5JA www.habertfa.co.uk Harcourt Wells & Associates One Penn Plaza, 230 West 34th Street, 29th Fl, Manhattan, unauthorized subject www.kredittilsynet.no 776 New York City, New York, 10119 Norway Harden-Krause Private Equity 1301 16th Avenue, New York, NY 10019, USA Sweden unauthorized subject www.fi.se 777 Hardwicke Advisory Frankfurt Herriot’s United unauthorized subject www.fsa.gov.uk Herriotstrasse 1 Kingdom Frankfurt 778 60528 www.hardwickeadvisory.com
Harper & Davis Associates 1875 Century Park East Suite 2541, Century City, CA Sweden unauthorized subject www.fi.se/warning 779 90067 United States 780 Harrington Holdings Inc. 472 Old Worthington Road Westerville, OH 4308 USA Sweden unauthorized subject www.fi.se/warning Harris & James Company Ltd. Hopewell Centre, 28/F 183 Queen’s Road East, Wan Chai, Sweden unauthorized subject www.fi.se Hong Kong. 781 1405/44 Montgomery Street, San Francisco, CA 94104, U.S.A. www.harris-james.com Harris James Associates 80 Broad Street, New York City, New York 10004, USA United unauthorized subject www.fsa.gov.uk 782 Kingdom Harris Trust Private Wealth Bahnhofstrasse 92b, 8001 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 783 Management www.harris-trust.com Kingdom Harrison Fairmount Global Mergers & Chrysler Building, 405 Lexington Avenue, New York, NY unauthorized subject www.fi.se/warning 784 Acquisitions Inc 10174 www.harrisonfairmount.com Sweden Harrison Research (AG) Borsenstrasse 22 United unauthorized subject www.fsa.gov.uk 8001 Zurich, Kingdom 785 Switzerland www.harrisonag.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information HARRISON-STOLTZ & ASSOCIATES SEEFELDSTRASSE 69, United unauthorized subject www.fsa.gov.uk ZURICH 8008 Kingdom 786 SWITZERLAND TEL.: 0041 44 586 6002 www.harrison-stolz.com Hartford Asset Management Tong Building, 302 Orchard Rd, Singapore. Sweden unauthorized subjec www.fi.se/warning 787 www.hartfordasm.com Hartford Group International Taipei Hsin Center 16 F No 89, Songren Road, Taipei United unauthorized subject www.fsa.gov.uk 788 www.hartfordgroupinternational.org Kingdom 789 HARTFORD MANAGEMENT GROUP C/Aribau, 221 Bajos # 169, 08021 Barcelona Spain unauthorized subject www.cnmv.es Hartman-Benetti & Associates 15th Floor, 410 Park Avenue, Manhattan Business Center Sweden unauthorized subject www.fi.se/warning 790 Harvard Alliance Selnaustrasse 30 United unauthorized subject www.fsa.gov.uk Postfach 8021 Kingdom Zurich Schweiz Tel: (+41) 435 080 775 Fax: (+41) 435 080 776 Canary Wharf One Cabot Square 791 London E14 4QJ Tel: (+44) 0207 060 6101 Fax: (+44) 0207 060 6102 www.harvardalliance.eu Email: [email protected] [email protected], [email protected] Harvey Capital Partners Havnegade 27, 1271, Copenhagen K, Denmark Denmark unauthorized subject www.finanstilsynet.dk 792 www.harveycpt.com
Hass Associates Calle de Antonio, Maura 7, 28014 Madrid, Spain Norway unauthorized subject www.finanstilsynet.no 793 Wheelock House, 20 Pedder Street, Central Hong Kong Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Hatfield Oak International SA Ocean Business Plaza, 16th Floor, Suite 5, Aquilino De La Spain unauthorized subject www.cnmv.es 794 Guiardia Ave, Panama www.hatfields-oak.com Haven Link Commodities Postdamer Strasse 58, 10785 Berlin, Germany Norway unauthorized subject www.finanstilsynet.no 795 www.havenlinkcommodities.com Hawkins & Doyl 18th Floor, JT Building, 2-2-1 Toranomon, Minato-Ku, 105- Norway unauthorized subject www.kredittilsynet.no 796 0001 Tokyo, Japan Hayes Associates 13 Commercial St, St. Helier, Jersey JE2 3QA United unauthorized subject www.fsa.gov.uk 797 www.hayesassociates.org. Kingdom Hayes Capital Management 31 Broad Street, Jersey, JE2 4WE United unauthorized subject www.fsa.gov.uk 798 145-147 John Street, London EC1V 4PW, United Kingdom Kingdom
Haynes – Hamilton Ventures 55 Water St. 11F-2E Manhattan, NY Sweden unauthorized subject www.fi.se/warning 799 www.haynes-hamilton.com HB Capital Partners Calle de Valencia 224, Suite 112, 080 11 Barcelona, Spain Norway unauthorized subject www.kredittilsynet.no 800 HCS Worldwide France unauthorized subject www.finanstilsynet.dk 801 Denmark 802 HCS Worldwide Via Monti 8, 10123 Milano, Italy www.hcsworldwide.com Austria unauthorized subject t. č. +43 (0)1/24 959 5106 Heckart Associates LLC 295 Madison Ave, New York 10017, USA United unauthorized subject www.fsa.gov.uk 803 1700 Seventh Avenue, Seatle, Washington 98101, USA Kingdom www.heckartassociates.net Hedges Mergers & Acquisitions 1400 Broadway, New York, NY 10018m, USA unauthorized subject www.fi.se/warning 804 www.hmaworld.com Sweden Heintzman, Warren, Wise & Fornella, 35th Floor, Gulf Tower, 707 Grant Street, Pittsburg, Sweden unauthorized subject www.fi.se/warning 805 P.C. PA 15219 806 Hellas Financial Services Greece unauthorized subject www.cmc.gov.gr Helm Capital Roppongi Hills Mori Tower, Tokyo Roppongi Hills, Minato- Belgium unauthorized subject www.cbfa.be 807 ku, Tokyo 106-6111 Japan 808 Helvetia Wealth AH (Switzerland) Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Hemmington Capital Markets West Business Centre, 11/B Finance Street, 852-2118 unauthorized subject www.fi.se/warning 809 Central Hong Kong www.hemmington-cm.com Sweden Heritage Investment Management Yue Xiu Building, 160-174 Lockhart Road, Wan Chai, Hong Sweden unauthorized subject www.fi.se/warning 810 Kong Island, Hong Kong. www.heritageinvestmentmanagement.com Herman Brothers Group 23-24 Tiemann Pl, New York, NY 10027-3305, USA United unauthorized subject www.fsa.gov.uk 811 www.hermanbrothersgroup.com Kingdom Herrington Global Taikoo Business Centre, West Tower, 971/B King´s Road, Norway unauthorized subject www.finanstilsynet.no 812 Quarry Bay, Hong Kong www.herrington-global.com Hersh Edelman 19/2 Des Voeux Road, Central Hong Kong, Hong Kong Austria unauthorized subject t.č. +43 (0)124959-5106 813 www.hersh-edelman.com Hesketh Leihner Infinitus Plaza, 199 Des Voeux Road Central, Sheung Sweden unauthorized subject www.fi.se/warning 814 Wan, Hong Kong, Hong Kong www.hesketh-leihner.com HEWITT & STERN RUE DE PLANTAPORRETS United unauthorized subject www.fsa.gov.uk 1205 GENEVA Kingdom 815 SWITZERLAND www.hewittstern.com Hexagon Financial (Clone of FSA www.hexagonltd.com United unauthorized subject www.fsa.gov.uk registered firm) www.hsgjt.com Kingdom Clone of previously 816 Tel: +44 (845) 226 4303 FSA authorised firm
817 HFX Global Ltd www.hfx.com Cyprus unauthorized subject www.cysec.gov.cy 818 HG Ventures Na Výsluní 201/13, 100 00 Praha 10, Czech Republic Denmark unauthorized subject www.finanstilsynet.dk Hibber Bothwell Capital Partners Calle Valencia, 214, Suite 102, 08011 Barcelona, Spain Sweden unauthorized subject www.fi.se/warning 819 Denmark www.finanstilsynet.dk 820 Highland International Advisors BCB Bachstrasse 1, CH-9606 Butschwil Sweden unauthorized subject www.fi.se/warning Hobart Roth LLC 1420 Fifth Avenue, Seatle WA 98101, USA United unauthorized subject www.fsa.gov.uk 821 www.hobartroth.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Hoden International Clearing Chai Wan, E-Trade Plaza, 24 Lee Chung Street, Hong United unauthorized subject www.fsa.gov.uk 822 Kong Kingdom www.hodeninternationalclearing.com Hoffman Mueller 8 Bleicherweg United unauthorized subject www.fsa.gov.uk Schweiz 8001 Kingdom Zurich 823 Switzerland www.hoffmanmueller.com
HOLLERMAN & COMPANY LLC 110 East 59th Street, New York, NY 10022, USA United unauthorized subject www.fsa.gov.uk 824 www.hollermanllc.com Kingdom Hollinger Newcastle Limited Level 28, Central Plaza, 34 Jalan Sultan Ismail, Kuala Sweden unauthorized subject www.fi.se/warning 825 Lumpur 50250, www.hollingernewxastle.com Hong Kong Finance 27B Park Place 1601, United unauthorized subject www.fsa.gov.uk Nanjing Road west, Kingdom Shanghai 826 200040 The People’s Republic of China www.hkfincn.com Hoover Bright Independent Finance 20/F, 1 Federal St Boston, MA 02110, USA Sweden unauthorized subject www.fi.se 827 Advisor www.hooverbright.com 828 Hopewood and Company 413 4th Ave. S Columbus, MS 39701 USA Sweden unauthorized subject www.fi.se/warning Houston Derivates Exchange Allen Centre Downtown, 1400 Smith Street, 77002, Norway unauthorized subject www.finanstilsynet.no 829 (HOUDEX) Houston, Texas, USA www.houdex.org Howard Gary & Company 4141 North Miami Avenue, Suite 307, Miami, FL 33127. Švédsko neautorizovaný www.fi.se/warning 12671 High Bluff Drive, Suite 350, San diego, CA 92130. subjekt 500 Fift Avenue, Suite 1640, New York, NY 10110. 830 50 Milk Street, 21st Floor, Boston, MA 02109. www.howardgaryandco.com
831 Howell And Johnson Associates 1422 Euclid Ave.Cleveland, OH 44115, USA Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Hoxton Associates Rue de Lausanne 56, 1202 Geneve, Switzerland unauthorized subject www.fsa.gov.uk 832 Fort Lauderdale, Florida, USA United www.hoxton-associates.com Kingdom HPC FOREX TRADING Plaza Pablo Ruiz Picasso, 1-Torre Picasso, 28020 Madrid, Spain unauthorized subject www.cnmv.es 833 Spain www.hpccorp.com HUCARO GESTION FINANCIERA Y Plazza del Marqués de Salamanca, 11-Entreplanta, 28006 Spain unauthorized subject www.cnmv.es 834 DESARROLLO PATYRIMONIAL, S.L. Madrid, Spain www.hucarogestion.com HUDSOM MUNROE Rue de la Carroteria no 12, 1204 Geneva, Switzerland United unauthorized subject www.fsa.gov.uk Quai Du Mont-Blanc 21, 1201, Geneva, Switzerland Kingdom 407 N. Michigan Ave, Suite - 3301, Chicago IL 60601, USA Suite 2809, 28/F, Two Pacific Place, 88 Queensway, 835 central District, Hong Kong Shanghai World Financial Centre, Suite - 7912, 79/F, 100 Century Avenue, 200120, Pudong New Area, Shanghai China
836 Hudson Asset Management Avenue Louise 151/26, 1050 Brussel, Belgium Belgium unauthorized subject www.cbfa.be 837 Hunter Rowe Financial (Germany) Ireland unauthorized subject www.financialregulator.ie 838 Hunter William Associates Hagenholzstrasse 20, Zurich Sweden unauthorized subject www.fi.se/warning 839 Huntington Asset Management Group Ireland unauthorized subject www.financialregulator.ie Hutchinson Partners Rue de Stand, Geneva 1204, Switzerland United unauthorized subject www.fsa.gov.uk 840 Kingdom Hypo Venture Capital / HVC Asset Uranianstrasse 40, Zurich 8001, Switzerland United unauthorized subject www.fsa.gov.uk 841 Management Limited / HVC Securities www.hypovc.com Kingdom Limited 842 HZ Capital www.hz-investgroup.com Luxembourg unauthorized subject www.cssf.lu Chapman Butler Llc United unauthorized subject www.fsa.gov.uk 843 Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information CHARLES PEARSON INVESTMENT Equitable Building, Floor 23 Suite 1996, 120 Broadway, United unauthorized subject www.fsa.gov.uk INTERNATIONAL Manhattan, New York 10271 Kingdom 844 USA www.cpearsoninvi.com Charles Schwab 3/2, Molfelder Strasse 113, D-65451 Kelsterbach, United unauthorized subject www.fsa.gov.uk 845 Frankfurt, Germany Kingdom CHARLES SCHWARTZ 11th Floor United unauthorized subject www.fsa.gov.uk INTERNATIONAL 1 Canada Square Kingdom Canary Wharf 846 London Tel: +44 (0)20 3372 4008 www.charlesschwartzinternational.com
847 Charlton Hayfield and Company 30 E Broad St, Columbus, OH 43215, USA Sweden unauthorized subject www.fi.se/warning Chartered Investments 18-22 LEVEL 28 CANARY WARF LONDON 848 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 Sweden unauthorized subject www.fi.se/warning 849 Charterhouse Wealth Management Two International Centre, 8 Finance Street, Central Hong Sweden unauthorized subject www.fi.se Kong 850 www.chartehousewealthmanagement.com
Chelsea Asset Management 14 North Colonade United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom E14 5HS 851 London England [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Chelsea Financial St James Hall, Moore Park Road, SW62JS London, United United unauthorized subject www.fsa.gov.uk 852 Kingdom Kingdom www.chelseafinancial.org Chenglong International 168 Robinson Road #12-04, Capital Tower, Singa-pore Sweden unauthorized subject www.fi.se/warning 853 068912. www.chenglong-international.com Chenglong International Head Office Austria unauthorized subject www.fma.gv.at 168 Robinson Road #12-04, Capital Tower, Singapore 068912. 854 Tel: +65 6491 5722 Fax: +65 6491 5720 www.chenglong-international.com Email: [email protected] CHESTERFIELD LTD 44 York Street United unauthorized subject www.fsa.gov.uk London W1U 8PZ Kingdom Chesterfield Road 855 Brimington Chesterfield S43 1AB www.chesterfield-ltd.com Chesterfield Lyons 1-42-27 Chuo Dori, Chiyoda-Ku, Tokyo, Japan Sweden unauthorized subject www.fi.se/warning 856 www.chesterfieldlyons.com China International Corporation Capital 28th Floor, China World Office 2, No 1 Jian Men Wai United unauthorized subject www.fsa.gov.uk 857 Limited (CICC) Avenue, Beijing 1000004, China Kingdom www.cicc.com.cn CHRISTIAN LAVIGNE tel: 020 3608 0614 United unauthorized subject www.fsa.gov.uk 858 Kingdom Iberia Securities Manuel Lasala 2, 5006 Zaragoza, Spain Norway unauthorized subject www.kredittilsynet.no 859 www.iberiasecurities.com Belgium www.cbfa.be Spain www.cnmv.es Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information IBG & Associates 601 Union Street, United unauthorized subject www.fsa.gov.uk Suite 900, Kingdom Seattle WA, 98101 860 Tel: 0012064205447 Fax: 0012062609156 Website: www.ibgandassociates.com Email: [email protected] IBOLUTION.BLOGSPOT.COM http://ibolutionserv.blogspot.com www.ibolution.net Spain unauthorized subject www.cnmv.es 861 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information ICON FINANCIAL PARTNERS 12TH FLR., HAMAMATU-CHO S.S. BLDG. United unauthorized subject www.fsa.gov.uk 12-9, SHIBA DAIMON 2-CHOME, MINATO-KU Kingdom associated to the TOKYO 105-0012, JAPAN company: TEL.: +81 3 4579-5558 INTERNATIONAL FAX: +81 3 6745-8905 MERGERS & WEBSITE: www.iconfp.com ACQUISITIONS EMAIL: [email protected] ADMINISTRATION 17TH FLR., FUJINO BLDG., 15-18, NIHONBASHI KODENMA-CHO CHUO-KU, TOKYO 862 103-0001, JAPAN TEL.: +81 3 4578- 0375 FAX: +81 3 6745- 9514 WEBSITE: www.international- maa.org EMAIL: enforcement@interna tional-maa.org
Ideal Merger Group Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, United unauthorized subject www.fsa.gov.uk 863 Osaka City, Osaka 541-0052, Japan Kingdom iForex Hungary France a Phone +33(0)1 5345 6031 (corporate name: iFOREX Befektetési six-month suspension 864 Szolgáltató Zrt.) to the approval, beginning from 7 July 2011 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information I-investorclub Ltd. Suite B, 29 Harley Street, London WG1 9QR, United unauthorized subject www.kredittilsynet.no 865 Kingdom www.i-investorclub.com Norway Ikko Investments Great Britain Italy unauthorized subject 866 www.ikkotrader.com IMG AS 225 Franklin Street, Suite 1402, Boston MA 02110, USA Norway unauthorized subject www.kredittilsynet.no 867 IMG Asset Management Bahonfstrasse 42, United unauthorized subject www.fsa.gov.uk Zurich 8001, Kingdom Switzerland. 868 Tel: 0041445800244 Fax: +448721155335
Impact Finance 225 Franklin Street 26th Floor, Boston, Massachusets Norway unauthorized subject www.kredittilsynet.no 869 02110, USA Impakt Online Marketing 11 Boulevard Prince Henri, Luxembourg Campagne, Sweden unauthorized subject www.fi.se/warning 870 Luxembourg www.impaktonlinemarketing.com Imperial Quest Ventures Ltd The Hancock Center, 875 N. Michigan Avenue, Suite 2600, Sweden unauthorized subject www.fi.se/warning 871 Chicago, IL 60611, United States 872 Imperial Trust LLC Netherlands unauthorized subject www.afm.nl/warninglists 873 Incentive Breil/Brigels SA Casa Sentupada, CH-7165 Breil/Brigels Austria unauthorized subject www.fma.gv.at Independent Private Consultants Suite 17, Tower 42, Liverpool St, EC2M 7PY United unauthorized subject www.fsa.gov.uk 874 Kingdom 875 Indices International Group (IIG) Franz-Josef-Strasse 15, 5020 Salzburg, Austria Sweden unauthorized subject www.fi.se/warning 876 Información Qualificada Bolsa, S.L. c/Diego de León 28, 28006 Madrid, Spain Spain unauthorized subject www.cnmv.es INFORMATICA Y GESTIÓN COSTA Av. Ricardo Soriano no 72, 29601 Marbella, Malaga Spain unauthorized subject www.cnmv.es 877 DEL SOL, S.L. (I&G c.s., S.L) www.inversionprotegida.com INGESTRA CAPITAL, S.L. C/Juan Hurtado de Mendoza, 13 3ºG Spain unauthorized subject www.cnmv.es 878 28036 Madrid
INI Securities GmbH 34 Kirby Street, London EC1N 8TE, United Kingdom United unauthorized subject www.fsa.gov.uk 879 www.ini-securities.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Innis Financial Service LLC 370 Lexington Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom 880 NY 10017 USA www.innisfs.com 881 Insta Sofia Ltd. Bulgaria unauthorized subject www.fsc.bg 882 InstaForex Russia Bulgaria unauthorized subject www.fsc.bg INTAX KIKIA, S.L. C/Bravo Murillo, 16 Spain unauthorized subject www.cnmv.es 883 28015 Madrid www.intaxkikia.com Inte-Citi Capital St. Clements House, 27-28 Clements Lane, London, EC4N unauthorized subject www.fsa.gov.uk 884 7AE, United Kingdom United www.interciticapital.com Kingdom 885 Integral Commodities Incorporated www.integralcommodities.com Norway unauthorized subject www.finanstilsynet.no Integrated Investment Group Rue Rothschild 50, 1202 Geneve, Switzerland United unauthorized subject www.fsa.gov.uk 886 www.integratedinvestmentgroup.com Kingdom 887 Inter Credit Group 040 Kiev, Prospekt Frunze 22 OF 113, Ukraine Austria unauthorized subject www.fma.gv.at Inter Global Equity Citibank Plaza, 3 Garden Road, Central Hong Kong Norway unauthorized subject www.finanstilsynet.no 888 www.interglobalequity.com Interactive Investor Trading Limited / www.shareprice.co.uk United unauthorized subject www.fsa.gov.uk 889 Share Price UK Kingdom Intercapital Management Fund Limited 550 Mamaroneck Ave., Suite 330, Harrison, NY 10528, Sweden unauthorized subject www.fi.se/warning 890 United States of America Interdealer Brokers (IDB) Canada Square United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom 891 London,UK www.idb.herobo.com International Board of Mergers and 433 North 6th Street, Philadelphia, PA 19123, USA United unauthorized subject www.fsa.gov.uk 892 Acquisitions Kingdom International Brokers Worldwide Clearing & Trading Centre, London EC4M 7LS, United United unauthorized subject www.fsa.gov.uk 893 Kingdom Kingdom
894 International Equity Portfolio 522 Fifth Avenue, New York, NY 10036 Sweden unauthorized subject www.fi.se/warning Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information International Financial Court (IFC) Hong United unauthorized subject www.fsa.gov.uk 895 Kong Kingdom INTERNATIONAL FINANCIAL 1091 VERMONT AVE. NW United unauthorized subject www.fsa.gov.uk TRADING COMMISSION WASHINGTON D.C. Kingdom 20005 UNITED STATES OF AMERICA TEL: 1 (202) 552 1511 896 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 Silver Fortune Plaza United unauthorized subject www.fsa.gov.uk 1 Wellington Street Kingdom 897 Hong Kong www.internationalic.com International Merger Services Dorey Court, Admiral Park, St Peter Port, Guersey, GW1 United unauthorized subject www.fsa.gov.uk Group/IMS 2NE Kingdom www.imsfinance.com 898 www.imsfinance.net www.internationalmergerservices.com www.ims.group.com International Mergers, Inc. CitySpire Center Level 4, 150 & 156 West 56th Street, Sweden unauthorized subjec www.fi.se/warning 899 Manhattan, New York, U.S.A. www.internationalmergers.com INTERNATIONAL REGULATION Calle 10 De Abril No 702 United unauthorized subject www.fsa.gov.uk SERVICES Col. Satelite Kingdom Cuernavaca, Morelos 900 Mexico CP 62240 Tel: +52 55 5018 1028 Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information International Stock Transfer 8025 Corporate Drive, Nottingham, MD 21236, USA United unauthorized subject www.fsa.gov.uk 901 Administration www.stocktransfer.org Kingdom 902 Internationale Zurich Gruppe www.interzurich.com Switzerland unauthorized subject www.zurich.com 903 Intraday Investment Group Ireland Ireland unauthorized subject www.financialregulator.ie 904 Intraday Investment Group Commonwealth of Dominica and Ireland Ireland unauthorized subject www.financialregulator.ie Intuition Capital Corporation T: 0207 02240804 United unauthorized subject www.fsa.gov.uk 905 Website: [email protected] Kingdom
INVESCO PERPETUAL - INVESCO Tel: 020 7193 0745 United unauthorized subject www.fsa.gov.uk 906 GOLD PRECIOUS METALS FUND [email protected] Kingdom www.invesco-perpetualfunds.com Invesco Perpetual Website: www.invescoperpetualfunds.com United unauthorized subject www.fsa.gov.uk 907 Kingdom Invest Direct Group Affolternstrasse 14, 8050 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 908 www.invest-direct-group.com Kingdom Investec Asset Management Limited www.investec-wealth.co.uk United unauthorized subject www.fsa.gov.uk 909 Kingdom Investec Capital Corporation 225 West 34th Street, New York 10122, USA United unauthorized subject www.fsa.gov.uk 910 www.investeccapitalcorpinc.com Kingdom Investec Fund Managers Limited [email protected] United unauthorized subject www.fsa.gov.uk 911 [email protected]. Kingdom Investment Capital Consultants (ICC) Tel: +44 (0) 203 281 7982 United unauthorized subject www.fsa.gov.uk 912 Fax: +44 (0) 203 281 7983 Kingdom www.investmentcapitalconsultants.co.uk Investment House Limited C/Londres 70 esc. B 1/1 08036 Barcelona, Spain Spain unauthorized subject www.cnmv.es 913 www.ihforex.com 914 Investment Network Incorporated www.investmentnetworkincorporated.com Norway unauthorized subject www.kredittilsynet.no INVESTMENT OF HERITAGE, S.L. C/ Fuente del Berro, 20 1ºB Spain unauthorized subject www.cnmv.es 915 28009 - Madrid www.accionfinanciera.es 916 Investment Solutions Ltd Greece unauthorized subject 917 Investor Relations Corp. Switzerland Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Investors Management Services Dreikönigstrasse 31 United unauthorized subject www.fsa.gov.uk 8002 Zürich Kingdom Switzerland 918 Website: www.imsinvestorsmanagementservices.com Email: [email protected]
919 Investors Relations Corp. Switzerland Ireland unauthorized subject www.financialregulator.ie 920 iOption Global Group 2012 Ltd www.ioption.com Cyprus unauthorized subject www.cysec.gov.cy IP International Service / Banq of Broker Belgium unauthorized subject www.fsma.be 921 / Ikkotrader / trader369 / AJ Browder Capital IRONBRIDGE CAPITAL 99 Bishopsgate Tower, London EC2M 3XF, United United unauthorized subject www.fsa.gov.uk 922 Kingdom Kingdom www.ironbridge-capital.com IRS Clearing Consultancy CBC BLDG Business Center, 66766 Paseo de Roxas, Belgium unauthorized subject [email protected] 923 Makati, PH – PHILIPPINES. Irwin Mitchell (Clone of FSA authorised Tel: 012102497006 United unauthorized subject www.fsa.gov.uk 924 firm) Kingdom Clone of previously FSA authorised firm Isaac Capital Management 24 Rue Edward Steichen United unauthorized subject www.fsa.gov.uk 2540 Luxembourg Kingdom Tel: +35 22786 0031 925 Fax: +35 22786 0032 Website: www.isaaccapitalmanagement.com Email: [email protected] Isaac Paige Associates PO Box 65345 Seattle WA 98131-1477 926 USA Tel: 001 206 350 0802 Website: www.isaacpaige.com ISIS CAPITAL MANAGEMENT Tel: 020 3608 1582 United unauthorized subject www.fsa.gov.uk 927 Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information iTaxation Corporation Ltd Equitable Building United unauthorized subject www.fsa.gov.uk Level 11 Kingdom Lower Manhattan 928 New York City NY USA www.itaxation.com Izard Quin Division Holding Limited Ireland unauthorized subject Central Bank of Ireland 929 (Switzerland) J. S. Knight & Co. Ltd. United unauthorized subject www.fsa.gov.uk 930 Kingdom Jacobson Group 357 West 58th Street, New York, NY 10019, USA United unauthorized subject www.fsa.gov.uk 931 www.jacobsongroup.net Kingdom Jacoby & Associates, Plc One Liberty Place, 1650 Market Street Suite 1660, unauthorized subject www.fi.se/warning 932 Philadelphia, Pensylvania 19103, www.jacobyassociatesplc.com Sweden Jarvis Cohen Associates Floor 4, The Triangle, 5-17 Hammersmith Grove, London United unauthorized subject www.fsa.gov.uk 933 W60 LG, United Kingdom Kingdom www.jarviscohen.com 934 JCI Asset Inc 33 Stockerstrasse, Zurich, Switzerland Sweden unauthorized subject www.fi.se 935 Jean-Pierre Gallien France unauthorized subject Phone +33 (0)1 5345 6034 JEFFERSON BROOKES WORLD TRADE CENTRE United unauthorized subject www.fsa.gov.uk LEUTSCHENBACHSTRASSE 95 Kingdom 8050 936 ZURICH SWITZERLAND www.jeffersonbrookes.com 937 JFS Credit Union Ekonomisk forening Box 882, 114 79 Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning Jinghua International Group Jinghua South Street, Floor 14, Office Park CBD, Chao- Sweden unauthorized subject www.fi.se/warning 938 yang District, Beijing, 100020. www.jinghuaintgroup.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information JLS Capital Group Toho Twin Tower Building 5F United unauthorized subject www.fsa.gov.uk 1-5-2 Yarakucho Chiyoda-Ku Kingdom Tokyo 100-0006 939 Japan Tel: +81 367 302 760 Fax: +81 367 309 525 Website: www.jlscapitalgroup.com JM Financial Services Ltd. United unauthorized subject www.fsa.gov.uk 940 Kingdom John Windsor and Associates 04 Rue Delausanne, Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 941 www.johnwindsorandassociates.com Kingdom JOHNSON & STERLING 156 East 27th Street United unauthorized subject www.fsa.gov.uk CONSULTANCY SERVICES Suite 189A Kingdom New York 942 NY 10165 USA Website: www.johnsonsterlingconsultancy.com
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Jones Capital Wienerbergstrasse 9, Suite #123 United unauthorized subject www.fsa.gov.uk Vienna 1100 Kingdom Austria Tel.: +43 192 802 12 Fax: +43 192 802 13 And UK Office: 944 Suite 247, 155 Minories London EC3N 1AD United Kingdom Tel.: +44 203 318 9966 Fax: +44 870 626 2044
www.jones-capital.com 945 Jones Falls Securities Suite 4000, 2576 Broadway, 10025 New York, USA Belgium unauthorized subject www.cbfa.be 946 Jordan & Cole Investments Ltd Ireland unauthorized subject www.financialregulator.ie Jordan Parkinson Group 504 Fifth Avenue, New York NY 10110, USA United unauthorized subject www.fsa.gov.uk 947 www.jordanparkinsongroup.com Kingdom Jorge Rafael Calderón Zamanillo c/Clara del Rey, 44, 28002 - Madrid, Spain unauthorized subject www.cnmv.es 948 Spain Joseph Cooke Ltd. Geneva Rue du Rhone, Rue du Rhone 14, 1204 Geneva, unauthorized subject www.fi.se/warning Switzerland Panama City World Trade Centre, First Floor Commercial Area, Calle 53, Marbella, Panama City, P.O. Box 0832- 01295 Ocean Club West Plaza, Unit 108, P.O. Box 646, 949 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 September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information JSM Financial One Liberty Plaza Suite 3625, 165 Broadway Austria unauthorized subject www.fma.gv.at 1006 New York City, NY USA as well as Central Plaza, Harbour Road Wan Chai District, Hong Kong, 225300 950 Phone: +1646-918-5152 Fax: +1646-786-4918 www.jsmfinancial.com http://jsmfinancial.com [email protected]
Kaimon Global Yoyogi Building, Sendagava 5, Shibuiya-ku, Tokyo, Japan Sweden unauthorized subjec www.fi.se/warning 951 www.kaimonglobal.com
Kaimon Global Yoyogi Building, Sendagava 5, Shibuiya-ku, Tokyo, Japan Norway unauthorized subject www.kredittilsynet.no www.kaimonglobal.com. 952
KAISER YOUNG ASSOCIATES Bockenheimer Landstrasse 78, D-60323 Frankfurt am United unauthorized subject www.fsa.gov.uk 953 Main, Germany Kingdom www.kaiseryoungassociates.com Kalle Business Consulting LLC 520 Pike St., Seattle, WA 98101, USA United unauthorized subject www.fsa.gov.uk 954 www.kallebc.com Kingdom 955 Kanagawa Associates 100-6103, Tokyo, Sanno Park Tower, Japan Sweden unauthorized subject www.fi.se Kapital Equity Unlimited Jersey, unauthorized subject www.jerseyfsc.org English 956 Channel, England Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Kapital Pool 2010 CP2010 Ltd. P.O. Box 1251 Austria unauthorized subject tel.no. +43 (0)124959-5106 Gibraltar 957 http://www.kapitalpool.biz/ [email protected]
958 Karantania Investments LLC P.O:Box 556, Main Street, Charlestown, Nevis Slovenia unauthorized subject www.a-tvp.si Karl Johan Fonds ASA United unauthorized subject www.fsa.gov.uk 959 Kingdom Kawwii International Group Iwanami Shoten Hitotsubashi Bldg. 4-3-12, Toranomon, Sweden unauthorized subject www.fi.se/warning 960 Minato-ku, Tokyo 105-8012 www.kawwii.com KAYABAS HEADQUARTERS mit angeblichem Sitz in Austria unauthorized subject t. č. +43 (0)1/24 959 5106 Kayabas Level 25, One Raffles Quay, South Tower, Singapore 048583 961 www.kayabas.com E-mail: [email protected] Tel: +65 6491 5214 Fax: +65 6491 5215
KB Panamá 1st Floor - World Trade Center, P.O.Box 0832-0588 WTC, Netherlands unauthorized subject www.afm.nl 962 C/53 Merbella, Panamá, Republic of Panamá Kedington Advisory Regent Street, Belize City, Belize Sweden unauthorized subject www.fi.se/warning 963 www.kedingtonadvisory.com Keizai Group 6th Floor, Glass City Shibuya, Austria unauthorized subject www.fma.gv.at 16-28 Nanpeidai-cho, Shibuya-ku. Tokyo 150-0036. Japan. 964 Tel: +81 3 6730 2711 Fax: +81 3 6730 2712 E-Mail: info@keizaigroup Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Kendall Morgan Partners Akihabara, Dai Building, 76 Sotokanda 1, Chiyoda-ku, 101- Norway unauthorized subject www.finanstilsynet.no 965 0021 Tokyo, Japan www.kendallmorganpartners.com Kennedy & Lang Limited 60 East 42nd Street, Suite 1516, New York, N.Y. 10165, Sweden unauthorized subject www.fi.se/warning 966 www.kennedylang.com Kensington Advisory & Investment 350 Fifth Avenue Suite 5620, New York, Norway unauthorized subject www.kredittilsynet.no 967 Group NY 10118, USA www.kensingtonaig.com Kensington Reserve LLC 5944 Coral Ridge Drive 143, Coral Springs, FL 33076 United unauthorized subject www.fsa.gov.uk 968 10693 Wiles Road, Suite 179, Coral Springs, FL 33076 Kingdom USA Kent Capital Ltd W.Washington Street Suite, United unauthorized subject www.fsa.gov.uk 1500 Chicago, Kingdom Illnois 60602, USA 969 Phone: 001 7733376346 Website: www.kent-capltd.com Email: [email protected]
Kessler and Partners 32 Thread Needle Street, London EC2R 8AY, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom An der Welle 4, 60322 Franfurt, Germany 970 52b Two International Finance Tower, 8 Finance Street, Central Hong Kong www.kesslerandpartners.com KEY SOLUTIONS, S.L. C/Bravo Murillo, 120 1A Spain unauthorized subject www.cnmv.es 971 28020 Madrid, Spain www.solutions-key.com KIEFER BUSINESS SERVICES LLC 1100 Olive Way, Seatle WA 98101, USA United unauthorized subject www.fsa.gov.uk 972 www.kieferservices.com Kingdom Kimura Financial 63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun, Denmark unauthorized subject www.dfsa.dk 973 Aomori 039-2402, Japan Austria www.fma.gv.at Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information KINGFISHER EQUITIES PLACE DU PORT 19, United unauthorized subject www.fsa.gov.uk LAUSANNE, CH-1006 Kingdom SWITZERLAND 974 TEL.: +41 435081643 FAX: +41 435081644 EMAIL: [email protected] WEBSITE: www.kingfisherequities.com KingsleyStone 4th Floor, Centreville House Collins Avenue, P.O.Box Sweden unauthorized subject www.fi.se/warning 975 N8303, Nassau, Bahamas, www.kingsleystone.com Kingson Financial Group 3011 Tower 2, 89 Queensway, Hong Kong United unauthorized subject www.fsa.gov.uk Dubai International Financial Centre, Gate Precinct 3, Level Kingdom 976 3, PO Box 33538, Dubai, UAE www.fingstone-fg.com Kirayaka International 17th Fl, Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2- Norway unauthorized subject www.finanstilsynet.no 977 chome, Chiyoda-ku, Tokyo 100-0011, Japan www.kirayakainternational.com 978 Kirkland Group Associates 125 Baxter Street New York, NY 100-13-3603 USA Sweden unauthorized subject www.fi.se/warning KKR Devonshire House, 1 Devonshire Street, London W1W United unauthorized subject www.fsa.gov.uk 979 2DR, United Kingdom Kingdom
Kleinwort Finance L-2449 Luxembourg, 26, boulevard Royal Luxembourg unauthorized subject www.cssf.lu 980 www.klienwort KLM Law Associates 875 Third Avenue, 27th Floor, New Yourk City, New York Sweden unauthorized subject www.fi.se/warning 981 10022 Knightsbridge Advisors Stockerstrasse 39, P.O. Box 1665, 8027 Zurich, Sweden unauthorized subject www.fi.se 982 Switzerland. www.kbridgeadvisors.ch Knightsbridge Wealth Management AG Seefedstrasse 307, Zurich, Switzerland, CH-8008 Sweden unauthorized subject www.fi.se/warning 983 Knowl, Brew and Zimmer 2150 Highway 35 Brook 35 Plaza, Suite 255, Sea Girt, NJ Sweden unauthorized subject www.fi.se/warning 984 08750 United States Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Knowlton Group 47C Broad Street United unauthorized subject www.fsa.gov.uk New York NY 10004 Kingdom 985 Tel: 0019145172749 Fax: 0019145602286 Knox D´Arcy Investment Management www.knoxdarcy.co.uk United unauthorized subject www.fsa.gov.uk 986 Limited Kingdom Knox Securities Corp. 1794 Liverpool Rd, Unit 7, Ontario, L1V 1V9 United unauthorized subject www.fsa.gov.uk 987 www.knoxsc.com Kingdom 988 Kooij Netherlands unauthorized subject t. č. +31 (0)20 797 3751 Koyal Group Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo, Norway unauthorized subject www.finanstilsynet.no 989 Japan KPR Associates Bahnhofstrasse 52, 8001 Zürich, Switzerland. Sweden unauthorized subject www.fi.se Bharat Building, 3 Raffles Place, Singapore 048617. United www.fsa.gov.uk 990 333, 28th October street, 3106 Limassol, Cyprus. Kingdom www.kpr-associates.com KSI / Karamanof / Karamanof Securities Canada Square, Canary Wharf, London E14 5LQ, united United unauthorized subject www.fsa.gov.uk & Investment Services Kingdom Kingdom 991 Hopewell Center, Queens Road, Hong Kong www.karamanofinvestments.com 992 KTI TRADING INC Greece unauthorized subject www.hcmc.gr Kubitz, Gold & Chubb PO Box 27106 United unauthorized subject www.fsa.gov.uk Maple Valley Kingdom Seattle Washington State 98381 993 Tel: 0014256064353 Fax: 0014256064373 Website: www.kubitzgoldchubb.com Email: [email protected] 994 Kuoni Travel Holding Ltd. Switzerland unauthorized subject www.swx.com Kyodo Securities Meiji Yasuda Seimei Building, 2-2-1 Marunouchi, Chiyoda- Norway unauthorized subject www.finanstilsynet.no 995 ku, Tokyo, 100-0005 Japan www.kyodosecurities.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information KYODO SECURITIES and SATORI both of which are headquartered in Japan. France unauthorized subject Phone +33(0)1 5345 6031 996 GROUP, Kyoto Commodity Exchange 33 Karasudamori Shiokoji-sagaru, Hagashi Shiokojicho, Norway unauthorized subject www.finanstilsynet.no 997 Shimogyo-ku, Kyoto 600-8555, Japan Lakepointe Capital Advisors Level 10 The Plaza, 100 Old Hall Street, Liverpool, L3 Norway unauthorized subject www.kredittilsynet.no 998 9QJ, United Kingdom) www.lakepointeglobal.com. Lakepointe Capital Advisors Level 10 The Plaza, 100 Old Hall Street, Liverpool, L39QJ, Belgium unauthorized subject [email protected] 999 United Kingdom. Lakewood Securities, Inc. Fifth Avenue Professional Center, 1852 Fifth Avenue, San Sweden unauthorized subject www.fi.se/warning 1000 Diego, CA 92101 Landen Options and Futures which claims to offer investment services from premises at Belgium unauthorized subject www.fsma.be Avenue Louise/Louizalaan 149, 1050 1001 Brussels however, it is not situated at the address provided Lansley Everett and Moore LLC 18 Oliver Street, Boston, MA 02110, USA The unauthorized subject www.afml.nl 1002 www.lansleyeverettmoore.com Netherlands Lantau Goldwell 22F Wu Chung House, 213 Queen's Road East, Denmark unauthorized subject www.finanstilsynet.dk 1003 Wan Chai, Hong Kong. www.lantau-goldwell.com Lantau International 22F Wu Chung House, Norway unauthorized subjec www.finanstilsynet.no 1004 213 Queen's Road East, Wan Chai, Hong Kong website www.lantau-international.com Lantau International 22F Wu Chung House, Austria unauthorized subject t.č. +43 (0)124959-5106 213 Queen's Road East, Wan Chai, Hong Kong 1005 Phone: +852 3012 9640 Fax: +852 3012 9641 www.lantau-international.com [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Larsson Group www.larssongroup.com Malta unauthorized subject Malta Financial Services Authority Tel: +356 21441155 Direct: +356 25485386 1006 Email: [email protected] .mt Web: www.mfsa.com.mt Law Associates Mergers & Acquisitions unauthorized subject Phone + 33 0 0 5345 6031 1007 France Lawrence James & Associates 90 Broad Street, 9th Floor, New York, NY 10004, USA United unauthorized subject www.fsa.gov.uk 1008 www.ljamesassociates.com Kingdom LAWSON KNIGHT GROUP Bd Georges Favon 43, Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 1009 www.lawson-knight.com Kingdom LCB (London City Broker) International, 4th Floor, 100 New Bond Street Austria unauthorized subject Phone +43 (0)1/24 959 5106 Inc. Mayfair, London W1S 1 SP Großbritannien www.lcbroker.net [email protected] Tel: +44 (0) 207 692 8248 1010 Fax: +44 (0) 207 692 8249 and 280 Madison Avenue, #912 – 9th Floor New York, NY 10016 Tel: +1 212 252 44648 USA 1011 Lead Management Limited www.leadmanagementgroup.com Slevenia unauthorized subject www.a-tvp.si Leaders Asset Management Nagatacho Housou Building 509, 2-21, 2-Chome Akasaka, Denmark unauthorized subject www.finanstilsynet.dk 1012 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, Koto- unauthorized subject www.fi.se/warning 1013 ku, Tokyo 135-0042, Japan www.learcapitalgroup.com Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ledbury Moore 13 Austin Friars, City of London, EC25 3HE, United United unauthorized subject www.fsa.gov.uk 1014 Kingdom Kingdom www.ledburymoore.com Lee Byers Ltd Suite 26. 3 Level 26 Menara IMC, 8 Jalan Sultan Ismail, Sweden unauthorized subjec www.fi.se/warning 1015 50250 Kuala Lumpur, Malaysia. www.leebyers.com Lefroy Hudson Infinity Building, 197C Des Voeux Road Central, Sheung Sweden unauthorized subject www.fi.se 1016 Wan, Hong Kong United www.fsa.gov.uk Kingdom 1017 Legacy Capital Management Ireland unauthorized subject Central Bank of Ireland Legacy Global Wealth Via Barberini, 3/A, Rome, 00187 Italy Sweden unauthorized subject www.fi.se/warning, 1018 www.legacyglobalwealth.com Belgium www.cbfa.be Austria www.fma.gvt.at 1019 Legend Merchant Group, Inc. 30 Broad Street 38th Floor, New York, NY 10004, USA Netherlands unauthorized subject Phone +31 (0)20 5535 535 Lehman Reilly 88 Lower Camden Street, Dublin 2, Ireland United unauthorized subject www.fsa.gov.uk 1020 www.lehmanreilly.com Kingdom Leighton Corporate Services LLC 520 Pike Street, Seattle, Washington WA 98101, USA United unauthorized subject www.fsa.gov.uk 1021 www.leightoncorp.com Kingdom Ireland LEK Consulting Group LEK Consulting Group United unauthorized subject www.fsa.gov.uk New Bond House Kingdom 124 New Bond Street 1022 London W1S 1DX www.clicklekconsulting.com 1023 Lemanium SA Richemont Building, Rue du Petit-Chene 18, 1003 LausanneNorway www.lemanium.comunauthorized subject t.č. +47 22 93 98 00 Leonard Ullrich Neumann Goeldelerring 5, 04109 Leipzig, Germany United unauthorized subject www.fsa.gov.uk II International Finance Centre, 8 Finance Street, Hong Kingdom 1024 Kong www.leonardulrichneumann.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Leroy Philips Consulting/Leroy Phillips Odengaten 54, United unauthorized subject www.fsa.gov.uk Consortium, 11322 Stockholm, Kingdom Sweden. Tel: 00441652628372 1025 00442081445867 00442081449285 004855922160 www.leroyphilips.com
Lexicon Mergers and Acquisitions 904 Kioi-TBR Building, 5-7 Kojimachi, Chiyoda-Ku, 102- United unauthorized subject www.fsa.gov.uk 1026 0072 Tokyo, Japan Kingdom www.lexiconma.com Lexington Direct The Century Tower, 4th Floor, Office 401-32B, Via Ricardo United unauthorized subject www.fsa.gov.uk 1027 J. Alfaro, Panama City, Panama Kingdom www.lexingtondirect.com Lexington International Group Inc Financial District, 99 Queen Victoria Street, London EC4N United unauthorized subject www.fsa.gov.uk 1028 4TR, United Kingdom Kingdom www.lex-inter.com Lexington International Group Inc. Financial District - 99 Queen Victoria Street, London EC4N Austria unauthorized subject t.č. +43 (0)124959-5106 1029 4TR, United Kingdom www.lex-inter.com Liberty Asset Management One Financial Center, Boston, Massachusetts 02111, USA Sweden unauthorized subject www.fi.se/warning 1030 1031 LifeClub / World Mazo Inc. www.lcisupport.com Sweden unauthorized subject www.fi.se Lima Resource Partners Inc Rua Oscar Friere, 1220 United unauthorized subject www.fsa.gov.uk SAO PAULO, Kingdom Brazil 1032 Tel: +551133232371 Website: www.lrpi.net Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Lima Resource Partners Inc Rua Oscar Freire, 1220 United unauthorized subject www.fsa.gov.uk SAO PAULO, Kingdom Brazil 1033 Tel: +551133232371 Website: www.lrpi.net Email: [email protected] Lincoln Equity Partners 500 West Madison Street, Chicago, IL, 60661, U.S.A. Sweden unauthorized subjec www.fi.se/warning
Hopewell Centre, 183 Queens Road, Wan Chai, Hong 1034 Kong. www.lepartnersonline.com
1035 Lincoln Ventures (Canada) Ireland unauthorized subject www.financialregulator.ie LINCON & CARTER ASSOCIATES Headquarters Office, Worth Street, New York, 10013, USA United unauthorized subject www.fsa.gov.uk 1036 www.linconandcarterassociates.com Kingdom
Ling Mergers and Acquisitions (United unauthorized subject www.cssf.lu 1037 States) Luxemburg Link Mergers & Acquisitions 1375 E.9th Street, 14th Floor, Cleveland, OH 44114/172 Sweden unauthorized subject www.fi.se/warning 1038 USA, 21 Ichiban/cho, Chizoda/ku, Tokzo 102/0082, Japan
Litmus Capital Management Group 1325 Avenue of the Americas United unauthorized subject www.fsa.gov.uk New York, NY, 10019-6026 Kingdom 1039 United States of America Tel.: 1 646 2918969 http://litmuscapitalgrp.com Litmus Capital Management Group 1325 Avenue of the Americas United unauthorized subject www.fsa.gov.uk New York, NY, 10019-6026 Kingdom 1040 United States of America Tel.: 1 646 2918969 http://litmuscapitalgrp.com Live Binary Ltd www.lbinary.com Cyprus unauthorized subject www.cysec.gov.cy 1041 Malta www.nfsa.com.mt Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information LJF ASESORES, S.L. C/ Costa Brava, 28, Portal C, Segundo D Spain unauthorized subject www.cnmv.es 1042 28034 Madrid
Lloyd Brown Investments, Inc. Hancock Center 875 N. Michigan Ave., Suite 3100, Sweden unauthorized subject www.fi.se/warning 1043 Chicago, Illinois 60611 Lloyd Stanley United unauthorized subject www.fsa.gov.uk 1044 Kingdom Lohman Brokers (predchádzajúci názov Comte Borell 206, 08029 Barcelona, Spain Netherlands unauthorized subject www.afm.nl 1045 Alpine FX) Lombard Grand Financials 53 5th Avenue 600, New York, NY 70017, USA United unauthorized subject www.fsa.gov.uk 1046 www.lombardgrandfinancials.com Kingdom Lombard Grand Financials 53 5th Avenue 600, New York, NY 70017, USA United unauthorized subject www.fsa.gov.uk 1047 www.lombardgrandfinancials.com Kingdom Lombard-Smith & Co CEO Rivers, 6650 Rivers Avenue, Charleston, South Sweden unauthorized subject www.fi.se/warning 1048 Carolina 29406, USA London Equities Londenstraat, rue de Londres 30, 1050 Brussels unauthorized subject www.cbfa.be 1049 www.london-equities.com Belgium 1050 London McFee Investment Ireland unauthorized subject www.financialregulator.ie 1051 Long Term Financial Ltd 1 Arianou str., Alimos, Athens, Greece Greece unauthorized subject t.č. +30 210 33 77 100 Longwood Trading Hong Kong S.A.R. at the Sun Hung Kai Centre, 30 Harbour Belgicko neautorizovaný www.cbfa.be 1052 Road, Wan Chai. subjekt Lowe & Lane Asset Management 10 East Doty Street, Madison, W1 53703, USA, Taikoo Sweden unauthorized subject www.fi.se/warning 1053 Place, 979 Kings' Road, Island East, Hong Kong LSE Wealth Management Inc Canada Square, Canary Wharf, London E14 5DY, United United unauthorized subject www.fsa.gov.uk Kingdom Two International Centre, 8 Finance Street, Kingdom 1054 Central, Hong Kong www.lsewealth.com Lukas Kantor Securities Token House Business Centre, 10/11 Token Yard House, United unauthorized subject www.fsa.gov.uk 1055 London EC2R 7AS, United Kingdom Kingdom www.lksecurities.com Lux Investment Group L-1115 Luxembourg, 6 boulevard Konrad Adenauer Luxemburg unauthorized subject www.cssf.lu 1056 website: www.luxig.lu. Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information LUX Investment Group 6 Boulevard Konrad Adenauer Austria unauthorized subject t.č. +43 (0)124959-5106 Luxembourg Tel: +352 208 809 68 1057 Fax: +352 246 113 27 Email: [email protected] Internet: www.luxig.lu Lyland Finance Rue Jean-Petitot 7 (1204 Geneve), Case postale 1211, unauthorized subject www.fi.se/warning 1058 Geneve 11 Sweden Lyndon Pearce www.lyndonpearce.com United unauthorized subject www.fsa.gov.uk 1059 Kingdom M S Global www.msgs.pl United unauthorized subject www.fsa.gov.uk 1060 Kingdom M&B Capital Advisers 100 Prestons Rd, London E14 9SB Spain unauthorized subject www.cnmv.es 1061 www.mb-capitaladvisers.com M.S. Global I.F.S.C. United unauthorized subject www.fsa.gov.uk Dublin Kingdom Dublin 1 1062 Ireland Tel: 0203 318 1078 Tel: 0870 626 2070 MA CAPITAL PARTNERS 43-44 Albemarle Street, City of Westminster, London W1S United unauthorized subject www.fsa.gov.uk 4JJ, United Kingdom Kingdom 1063 Nymphenbusger Strasse 4, 80335 Menchen, Germany Tel:+44 0 8450755856 Macc Group/Maccfx/Macc Fore 9014 Old Unions Springs Dr., London KY 40744, Old Netherlands unauthorized subject Phone +31(0)20 5535 535 1064 Uninon Springs Drive 3019 London, KY 40744, United Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Macintyre Schaffer Head Office: SK Building, 24th Floor, Suhrin-Dong 99, United unauthorized subject www.fsa.gov.uk Jongroh-Gu, Seoul 110-110, South Korea Kingdom Regional Office: China Merchant Tower, 19th Floor, 161 1065 Lujiazui Dong Lu, Pudong, Shanghai 200120, China Regional Office: Toshiba Building, 29th Floor 1-1-1, Shibaura, Minato-ku, Tokyo, Japan www.macintyreschaffer.com MacMillan Fine International Gran Via de Las Cortes Catalanas 583-5th Floor, 08011 Sweden unauthorized subject www.fi.se/warning 1066 Barcelona, Spain www.macmillanfine.com MACMILLAN FINE INTERNATIONAL Gran Via de las Cortes Catalanas 583, 5º Spain unauthorized subject www.cnmv.es 1067 08011 Barcelona www.macmillanfine.com Madden Group Inc. 14 Lafayette Square, Suite 1408, Buffalo, New York 14203, Denmark unauthorized subject www.finanstilsynet.dk 1068 USA www.maddengroupinc.com MADISON ADVISORY GROUP AV. BELGRANO 435 United unauthorized subject www.fsa.gov.uk BUENOS AIRES Kingdom 1069 ARGENTINA www.madisonadvisory-group.com
Madison Avenue Mergers & 183 Madison Avenue, United unauthorized subject www.fsa.gov.uk Acquisitions New York Kingdom NY1007 And 867 Madison Avenue 1070 New York City New York NY 17404 www.madison-avema.com, www.madisonavenuesite.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Magnis Global Level 23, Citigroup Tower, 33 Huayuanshiqiao Road, Sweden unauthorized subject www.fi.se/warning Shanghai, 1071 Pudong 200120, China. www.magnis-global.com Magnis Global Level 23, Citigroup Tower, 33 Huayuanshiqiao Road, Denmark unauthorized subject www.finanstilsynet.dk 1072 Shanghai, Pudong 200120, China. www.magnis-global.com Management International Dublin Ltd Europa House United unauthorized subject www.fsa.gov.uk Harcourt Street Kingdom Dublin 2 1073 Ireland Tel: 00 353 1442 9343 Fax: 00 353 1442 9340 Mandolin Resources 720 Brazos St Austin, United unauthorized subject www.fsa.gov.uk TX 78701,Perry Brooks Kingdom 1074 Tower, Office 1150 B http://mandolinresources.com/ Mandolin Resources 720 Brazos St Austin, United unauthorized subject www.fsa.gov.uk TX 78701,Perry Brooks Kingdom 1075 Tower, Office 1150 B http://mandolinresources.com/ Manhattan corporate transfers Address: 20 Wall Street United unauthorized subject www.fsa.gov.uk New York Kingdom NY10005 USA 1076
Tel: +1 917 338 0491 0845 686 1766 (UK)
Manhattan Fujiwara International Arca Central Building, 14F 1-2-1 Kinshi, Sumida-ku, Sweden unauthorized subject www.fi.se/warning 1077 1300031 Tokyo, Japan Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Manor Financial Management 4th Floor Rawdon House United unauthorized subject www.fsa.gov.uk Green Lane Yeadon Kingdom 1078 West Yorkshire LS19 7BY www.manorgold.com and www.manorhj.hk Manor Private Capital, LLC www.manorpcmanda.com United unauthorized subject www.fsa.gov.uk 1079 www.manorprivatecapitalll.com Kingdom www.manorpcl.com Marcus & Company Inc. 47th Floor 174 Pearl St., New York, NY 10005, United Sweden unauthorized subject www.fi.se/warning 1080 States www.marcusandcomp.com Marcus & Company Inc. 47th Floor 174 Pearl St., New York, NY 10005, United Norway unauthorized subject www.kredittilsynet.no 1081 States www.marcusandcomp.com. Marcus & Company Inc. 47th Floor, 174 Pearl St. New York Austria unauthorized subject www.fma.gv.at NY 10005 United States 1082 Tel: 1 646 386 2461 Email: [email protected] Web: www.marcusandcomp.com Marcus Jones International (United Ireland unauthorized subject www.financialregulator.ie 1083 Kingdom) Market Punter Pty Ltd Australia Italy unauthorized subject 1084 www.marketpunter.com Marsh & Reede Capital Level 21 Williams Tower Austria unauthorized subject t. č. +43 (0)1/24 959 5106 2800 Post Oak Boulevard Houston, TX 77056 Tel: 1 (713) 559 1793 1085 Fax: 1 (281) 754 4794 [email protected] www.marshnreede.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Marshall Stanwick United unauthorized subject www.fsa.gov.uk 1086 Kingdom 1087 Masahiro International 25-32-408 Sakuragaoka-Cho Shibuya-Ku Tokyo, Japan Sweden unauthorized subject www.fi.se/warning MASAON DUNNE 75 Harrington Street, Dublin 2, Ireland United unauthorized subject www.fsa.gov.uk 1088 www.masondunne.com Kingdom 1089 Mason Ross Investments Ltd. branch office in Shanghai, China Slovenia unauthorized subject www.a-tvp.si Massaki, Lane & Associates 1803 K Street NW, Suite 740, Washington, DC 20006 Sweden unauthorized subject www.fi.se 125 Broad Street, New York, New York 10004-2498 Park Bldg. Nakanoshima # 722, 1-9-13 Nishitenma, Kita- ku, 530-0047 Osaka, Japan. 1090 No. 565 Shanghai Street, Mongkok, Kowloon, Hong Kong, China www.mlandassociates.com
Master Life Securities 1 Queens Terrace, United unauthorized subject www.fsa.gov.uk Southampton, Kingdom (Clone of FSA EEA Hampshire, authorised firm) 1091 S014 3QL Tel: 0238-098-7506 Fax: 0238-168-0115 Website: www.mlssecurities.net Masters Financial Corporation 3F-314, Sokendoshumachi Building, 2-1-10, Doshumachi, Norway unauthorized subject www.finanstilsynet.no 1092 Chuo-ku, Osaka, Japan www. masterfinancialcorp.com Mathews Merger Management 6th Floor, Izumi Garden Wing, 6-3, Roppongi Sweden unauthorized subject www.fi.se 1093 1-chome, Minato-ku, 106-0032, Tokyo www.mathewsmmgmt.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Mathews Merger Management 6th Floor, Izumi Garden Wing, United unauthorized subject www.fsa.gov.uk 6-3 Roppongi 1-chome, Kingdom Minato-ku, 106-0032, 1094 Tokyo, Japan Tel: +81345209543 Website: www.mathewsmmgmt.com Email: [email protected] Mathisen Financial 1 State Street, New York, NY 10004, USA United unauthorized subject www.fsa.gov.uk 1095 www.mathisenfinancial.com Kingdom Maxwell & Goldstein Rue de Conseil, General 14, CH 1205, Geneva, Sweden unauthorized subject www.fi.se/warning 1096 Switzerland MAYER THOMAS Stockerhof, Dreikoenigstrasse 31 A, 8002 Zurich, United unauthorized subject www.fsa.gov.uk Switzerland Kingdom 1097 1 Canada Square, Canary Wharf, London E14 5AA, United Kingdom www.mayerthomas.com Mayfair Capital Investments Paradeplatz 7, 8001 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 1098 Kingdom Maynard Maclain Trading Company Tower 42, Old Broad Street 25, London EC2N 1 HN, United Netherlands unauthorized subject www.afm.nl/warninglists 1099 Ltd./Maynard Maclain Ltd./Maynard Kingdom en RM 1106, 11f Futura Plaza 111, How Ming Maclain Fx, Inc. Street, Kwun Tong, KLN, Hong Kong Maynes Business Services LLC Fisher Plaza, 104 4th Avenue North, Seatle WA 98109, United unauthorized subject www.fsa.gov.uk 1100 USA Kingdom www.maynesservices.com Maywell Consultancy 218 East 57th Street, 32nd Floor, New York, NY 10022, United unauthorized subject www.fsa.gov.uk 1101 USA Kingdom www.maxwellconsultancy.com MC Trading Address unknown United unauthorized subject www.fsa.gov.uk 1102 TEL: 00442033840014 Kingdom
1103 McAnthony Investments Avenue des Saisons 100-102, 1050 Brussels Belgium unauthorized subject [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1104 Mckenzie Rosenthal & Associates New York, USA Denmark unauthorized subject www.finanstilsynet.dk McKinley & Co., Ltd 1-5-2 Higashi-Shimbashi, Minato-ku, Tokyo 105-7123, Sweden unauthorized subject www.fi.se/warning 1105 Japan McLeod Walker Capital Ltd Uitbreidingsstraat 84/3, 2600 Berchem, Belgium unauthorized subject www.cbfa.be 1106 mcleodwalker.com Belgium McPherson Gordon Ltd The Shell Building, 1221 Locus Street, St Louis, Missouri Norway unauthorized subject www.finanstilsynet.no 1107 63103) www.mcphersongordon.com Mediacred AG Auwiesenstrasse 54, Zurich, Switzerland Austria unauthorized subject www.fma.gv.at 1108 www.austriakredit.at www.easycredi-24.at Melqu Invest HB Angsviks Torpsvag 5, 184 95 Ljustero, Stockholm, Sweden unauthorized subject www.fi.se/warning 1109 www.melquinvest.com Sweden Mendel Meir & Safwat Floors 2, 3 and 4, 22-24 City Road, London EC1Y 2AJ, United unauthorized subject www.fsa.gov.uk United Kingdom Kingdom 1110 No. 72 Penzinger, 1140 Vienna, Austria 532 5th Avenue, New York 10036, USA www.mendelmeirandsafwat.com Menzies & Co 16 St Martin's le Grand, St Paul's, London, EC1A 4EN United unauthorized subject www.fsa.gov.uk Tel: 0203 284 8381 Kingdom 1111 Fax: 0203 394 0579 Website: www.menziesandco.com Menzies Overseas Limited Newton Barracks Road Belize city, Belize Sweden unauthorized subject www.fi.se/warning 1112 www.menziesoverseas.com MERCADIA ASESORES,S.A. C/ Alberto Aguilera 7 7º Izq. Spain unauthorized subject www.cnmv.es 28015 Madrid; C/ Don Ramón de la Cruz 39 1º izda. 1113 28001 Madrid http://mercadiaasesores.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information MERCADIVISAS INTERNACIONAL, www.mercadivisasinternacional.com Spain unauthorized subject www.cnmv.es S.A. 1114
Mercator Amalgamated Viale Luca Gaurico 4, Rome, 00143, Italy United unauthorized subject www.fsa.gov.uk 1115 www.mercatoramalgamated.com Kingdom MERCATRADING INVERSIONES www.mercatrading.es Spain unauthorized subject www.cnmv.es 1116 Mercer and Associates Limited 187 Federal Plaza, 4789 New York, USA United unauthorized subject www.fsa.gov.uk 1117 www.mercerassociatesltd.com Kingdom Mercier and Clark Partners 1 Canada Square United unauthorized subject www.fsa.gov.uk London Kingdom 1118 E14 5EU www.mercierclark.com Mercier and Clark 1 Canada Square, London, E14 5EU Francúzsko neautorizovaný t.č. +33(0)1 5345 6031 1119 http://www.mercierclark.com subjekt 1120 Mercuria Technologies Ltd www.optionsmarter.com Cyprus unauthorized subject www.cysec.gov.cy Mercury Global Acquisitions Suite 508, 1037 2nd Avenue, Seattle, WA 98104, USA United unauthorized subject www.fsa.gov.uk 1121 www.mercuryga.us Kingdom 1122 MERCXYZ ONE Limited www.mercxyzone-europe.com Spain unauthorized subject www.cnmv.es MERGER & ACQUISITION 15th Flr., Fujino Bldg. 11-8, Nihobashi Kodenma-cho, Chuo- United unauthorized subject www.fsa.gov.uk 1123 SUPERVISION & ADMINISTRATION ku, Tokyo 103-0001, Japan Kingdom COMMISSION (MASCO) www.masac.org. Mergers & Acquisitions Financial 11th Floor, Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, United unauthorized subject www.fsa.gov.uk 1124 Administration Tokyo 108-0014, Japan Kingdom Burjuman Business Towers, 18th Floor, 43695 Dubai, United Arab Emirates 1125 Meridian Capital Tower 42, 25 Old Broad Street, EC2N 1HN London, United Enterprises Ltd Kingdom Austria unauthorized subject t. č. +43 (0)1/24 959 5106 Merit Capital Management, Inc The Concierge Center, 600 Republic Centre, 633 Chestnut unauthorized subject www.fi.se/warning Street, Chattanooga, Tennessee 37450 1126 JFK Building, 1800 JFK Blvd, Suite 300, Philadelphia, Pennsylvania 19103, USA Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1127 Merkater Business Company Netherlands unauthorized subject www.afm.nl Merkel Financial Incorporated 9th Flr. Takanawa Center Bldg., 19-13, Takanawa 2- United unauthorized subject www.fsa.gov.uk 1128 chome, Minato-ku, Tokyo 108-0074 Kingdom www.merkelfinancialinc.com Mesirow Financial / Mesirow Financial Sackville House, Fifth Floor, 40 Picadilly, London W1J United unauthorized subject www.fsa.gov.uk 1129 International UK 0DR, United Kingdom Kingdom www.mesirowfinancial.com METCAP SECURITIES 405 LEXINGTON AVE., 39TH FLOOR United unauthorized subject www.fsa.gov.uk NEW YORK CITY, 10174 Kingdom USA TEL: 0016466520720 1130 TEL: 0017166761121 FAX: 006464175423 WEBSITE: www.metsecu.us EMAIL: [email protected]. 1131 Metropolitan Credit Corp. Netherlands unauthorized subject www.afm.nl MHH Associates Nihonbashi Koami Building 7F, 12 Nihombashi Koamicho, United unauthorized subject www.fsa.gov.uk 1132 Chuo-ku, Tokyo 103-0016, Japan Kingdom www.mhhassociates.com Micron Associates World Trade Center Barcelona, Moll de Barcelona s/n, Norway unauthorized subject www.finanstilsynet.no 1133 edificio Este 8 planta, Spain www.micronassociates.com. Micron Associates World Trade Center Barcelona, Moll de Barcelona s/n, Denmark unauthorized subject www.finanstilsynet.dk 1134 edificio Este 8 planta, Spain http://www.micronassociates.com/. Micron Associates World Trade Center Barcelona, Moll de Belgium unauthorized subject www.cbfa.be 1135 Barcelona s/n, edificio Este 8 planta. Spain MICRON ASSOCIATES World Trade Center Barcelona Spain unauthorized subject www.cnmv.es Moll de Barcelona, s/n. Edificio Este 8 planta 1136 Barcelona www.micronassociates.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Michael John Hammond 50 Bank Street United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom Clone of FSA London Approved Individual 1137 + 44 (0) 2070606850 0845 686 1766 [email protected] [email protected] MIJAVE IVERSIONES, S.L. Paseo Alameda de Osuna, 47, 28042 Madrid, Spain Spain unauthorized subject www.cnmv.es 1138 www.mjinveriones.com 1139 Mika Holdings Inc. British Virgin Islands Italy unauthorized subject Miles Corporate Services Logan Building, 500 Union St., Seatle, WA 98101, USA United unauthorized subject www.fsa.gov.uk 1140 www.milescs.com Kingdom MILESTONE AMG Boulevard Royal 26, Luxembourg LU2449 United unauthorized subject www.fsa.gov.uk 1141 www.milestoneamg.com Kingdom Millenia Strategies 39th Floor, Pacific Place, 14000, 88 Qeensway, Central Sweden unauthorized subject www.fi.se/warning 1142 Hong Kong, Hong Kong MILLER & PARKER CONSULTING 750 THIRD AVENUE United unauthorized subject www.fsa.gov.uk GROUP 12TH FLOOR, EAST 46TH ST. Kingdom 1143 CORNER TO EAST 47TH NEW YORK UNITED STATES Miller & Ross Lexington Avenue, Manhattan-Midtown, Turtle Bay, New unauthorized subject www.fi.se/warning 1144 York 10107 Sweden Miller Consulting Group 110d w 29th st #452 United unauthorized subject www.fsa.gov.uk New York Kingdom ny 10011-1915 1145 USA Tel: +1 646 502 8289 Fax: +1 646 619 4589 Website: www.millerconsultancygroup.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information MILLER WINSTON – WORLDWIDE P.O. BOX 8319 United unauthorized subject www.fsa.gov.uk MERGERS AND ACQUISTIONS SEATTLE Kingdom WA-98381 1146 USA Tel: +1 (206) 984 4265 Fax: +1 (206) 426 3116 www.millerwinston.com Milton Financials 1006 - 1011 Alexandra House United unauthorized subject www.fsa.gov.uk 8 Chater Road Kingdom Central Hong Kong 1147 Tel: 0085281205456 Tel: 0085281700457 Website: www.miltonfinancials.com Email: [email protected] Milton Keynes Capital Partners LLP 312 Avebury Boulevard, Milton Keynes, England, United United unauthorized subject www.fsa.gov.uk 1148 Kingdom Kingdom www.mkcap.co.uk 1149 Minerva Management Diagonal 331, 1-1, Barcelona, Spain 08022 Sweden unauthorized subject www.fi.se/warning Minsheng Corporation 8/F China Merchants Tower, Shun Tak Ctr., 168-200 Norway unauthorized subject www.kredittilsynet.no Connaught Road, Central, Hong Kong. 1150 www.minsheng-corp.com.
Mitchell Berry Consultancy 1201 3rd Avenue, Suite 105, Seatle WA 98103, USA United unauthorized subject www.fsa.gov.uk 1151 www.mitchellberryconsultancy.com Kingdom 1152 Mitchell Finch International www.mitchellfinch.com Denmark unauthorized subject www.finanstilsynet.dk Mitschka Alternative Advisory Wieneberhstrasse 9, Suite 245, 1100 Vienna, Austria Austria unauthorized subject t.č. +43 (0)124959-5106 1153 27 Old Gloucester Street, London, United Kingdom Mitsubishi Finance www.mitsubishifinance United unauthorized subject www.fsa.gov.uk 1154 Kingdom Autria Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Mitsubishi Group Tennozu Central Tower 22F, 2-24 Higashi Shinagawa, 2- Norway unauthorized subject www.kredittilsynet.no 1155 chome, Shinagawa-ku, Tokyo 140-0002, Japan www.mitsubishi.com Mitsui Holdings Level 10 3/F, Tokyo Bankers Club Building, Marunouchi, Norway unauthorized subject www.finansstilsynet.no 1156 Chiyoda-ku, Tokyo, Japan www.mitsuiholdings.com. Mizuho Holdings Headquarters 6 Battery Road #12-01 Austria unauthorized subject Phone +43 (0)1/24 959 5106 Singapore. 049909 Telephone +65 6491 5117 1157 Fax +65 6491 5191 www.mizuho-holdings.com Email [email protected] MJM Investments Belgium Ireland unauthorized subject www.financialregulator.ie 1158 Belgium www.cbfa.be MKL Business Services, LLC United unauthorized subject www.fsa.gov.uk 1601 Walnut St, Kingdom Philadelphia, PA 1159 USA, 191073 Phone: (215) 586-4483 Website: www.mklbpo.com Email: [email protected] MKP Capital Europe / MKP Europe www.mkpcapeurope.com United unauthorized subject www.fsa.gov.uk 1160 www.mkpeurope.com Kingdom MKR GLOBAL SERVICES LLC 140 4th Avenue North, Seatle, WA 98109, USA United unauthorized subject www.fsa.gov.uk 1161 www.mkrglobal.com Kingdom MM Institutional 33 Throgmorton Street, London EC2N 2BR United unauthorized subject www.fsa.gov.uk 1162 www.mminstitutionaladvisors.com Kingdom MMM-2011 The scheme which was designed by Sergey Mavrodi a Lithuania unauthorised activity [email protected] 1163 resident of the Russian Federation Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Moe Securities 22th Floor, Finexis Building, 55 Robinson Road, 068882 United unauthorized subject www.fsa.gov.uk Singapore Kingdom 1164 Milton House, Milton Street, Clerkenwell, London, EC1A 7BT, United Kingdom www.moesecurities.com Momentum Securities (Clone of FSA 12 The South Colonnade United Clone of FSA www.fsa.gov.uk Authorised firm) Canary Wharf Kingdom authorised firm 12 The South Colonnade London Canary Wharf E14 4BB London Tel: +44 207 060 7217 1165 E14 4BB Fax: +44 207 060 7317 Tel: +44 207 060 7217 Website: www.momentumsec.com Fax: +44 207 060 7317 Email: [email protected] Website: www.momentumsec.com Email: [email protected] Monarch Wealth Consultants Japan Ireland unauthorized subject www.financialregulator.ie 1166 United www.fsa.gov.uk Kingdom Money Management AG Schniedgasse 6, 9320 Arbon, Switzerland Austria unauthorized subject www.fma.gv.at 1167 www.volks-kredit.at Mont-Bec Asset Management 6th Fl., New Takao Haitsu United unauthorized subject www.fsa.gov.uk 5-13, Azabu Juban 1-chome, Kingdom Minato-ku, Tokyo 106-0032 1168 Tel: 0081 34578 0068 Fax 0081 36745 8647 Website: http://mont-becassetmanagement.com Montgomery Blake & Associates China Ireland unauthorized subject www.financialregulator.ie 1169 Singapore Montgomery Capital Partners 85-C Lexington Avenue, 37th Floor, New York NY 101555, United unauthorized subject www.fsa.gov.uk 1170 USA Kingdom www.montgomeryadvisory.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Montrose Group Boulevard Royal 26 United unauthorized subject www.fsa.gov.uk Grand Duche du Kingdom 1171 Luxembourg 12449 www.montrose-group.com Moorgate Capital Advisors (Clone of www.mca-investing.com United Clone of FSA www.fsa.gov.uk 1172 FSA authorised firm) Kingdom authorised firm
Moretti Associates Via Privata Senigallia, 18, 20161 Milano, Italy Austria unauthorized subject tel.no. +43 (0)124959-5106 1173 www.meretti-associates.com Moretti Associates Via Privata Senigallia, 18 Norway unauthorized subjec www.finanstilsynet.no 1174 20161 Milano, Italia www.moretti-associates.com. Morgan Financial Advisors 50 Rockefeller Plaza, New York, NY 10019, USA 1175 Nishishinjuku-1, Suite 104, Shinjuku, Tokyo, Japan Norway unauthorized subject www.kredittilsynet.no Morgan Finch International Gran Via de Las Cortes Catalanas 583, 5th floor, Denmark unauthorized subject www.finanstilsynet.dk 1176 08011 Barcelona, Spai Morgan Franklin International Gran Via de Las Cortes Catalanas 583-5th floor, 080 11 Norway unauthorized subject www.kredittilsynet.no 1177 Barcelona 1178 Morgan Franklin Investment Inc. www.mgfii.com Denmark unauthorized subject www.finanstilsynet.dk Morgan Hurst United unauthorized subject www.fsa.gov.uk 1179 Kingdom Morgan Philips Consulting Odengatan 54, 113 22 Stockholm, Sweden. Sweden unauthorized subject www.fi.se/warning 1180 www.morgan-philips.com Morgan Premier Group 785 BROAD STREET United unauthorized subject www.fsa.gov.uk NEW YORK Kingdom NY 10004 USA 1181 Tel: 0015184300332 Fax: 0015189351354 E-mail: [email protected] www.morganpremiergrp.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Morley Thompson Inc. 24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Sweden unauthorized subject www.fi.se/warning 1182 Chiyoda-ku, Tokyo 100-6332, Japan Belgium www.cbfa.be Denmark www.finanstilsynet.dk Morris and Hill Acquisitions 720 Brazos Street, Austin, Texas 78701 Perry Brook Tower United unauthorized subject www.fsa.gov.uk 1183 Office 1150B Kingdom www.morrisonhillacquisitions.com MORRISON CAPITAL GROUP 59th Street Columbus Circle 4th Floor, New York, USA United unauthorized subject www.fsa.gov.uk 1184 www.morrisonconsultancy.com Kingdom Morrison Douglas United unauthorized subject www.fsa.gov.uk 1185 Kingdom Morton Management, S.L. Avenida de Severo Ochoa, 28, 4D, Edificio Marina Spain unauthorized subject www.cnmv.es 1186 Marbella, Spain Mount Rock Capital Tel.: 0203 514 2066 United unauthorized subject www.fsa.gov.uk 1187 Tel: 0203 514 0842 Kingdom Clone of FSA Fax: 0203 514 2067 authorised firm. Mount Vernon Equities Inc. Washington Square United unauthorized subject www.fsa.gov.uk 1050 Connecticut Avenue Kingdom NW Washington DC 20036 1188 USA Tel: 0012023910955 Fax: 0012023910955 E-mail: [email protected] 1189 Mr Robert Ménard France unauthorized subject Phone +33(0)1 5345 6031 1190 Mr. Konstatninos Kalloniatis Greece not qualified person Phone +30 210 33 77 100 MRC Markets www.mrcmarkets.com European www.esma.europa.eu Securities and 1191 Markets Authority (ESMA) 1192 Mrs. Chris Melas Greece not qualified person Phone +30 210 33 77 100 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information MTC Global Financial Services Group 29th Floor, Bank Sweden unauthorized subject www.fi.se of Shanghai Tower, 1193 168 Yin Cheng Zhong Road, Pudong Shanghai, 200120 www.mtcglobalgroup.com Muenzberg & Partners Habsburgergasse 10, 1010 Vienna, Austria Austria unauthorized subject www.fma.gv.at 1194 www.muenzberg-partner.at MULLEN AND CHEECKS 112 EAST 50TH STREET United unauthorized subject www.fsa.gov.uk CONSULTING GROUP NEW YORK Kingdom 10022, NEW YORK U.S.A. 1195 TEL.: 001 631 415 9996 TEL.: 001 404 891 5588 FAX: 001 631 532 1701 WEBSITE: www.mullencheecksconsulting.com EMAIL: [email protected] Mundial Securities 17F Metro Plaza Tower 2, 223 Hing Fong Road, Kwai Norway unauthorized subject www.finanstilsynet.no Tsing, Hong Kong og 16F City-Tower 1, Marxergasse 1b, 1196 Vienna 1030, Austria www.mundialsecurities.com. Murdoch Finch Associates United unauthorized subject www.fsa.gov.uk 1197 Kingdom 1198 Murray Merger Group Japan Ireland unauthorized subject www.financialregulator.ie Murray Merger Group Azabudai Amerex Building 12F United unauthorized subject www.fsa.gov.uk 3-5-7 Azabudai Kingdom Minato-ku Tokyo 106-0041 1199 Japan Tel: 0081345781879 Website: http://murraymerger.com/ Email:[email protected] 1200 MY 4XCELLENT LIMITED Cyprus unauthorized subject www.cysec.gov.cy MyCreditBrokers Prospekt Frunze 22 OF 135, 04085 Kiev, Ukraine unauthorized subject www.fma.gv.at 1201 www.mycreditbrokers.com Austria Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Myers-Bruning Associates Smalandsgatan 128, Norrmalmstorg, 111 46 Stockholm, Sweden unauthorized subject www.fi.se/warning 1202 Sweden www.myers-bruning.com NAB Securities, Inc. 215 Park Avenue, 24th floor, New York, NY 10167, USA Norway unauthorized subject www.finanstilsynet.no 1203 www.nabsecuritiesinc.com.
Nabsecurities Inc. 215 Park Avenue, 24th floor, New York, NY 10167 Sweden unauthorized subject www.fi.se 1204 www.nabsecuritiesinc.com Nagoya Corp Kioicho Bldg. 5th Floor, 3-32 Kioi cho, Chiyoda-ku, 102- Sweden unauthorized subject www.fi.se/warning 0094 Tokyo, Japan. 1205 www.nagoyacorp.com
1206 Nakamishi Financial Inc 100 Pearl Street Hartford, CT 06103, United States Sweden unauthorized subject www.fi.se/warning National Shareholders Protection 5100 Poplar Avenue, Memphis, TN 38137-4000 Sweden unauthorized subject www.fi.se/warning 1207 Agency Navasota Group 27th Floor, Tokyo Sankei Building Austria unauthorized subject www.fma.gv.at 1-7-2 Otemachi, Chiyoda-Ku Tokyo 100-0004 Japan www.navasotagroup.com 1208 Tel: +81 345 789 700 Fax: +81 345 789 716 E-Mail: [email protected] [email protected] [email protected] NC Advisory Ltd United unauthorized subject www.fsa.gov.uk 1209 Kingdom NCP Financials / Northland Capital www.ncp-financials.co.uk United unauthorized subject www.fsa.gov.uk 1210 Partners Kingdom Neilson Capital Hong Kong, Time Square Shell Tower, 1 Matheson Street Norway unauthorized subject www.finanstilsynet.no 1211 and Taipei, Shanghai and Tokyo www.neilsoncapital.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information NELSON CAPITAL ADVISORS W 230th St Bronx, New York 10463-3802, USA United unauthorized subject www.fsa.gov.uk 1212 www.nelsoncapitalltd.com Kingdom Nelson Financial Group 7322 Southwest Freeway, Med Center, Houston, TX Sweden unauthorized subject www.fi.se/warning 1213 77027. 28 Maxwell Road, Red Dot Building 069120, Singapore New Century Capital United Kingdom Ireland unauthorized subject www.financialregulator.ie 1214 Leonhardstrasse 36, Suite 101, 8010 Graz, Austria Austria www.fma.gv.at www.newcencap.com NEW DYNAMIC GROUP 2 PLACE DE METZ 3F United unauthorized subject www.fsa.gov.uk PLACE DE METZ 2 Kingdom LUXEMBOURG Tel: +352 2088 1758 1215 Fax: +352 2461 1173 Website: www.newdynamicgroup.com Emails: [email protected] [email protected]
NEW ENGLAND PRIVATE EQUITY 60 Rowes Wharf 380, Boston, MA 021110-3365, USA United unauthorized subject www.fsa.gov.uk 1216 LLC 108 Fulton Street, Boston, MA 02109, USA Kingdom www.nepe.us New Gold Capital Hibaya Central Building 1-2-9 Nishi-Shinbasi, Minato-ku, Norway unauthorized subject www.finanstilsynet.no 1217 Tokyo 105-0003, Japan www.newgoldcapital.com New Outlook Management Group 5-501 Senba Center Building, 2-1, Senbachuo, Chuo-ku, Sweden unauthorized subjec www.fi.se/warning 1218 Osaka, 541-0055, Japanhas a website www.newoutlookmg.com New Waterford Ltd Deutsche Bank & Finanz Centre, Zeil 57, 60313 Germany unauthorized subject www.fsa.gov.uk 1219 www.new-waterford.net United Kingdom New World Financial Europe SL Avenida Ricardo Soriano 34, 2nd floor, No1, 29600 Spain unauthorized subject www.cnmv.es Phone +43 1 1220 Marbella, Spain Austria 249595106 Netherlands www.nl/english.htm Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information New York Finance Company Chrysler Building United unauthorized subject www.fsa.gov.uk Lexington Avenue Kingdom New York 1221 United States www.newyorkfinanceco.com Tel: +1 347 962 3182 New York Global Group, Inc. 14 Wall Street, Suite 1225, New York, NY 10005 Sweden unauthorized subject www.fi.se/warning 1222 www.newyorkggi.com 1223 Newburg Capital Trust 4058 Washington Park Blvd, Cleveland, OH 44105 Sweden unauthorized subject www.fi.se/warning 1224 Newcastle Distributors Belgium unauthorized subject www.cbfa.be Newport International Group Newponrt Business Center, Carrer de Muntaner, 337 Norway unauthorized subject www.finanstilsynet.no 1225 08021 Barcelona, Spain www.newportinternationalgroup.com Newton Smith Associates 9 Allee Scheffer 2520, Luxembourg United unauthorized subject www.fsa.gov.uk 1226 www.newtonsmithassociates.com Kingdom Next Financial Network 89 Worship Street, London EC2A 2BF, United Kingdom United unauthorized subject www.fsa.gov.uk 1227 www.nextfinancialnetwork.com Kingdom 1228 NFinest www.nfinest.com Slovenia unauthorized subject www.a-tvp.si Niigata Global 16th Fl., Sapia Tower 7-12, Marunouchi 1-chome, Chiyoda- Denmark unauthorized subject www.dfsa.dk 1229 ku, 100-0005 Tokyo, Japan www.niigataglobal.com 1230 Nikkimatt Ltd Cyprus unauthorized subject www.cysec.gov.cy Nippon Financial Partners 20F Otemachi Nomura Bldg., 2-1-1, Otemachi, Chi-yoda- 1231 ku, 100-0005 Tokyo, Japan www.nipponfp.com Nippon Financial Partners 20F Otemachi Nomura Bldg United unauthorized subject www.fsa.gov.uk 2-1-1, Otemachi, Chiyoda-ku, 100-0005 Kingdom Tokyo, Japan 1232 Tel: 0081345209323 www.nipponfp.com Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information NKP Financial 93-95 Borough High Street United Clone of FSA www.fsa.gov.uk London Kingdom authorised firm SE1 1NL 1233 Tel: 0203 137 7284 Website: www.nkp-financial.com E-mail: [email protected]
1234 Noble Advisory Group Talstrase 34, CH-8001, Zurich, Switzerland Sweden unauthorized subject www.fi.se/warning 1235 Nomura Financial Group 4-2-1 Toyou-Cho, Koto-ku, Tokyo, 135-0016 Japan Sweden unauthorized subject www.fi.se/warning Norbert Associates Level 9, AIG Building 1-1-3 Maranouchi, Chiyoda-Ku, Netherlands unauthorized subject www.afm.nl/warninglists 1236 Tokyo 100-005 Japan, www.norbertassociates.com NORTHERN CAPITAL 12 LEADENHALL ST. United Clone of FSA www.fsa.gov.uk LONDON, EC3V 1LP Kingdom authorised firm 1237 UNITED KINGDOM TEL.: 02081442837 AND 02071938290 FAX: 02035142993 Norwich Securities Corporation 10 Anson Road, 1238 #16-16/5785 International Plaza, Singapore 079903 www.norwichsecurities.com Nova Portfolio Management CAMBOURNE United unauthorized subject www.fsa.gov.uk CAMBRIDGE CB23 6DW Kingdom which may also be UNITED KINGDOM using the name of is Tel: 0203 318 4095 (previously 01223 790007) Nova UK Limited 1239 Fax: 01223 280239 Websites: www.novaportfoliomanagers.com www.novauklimited.com www.novaukltd.com
Novantae Capital Holdings Apartment 66, 210 Sathorn Road Bangog 10500 Thailand, Greece Austria unauthorized subject Phone +30 210 3377215- 1240 Avda. Ramon Y Cajalo, 1 Suite No. 252, Madrid, Spain 216 Phone +43(0)1/24959- 5106 Novum Capital United unauthorized subject www.fsa.gov.uk 1241 Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1242 NRG Capital (CY) LTD www.nrgbinary.com Cyprus unauthorized subject www.cysec.gov.cy Occidental Capital Partners 505 Montgomery Street, 10th & 11th Floor, San Francisco, United unauthorized subject www.fsa.gov.uk 1243 CA 94111, USA Kingdom www.oxycapitalpartners.com Ocean Mergers & Acquisitions 328 Madison Ave, New York NY 10017, USA Sweden unauthorized subject www.fi.se/warning 1244 www.oceanmergersacquisitions.com OCFDA (Offshore Commodity Futures rue du Congrés 12-14, 1000 Brussels, Belgium Belgium unauthorized subject www.cbfa.be 1245 Lealers Association) Octagon Financial Group 18-22 Level 28 United unauthorized subject www.fsa.gov.uk 1 Canada Square Kingdom 1246 Canary Wharf London E14 5AX Offshore Taxation Ltd One Worldwide Plaza, United unauthorized subject www.fsa.gov.uk Zhongguancun Financial Center, Kingdom Level 14, Haidian District Beijing, China Tel: 00861084181993 Fax: 00861058129615 Website: www.offshore-taxation.com and 1247 Level 13 825 8th Avenue Times Square Manhattan New York City USA Tel: 0016462245943 Fax: 0016466194910 Website: www.offshore-taxation.com OKAMURA Asset Management Shinjuku Park Tower, 30th Floor, Nishi-Shinjuku-ku, Tokyo unauthorized subject www.afm.nl 1248 163-1030, Japan Netherlands Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Okuma Group Marunouchi Trust Tower Main, 16th Floor, 1-4-3 unauthorized subject www.kredittilsynet.no 1249 Marunouchi, Chyoda-ku, Tokyo 100-0045, Japan www.okumagroup.com Norway Olsen Acquisitions 10 South Rio Grande, Suite A, Salt Lake City, UT 84101, unauthorized subject www.fi.se/warning USA 1250 11th Floor, 100 Queen's Road, Central Hong Kong, Hong Kong Sweden 1251 Olta Capital Management Inc. Ireland unauthorized subject www.financialregulator.ie Olympia Law Firm Mergers & Met Life Building, 200 Park Avenue, New York City, NY unauthorized subject www.fi.se/warning Acquisitions 10166 www.cbfa.be 1252 8 Robinson Road, Singapore 068898 www.olympia-lawfirm.com Sweden Belgium 1253 Omega Capital Management Ireland unauthorized subject www.financialregulator.ie Omega Global Trading, Inc 660 Fifth Avenue, 24th Floor, New York, NY 10103-0040 unauthorized subject www.fi.se/warning 1254 www.oglobaltrading.com Sweden 1255 Omnivest Ltd Cyprus unauthorized subject www.cysec.gov.cy 1256 One Global Management 1251 Union Road West Seneca New York, 14224 USA Sweden unauthorized subject www.fi.se/warning One Great Cumberland Place London United unauthorized subject www.fsa.gov.uk 1257 W1H 7AL Kingdom www.globalbancgroup.com Opes Capital Inc 153 Tahlstrasse United unauthorized subject www.fsa.gov.uk CH-8001 Zurich Kingdom Switzerland 1258 Tel: +41 44 508 7281 Fax: +41 44 732 6067 Website: www.opes-capitalinc.com Opes Capital Inc 153 Tahlstrasse United unauthorized subject www.fsa.gov.uk CH-8001 Zurich Kingdom Switzerland 1259 Tel: +41 44 508 7281 Fax: +41 44 732 6067 Website: www.opes-capitalinc.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Opstock Ltd www.opstockltd.com United unauthorized subject www.fsa.gov.uk 1260 Kingdom Option One International Ed.Neptuno local 7, Via Tumba Muerto, Ciudad de unauthorized subject www.fi.se/warning 1261 Panama, Republica de Panama www.optiononeinternational.com Sweden 1262 Option10 www.option10.com Cyprus unauthorized subject www.cysec.gov.cy Optis Group LLC Roslyn Heights Financial Centre, 66 Powerhouse Rd. 1 unauthorized subject www.fsa.gov.uk Suite 401, Roslyn Heights, NY 11577, USA 1263 48 Wall Street 1 Suite 1100, New York, NY 10005 USA United www.optisgroupllc.com Kingdom 1264 Oracle Equity Management 2-2-8 Nanko-Kita Suminoe-Ku, Osaka, Japan Sweden unauthorized subject www.fi.se/warning Oriental Consolidators Archimedesstraat/rue Archimede 48, 1000 Brussels, unauthorized subject www.cbfa.be 1265 Belgium www.orientalconsolidators.com Belgium 1266 Orion Financial Services Ltd Cyprus unauthorized subject www.cysec.gov.cy Orion International Trading Paradeplatz 9, Zurich, Switzerland 8001 United unauthorized subject www.fsa.gov.uk 1267 Kingdom Osaka Futures and Options Exchange Hankyu Grand Building, 8-47 Kakuta-cho Kita-ku, Osaka, Norway unauthorized subject www.finanstilsynet.no 1268 530-0017, Japan www.ofox.jp Otis KPO LLC Metropolitan Park, 1100 Olive Way, Seatle WA 98101, United unauthorized subject www.fsa.gov.uk 1269 USA Kingdom www.otiskpo.com Otis KPO, LLC Ireland unauthorized subject www.financialregulator.ie 1270
Ovannis Capital Avda. Ramon y Cajal 1, Suite 263, Madrid 28016, Spain Denmark unauthorized subject www.finanstilsynet.dk/sw126 1271 www.ovanniscapital.com 7.asp OVANNIS CAPITAL Avenida Ramón y Cajal 1, Suite 263 Spain unauthorized subjec www.cnmv.es 28016 Madrid 1272 www.ovanniscapital.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ovetii Posidonos Avenue, 16674 Glyfada, Athens, Greece Norway unauthorized subject www.kredittilsynet.no 1273 Greece 1274 Oxbridge International Limited France unauthorized subject Phone +33(0)1 5345 6034 P.A.N. SECURITIES LP -MERGES AND www.pansecuritieslpmanda.com United unauthorized subject www.fsa.gov.uk 1275 ACQUISITIONS Kingdom Pacific Alliance Mergers & Acquisitions Tower A United unauthorized subject www.fsa.gov.uk Limited 223 Wai Yip Street Kingdom Kwun Tong Hong Kong 1276 Tel.: +85230199407 Fax: +85230101230 www.pacificalliancema.com [email protected] Pacific Capital Management 1000 Wilshire Blvd 850, Los Angelec, California 90017, United unauthorized subject www.fsa.gov.uk 1277 USA Kingdom www.pacificcapitalmgmt.com 1278 Pacific Equity Management Sweden unauthorized subject www.fi.se/warning Pacific First Securities 140 East 58th Street, New York, NY 10022, USA United unauthorized subject www.fsa.gov.uk 1279 www.pacificfirstsecurities.com Kingdom Pacific Ventures Consultancy 385 Greenwich Street, New York, NY 10013, USA United unauthorized subject www.fsa.gov.uk 1280 www.pacificventuresinc.com Kingdom Pagani Wealth Management 227 Park Avenue, United unauthorized subject www.fsa.gov.uk New York, Kingdom NY 10172, USA. 1281 Tel: 001213656320 Fax: 0016496194484 Website: www.paganiwealth.com
Palatine Financial Head Office Via Attilio Regolo 19, 00192 Roma, Italy unauthorized subject www.a-tvp.si Asian Headquarters Unit 1700, 12/B, Asia Orient Tower, 33 1282 Lockhart Road, Wanchai, Hong Kong www.palatinefinancial.com Slovenia Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Palladium Cathay Intermediaries 1266 Nanjing West Road, Plaza 66, 39/F Shanghai, China unauthorized subject www.fi.se/warning 1283 200040 www.palladiumcathay.com Sweden Palmer Brown Management, Inc 5th Floor, Think Park Tower, 2-1-1 Osaki, Shingawa-ku, unauthorized subject www.fi.se/warning 1284 Tokyo 141-6005 Japan Sweden Palmer Corporate Solutions, LLC 1420 Fifth Avenue, Seatle WA 98101, USA United unauthorized subject www.fsa.gov.uk 1285 www.palmersolve.com Kingdom 1286 Palmer Smith Advisors www.palmersmithadvisors.net Luxembourg unauthorized subject www.cssf.lu Pan American Global Partners 119 East 56th Street, New York NY 10022, USA United unauthorized subject www.fsa.gov.uk www.panamericanglobalpartners.com Kingdom 1287
Pan Asia Brokers & Consultants Ltd www.panasiabrokers.com Cyprus unauthorized subject www.cysec.gov.cy 1288
Panmure Gordon & Co Tote House United unauthorized subject www.fsa.gov.uk 8-12 New Bridge Street Kingdom 1289 London EC4V 6AL
Panmure Gordon & Co Tote House Veľká Británia unauthorized subject www.fsa.gov.uk 8-12 New Bridge Street 1290 City of London www.panmuregordon.net Paragon International One International Finance Centre 25th Floor, Unit United unauthorized subject www.fsa.gov.uk 2501 Kingdom 33rd floor, 1 Harbour View Street Exchange Tower Central, Hong Kong 388 Sukhumvit 1291 Road Tel: 00852 2166 8639 Klong Toey, Bangkok Fax: 00852 2166 8999 Fax: 00662 933 6158 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Paramount Financial Group Lindengasse 48 1070, Vienna, Austria Norway unauthorized subject www.finanstilsynet.no http://paramountfg.com/. 1292
Park East Capital Level 14, 1-2-9 Nishi Shimbashi Minato Ku, 105-0003 unauthorized subject t. č. +43 (0)1/24 959 5106 Tokyo, Japan www.fsma.be 1293 www.parkeastcapital.com Austria Belgium Parker & Boyd AIG Building, 12th Floor, 1-1-3 Marunouchi, Chiyoda-ku, Sweden unauthorized subject www.fi.se/warning Tokyo 100-1255, Japan 1294 www.parkerboyd.com
Parker & Master LLC 281 5th Avenue, New York, NY 10016, USA United unauthorized subject www.fsa.gov.uk www.panbllc.com Kingdom 1295
Parker Forrester Ireland unauthorized subject www.financialregulator.ie 1296
Partners Investment Network Limited 6F City Tower, 40 Basinghall Street, London EC2V 5DE, Slovenia unauthorized subject www.a-tvp.si United Kingdom 1297
Paterson & Co., Ltd 6-3 Sumiyoshicho, Tokyo 194-0292, Japan Sweden unauthorized subject www.fi.se/warning 1298
Pearce & Clarke 1 Canada Square United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom 1299 London E14 5AB Tel: +44 (0)203 137 6994 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Pearlstar Corporation, (PSTR) 193 Jardin Dr, Concord, ON, L4K 1X5 Sweden unauthorized subject www.fi.se/warning
1300
Pegasus Ventures Viale Lucia Gaurico 4/11, 00143 Rome, Italy Norway unauthorized subject www.kredittilsynet.no 1301 Denmark www.finanstilsynet.dk/sw126 7.asp Peking Dragon Limited Twin Towers, West Tower, 12 Jian Guo Men Wai Ave., Sweden unauthorized subject www.fi.se/warning 1302 Lower PH, Chaoyang District, Beijing, People Republic of China Pelican Trading 299 Broadway, 13F Manhattan, NY 10007 Norway unauthorized subject www.kredittilsynet.no 1303 http://pelican-tg.com/ Pelican Trading Group 299 Broadway, 13F Manhattan, NY 10007 Sweden unauthorized subject www.fi.se 1304 www.pelican-tg.com Norway 1305 Pell Futures Central Plaza Building 18 Harbour Road, Wan Chai, Hong KongBelgium unauthorized subject t.č. +47 22 93 98 00 www.cbfa.be 1306 Pendulum Capital Markets Inc. (USA) Ireland unauthorized subject www.financialregulator.ie 1307 PENINSULA Capital Ltd Hong Kong Austria unauthorized subject www.fma.gv.at 1308 Penn Capital Management, Ltd 1-4-27 Shiromi, Chuo-ku, 540-8560, Osaka, Japan Austria unauthorized subject t.č. +43 (0)124959-5106 PEREGRINE INTERNATIONAL 276-D East 41st Street United unauthorized subject www.fsa.gov.uk CONSULTING GROUP New York Kingdom New York 10017-6702 1309 USA Website: www.peregrineintlgroup.com
Persist Global Wealth Management / 26th Floor, Tower 42, 25 Old Broad Street, City of London, United unauthorized subject www.fsa.gov.uk PGWM Ltd EC2N 1HQ, United Kingdom Kingdom 1310 www.pg-wm.com www.gwmplondon.com www.wmplondon.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information PERTINAX 2010, S.L. Avenida Andalucía, s/n, Módulos 14 - 15 Spain unauthorized subject www.cnmv.es “Edificio CIE Diputación” 1311 18014 Granada
PESMIR TRADING, S.A. C/ Colombia n. 34A, 28079 Madrid, Spain Spain unauthorized subject www.cnmv.es 1312 Peter Daly (Clone of FSA Approved 83 Princes Street United unauthorized subject www.fsa.gov.uk Individual) Edinburgh Kingdom Clone of FSA Scotland Approved Individual 1313 EH2 2ER Tel: 0131 516 7444 Email: [email protected] Peterson Capital Partners Inc 50 W 34th Street, New York NY 10001, USA United unauthorized subject www.fsa.gov.uk 1314 www.petersoncapitalinc.com Kingdom PEX GLOBAL INC 415 Madison Avenue, New York, NY 10017, USA United unauthorized subject www.fsa.gov.uk 1315 www.pexglobalinc.com Kingdom PGM Merges & Acquisitions Harbour City World Commerce Centre 3-27 Canton Rd. unauthorized subject www.fi.se/warning 1316 Tsim Sha Tsui, Kowloon, Hong Kong www.pgmadvisory.com Sweden Pharma Holdings 725 North Highway 1A, Suite, Suite E-103, Jupiter, Florida, United unauthorized subject www.fsa.gov.uk 33477, USA Kingdom 1317 tel: +1 561 747 0623 www.pharmaholdingsinc.com 1318 PHBC 42 Avenue Montaigne, 75008 Paris France unauthorized subject Phone+33 (0)1 5345 6031 Phoenix Cooper Financial c/o Treuhand von Flue AG United unauthorized subject www.fsa.gov.uk Baarerstrasse 95 Kingdom 1319 6301 Zug Switzerland www.phoenixcooperfinancial.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information PHOENIX INVESTMENTS AG TEL.: 0800 048 8592 OR/AND 0800 048 8529 United unauthorized subject www.fsa.gov.uk TEL.: 0041 41 500 0378 Kingdom FAX: 0041 41 588 0157 1320 EMAIL: [email protected] EMAIL: [email protected] WEBSITE: www.phoenixinvestmentsag.com
1321 Phoenix Mergers and Acquisitions www.phoenixmerge.com. Norway unauthorized subject www.finanstilsynet.no Pictet Private Wealth Management / United unauthorized subject www.fsa.gov.uk 1322 Pictet & Cie Kingdom Pierce Morgan Capital Management 108 Fulton Street, Boston, MA 02109 Sweden unauthorized subject www.fi.se 1323 http:/ /piercemorgan.us PIERCE MORGAN CAPITAL 108 FULTON STREET United unauthorized subject www.fsa.gov.uk MANAGEMENT LLC BOSTON Kingdom MASSACHUSETTS 02109 1324 USA Phone: +16175173094 Fax: +16172492126 Email: [email protected] and [email protected]
Pierce Morgan Trust Management LLC 108 Fulton Street, Boston MA, USA Norway unauthorized subject www.finanstilsynet.no 1325 Pioneer Global Investments www.pgilondon.com United unauthorized subject www.fsa.gov.uk 1326 Kingdom PK CONSULTANS USA, Inc. 110 Wall Street, 11th Floor, New York, USA unauthorized subject 1327 www.pkconsultantsusa.com Greece Platform Group Legal Services 140 Broadway, 46th floor, New York, NY. 10005, U.S.A. Sweden unauthorized subject www.fi.se Exchange Square Block 3, Central 8 Connaught Place, 1328 Hong Kong, China. www.pgls.biz Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Platinum Account Group 2 Bloor Street West, Toronto ON Canada, M4W 3E2 Norway unauthorized subject www.finanstilsynet.no 1329 http://platinumaccountgroup.com/. Platinum Account Group 2 Bloor Street West, Toronto ON Canada, M4W 3E2. Denmark unauthorized subject www.finanstilsynet.dk 1330 www.platinumaccountgroup.com
Platinum Capital Management Limited Clearing & Trading Centre, London EC4M 7LS, United United unauthorized subject www.fsa.gov.uk 1331 Kingdom Kingdom www.platinumcapitalmanagement.com Platinum Group International 410 Park Avenue, 15th Floor, New York 10022, USA unauthorized subject www.cbfa.be 1332 Belgium Platinum House Financial 51a The Broadway United unauthorized subject www.fsa.gov.uk London W5 5JN Kingdom 1333 Tel: 0203 287 8850 Fax: 0207 060 4370 Website: www.platinumhousefinancial.com 1334 Platinum Index www.platinumindex.com Sweden unauthorized subject www.fi.se/warning 1335 Plaza-Capital Ltd www.plaza-capital.com Cyprus unauthorized subject www.cysec.gov.cy PLUS 500 UK (Attempt to clone FSA Telephone: 0044 7778 477590 United Individuals identifying www.fsa.gov.uk authorised firm’s name and details) Fax: 0872 352 0805 Kingdom themselves as Mr Email: plus500@consultant.com Paul Mason and Mr These Patrick Beaumont and others are involved in an unauthorised 1336 attempt to pass themselves off as employees and directors of Plus500UK Ltd
1337 Plus500 Ltd www.Plus500.gr Greece unauthorized subject tel.č. +30 210 33 77 100 1338 Pluscapital Forex, S.L. www.pluscapitalfx.com Spain unauthorized subject www.cnmv.es Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Polaris Capital Management Bahnofstrasse 52, United unauthorized subject www.fsa.gov.uk Zurich ch 8001 Kingdom 1339 Switzerland www.polariscapman.com Pollia Ventures 34/1, Parc d´Activité Syrdall, L-5365 Munsbach, Sweden unauthorized subject www.fi.se/warning, 1340 Luxembourg Austria www.fma.gv.at Portman West Financial Services Inc. Mainzer Landstrasse 47, D-60329, Frankfurt am Main, Sweden unauthorized subject www.fi.se/warning 1341 Germany 1342 Portmouth Escrow Service LLC unauthorized boiler rooms 1343 Portway Capital 17, Rue Caillou, Residence du Parc Ceres, Batiment C, 33200Austria Bordeaux, Franceunauthorized subject www.fma.gv.at Powerhouse Corporate Finance 9th floor, Yokokawa Bldg., 17-27, Shinkawa 1-Chome, Norway unauthorized subject www.kredittilsynet.no 1344 Chuo-ku, 104-0033, Tokyo, Japan http://powerhousecorpfinance.com/. Powerhouse Corporate Finance 7th Floor Chiyoda building bekkan, United unauthorized subject www.fsa.gov.uk 6-1-2 Nishitemma Kita – Ku Kingdom 5300047 Osaka Japan and 1345 9th Floor Yokokawa bldg, 17-27 Shinkawa 1 Chome Chuoku Tokyo 1040033 Japan www.powerhousecorpfinance.com Pratt International KPO LLC 500 Union Street United unauthorized subject www.fsa.gov.uk Seattle WA 98101 Kingdom USA Tel: 0012064625130 1346 Fax 0012066918359 Website: www.prattintl.com Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Pratt International KPO, LLC (USA) Ireland unauthorized subject www.financialregulator.ie 1347 Premier Partners Tour la Porte I, Place de l’Europe, Plateau de Kirchberg in Luxemburg unauthorized subject www.cssf.lu 1348 Luxembourg, www.premier-partners.com. Prentice Management Corp. 18th Floor Ark Mori Building, 1-12-32 Akasaka, Minato-ku, Norway unauthorized subject www.kredittilsynet.no 1349 Tokyo 107-6011, Japan www.prenticecorp.com Prescot Fitzgerald 0816-05450, Zona 5 Boulevard Balboa, Marbella, Panama, Sweden unauthorized subject www.fi.se/warning 1350 Republic of Panama Prestige Asset Management 18-20, rue Eugéne Ruppert, L-2453 Luxembourg or 34, unauthorized subject 1351 parc d'activités Syrdall, L-5365 Munsbach Luxemburg 1352 Prestige Banq 2 Lansdowne Row, London, W1J 6HL, United Kingdom Belgium unauthorized subject www.cbfa.be Prestige Mergers & Acquisitions Corp. Metropark Center Suites 16c/16k, 12th Floor 33 Wood Netherlands unauthorized subject Phone +31 0 205535 535 1353 Avenua South, Newark New Jersey, NJ USA 08830 Price Webb Associates Rue des Bains 42-63, Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 1354 www.pricewebbassociates.com Kingdom 1355 PRICE-STONE GROUP, S.L. C.I.F. B84196575, C/GRAN VIA 1 4, 28013 Madrid Spain unauthorized subject www.cnmv.es Prime Management 70 Linden Oaks, Rochester, New York 14625, USA United unauthorized subject www.fsa.gov.uk 1356 www.brownwengerconsult.com Kingdom Prime Management www.primemanagementfinancial.com United unauthorized subject www.fsa.gov.uk 1357 Kingdom Prime Solutions, Inc 100 West 57th Street United unauthorized subject www.fsa.gov.uk New York, Ny Kingdom 1358 United States Of America
Telephone: 001 646 365 3422 Prime Strategies 468 North Camden Drive, Suit 200, Beverley Hills, CA, United unauthorized subject www.fsa.gov.uk 1359 California, USA Kingdom www.primestrategiesllc.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Princeton Capital Investments Inc. 18 King William Street, London EC4N 7BB, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 1835 Market Street, Philadelphia PA 19103, USA 1360 Westhafen Tower, Westhafenplatz 1, 60327 Frankfurt, Germany www.princetoncapitalinc.com Priority Venture Management 7322 Southwest Freeway, Suite 1700, Houston, Texas unauthorized subject www.fi.se/warning 1361 77074, USA Sweden 1362 Private Capital www.privatecapitals.com France unauthorized subject www.amf-france.org Private Commercial Office, Inc., Engler, 1217 Cape Coral Pkwy, # 121, Cape Coral, Florida 33904, Austria unauthorized subject Phone +43 (0)124959-5106 1363 Ulrich USA Private Equity Placement 1004-6 Bonham Trade Centre, 50 Bonham Strand East, unauthorized subject www.fi.se/warning 1364 Sheung Wan, Hong Kong Sweden www.fma.gv.at Marszalkowska 80, 00-517 Warszaw, Poland Austria PRO SMART SECURITIES 1 Angel Court, Liverpool Street, London EC2R 7HJ United unauthorized subject www.fsa.gov.uk 125 Old Broad Street, EC2R 8, London, England Kingdom Tel: 020 3582 9624; 020 8099 5436 Fax: 020 7099 5420 Websites: www.prosmartsecurities.com www.prosmartadvisors.com www.prosmart-clients.com 1365 www.prosmartadvisors.net Email: [email protected] [email protected]; [email protected] [email protected] [email protected]
1366 Profescapital Sp. Z o.o. Ofiar Oswiecimskich 14, 50-069 Warsaw, Poland Poland unauthorized subject www.knf.gov.pl Professional Financial Advisors www.professionalfinancialadvisors.co.uk United unauthorized subject www.fsa.gov.uk 1367 Kingdom Profit Club S.A. Panama unauthorized subject www.a-tvp.si 1368 www.profitclubgroup.com Slovenia Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Profton S.A. ("4xfinity") Ricardo Arias Street, 2nd Floor, Torre Advancesd Bldg. Austria unauthorized subject t.no. +43 (0)124959-5106 1369 P.O.B. 87-1319, PA-7 Panama City, Rep. of Panama Progress Advisors LLC 701 Brickell Avenue United unauthorized subject www.fsa.gov.uk Suite 2550 Miami Kingdom 1370 FL USA www.progressadvisorsmiami.com Provideo Financial in Italy at Via Antonio Salandra 18, 00187 Rome, and in Belgicko neautorizovaný www.cbfa.be 1371 Hong Kong at 12 Harcourt Road, Central Hong Kong.. subjekt PROYECTALIA GRUPO Avda.Fragoso 4 6 C, 36210-Vigo, Pontevedra Spain unauthorized subject www.cnmv.es 1372 EMPRESARIAL, S.L. www.sirentable.com PRUDENTIAL GLOBAL GROUP Court Sq Ste 202, Long Island City, NY 11101-4328, USA United unauthorized subject www.fsa.gov.uk 1373 www.prudentialglobalgroup.com Kingdom
1374 Q-Busiess SPRL/BVBA 11, Avenue de Thiervaux 11, 4802 Heusy Belgium unauthorized subject www.cbfa.be Qoppa Place Funds Consulting Corp. 4 World Financiual Centre, 250 Vesey St, New York 10080, Austria unauthorized subject Phone+43 (0)1/24 959 5106 1375 USA, www.qoppa.us 1376 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. 1377 Tel: 0081345780648 Fax: 0081367459482 www.quadrantma.com Email: [email protected] 1378 Quality Capital Management S.L. Urb. Lomas se Sierra Blanca, C.C. Le Village Oficinas 9-11, 29602Norway Marbella, unauthorizedMalaga, Spain subject www.qualityinvestmentst.č. +47 22 93 98 00 Quantum Finance Management Limited, Suite B, Slovenia unauthorized subject www.a-tvp.si. 29 Harley Street, 1379 London, W1G 9QR, United Kingdom http://www.quantum-fm.co.uk/ Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Quantum Partners New Street Norway unauthorized subject www.finanstilsynet.no Chipping Norton United www.fsa.gov.uk Oxfordshire Kingdom 1380 OX7 5LJ www.quantumpartnersltd.com
QUATERMAAN BROTHERS GESTIÓN, C/ Alfonso XIII, nº 19 - Local Spain unauthorized subject www.cnmv.es S.L. 28002 Madrid 1381 www.qbgestion.com
1382 Quertus Yachting Kapittelstraat 4, 2610 Antwerp, Belgium Belgium unauthorized subject www.cbfa.be Quest Financial (Clone of FSA Floor 22-26 United unauthorized subject www.fsa.gov.uk authorised firms) 1 Canada Square Kingdom Clone of previously E14 5AX FSA authorised firm Tel: 0203 318 4095 1383 0203 318 2627 Fax: 0203 318 4479 Email: [email protected]
Quinn & Voakes Capital 30 Fenchurch Street, City of London, EC3M 3BD, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 1384 City Tower 2, Sheikh Zayed Road, Dubai, UAE www.qvcapital.com R J Haynes & Associates 28F Sun Hung Kai Centre, 30 Harbour Road, Sweden unauthorized subject www.fi.se/warning Wan Chai, Hong kong Island, Hong Kong. 1385 www.rjhaynesandassociates.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information R J Haynes & Associates 28F Sun Hung Kai Centre Austria unauthorized subject www.fma.gv.at 30 Harbour Road Wan Chai Hong Kong Island 1386 Hong Kong Email: [email protected] Internet-Seite: www.rjhaynesandassociates.com
R.A. Lafferty Inc Obligado 1294 United unauthorized subject www.fsa.gov.uk 11300 Montevideo Kingdom Uruguay 1387 Tel: +598 27099918 Fax: +598 27075795 www.ra-laffertyinc.com
Rabo Strategies Canada Square, Canary Wharf, London E14 5LQ, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 1388 Hopewell Center, Queens Road East, Hong Kong www.rogosbv.com Raisino Holdings Arch. Makariou III, 146, Alpha House, P.C. 3021, Limassol, Slovenia unauthorized subject www.a-tvp.si 1389 Cyprus Cyprus www.cysec.gov.cy www.raisino-holdings.com Ramsey Investment Partners Cheung Kong Centre, 2 Queen ´s Road, Central Hong Norway unauthorized subject www.finanstilsynet.no 1390 Kong www.ramseyinvestmentpartners.com Randall & Gibson Partnership Company 131 Dartmouth Street, Boston, MA 02116, USA Austria unauthorized subject www.fma.at 1391 www.randallandgibson.com Randall & Gibson Partnership Company 131 Dartmouth Street, Boston, MA 02116, USA Austria unauthorized subject www.fma.at 1392 www.randallandgibson.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Rattenbury Group Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chu-ku, United unauthorized subject www.fsa.gov.uk Tokyo 103-0023, Japan Kingdom 28th Fl Scotia Plaza, 40 King Street West, M5H 1H1 1393 Toronto, Ontario, Canada The Exchange Tower, 100 King Street West, Toronto 0NM5X 1E3, Canada www.rattenburygroup.com Raynburn Watson and Associates 601 Union Street, Floor 15, Seattle, 98101 WA, USA United unauthorized subject www.fsa.gov.uk 1394 www.raynburnwatson.com Kingdom RDS Commodities Rhone United unauthorized subject www.fsa.gov.uk Geneva Kingdom 1395 Switzerland CH1204
RED HOUSE CAPITAL PARTNERS, Gran Vía de les Corts Catalanes, 583, P.5 Spain unauthorized subject www.cnmv.es S.L. 08011 – Barcelona Pau Claris, 138, 1º - 4 1396 08009 - Barcelona http://www.redhouse-capital.com
Redevelopment Corporation www.forexperti.com Malta unauthorized subject www.mfsa.com.mt 1397 International Ltd / FOREXPERTI Redford Securities International 26 Queen´s Road, Central Hong Kong United unauthorized subject www.fsa.gov.uk 55 New Bond Street, Mayfair, London W1S 1DG, United Kingdom 1398 Kingdom www.redfordsecurities.com Regal International 75 Harrington Street, Dublin 2, Ireland United unauthorized subject www.fsa.gov.uk 1399 www.regal-international-ltd.com Kingdom Regency Group Inc 99 Wall Street, 12th Floor, New York NY 10005, USA Sweden unauthorized subject www.fi.se/warning 1400 www.regency-group.net Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information regent & langley consulting group WEST 44th Street United unauthorized subject www.fsa.gov.uk New York City Kingdom 1401 USA Tel: 001 585 219 5962 www.regentandlangleyconsulting.com Reid & Stone Ventures Via Mar della Cina, Rome 00100, Italy Sweden unauthorized subject www.fi.se Admirality Centre Tower 2, 18 Harcourt Road, Admirality, 1402 Hong Kong www.reidstoneventures.com Relax Investments Financial Services Wienerbergstrasse 11, Wienerberg Business Park, 9th Austria unauthorized subject t.č. +43 (0)124959-5106 1403 Floor, P.O. Box 1100, Vienna, Austria www.relax-investments.com Reliance Asset Management Ltd Suite 308, 3rd Floor United unauthorized subject www.fsa.gov.uk Toyota Building Kingdom 3-11 Minami-Semba 4-Chome Chuo-Ku Osaka, 542-0081 Japan Tel.: +81-6-4560-4003 Fax: Unknown 1404 www.reliance-am.com and / or 5-17, Tamagawagakuen 7-Chome Machida-Shi Tokyo, 194-0041 Japan Tel: Unknown Fax: Unknown [email protected] Reliance Asset Management Ltd. Suite 308, 3F Toyota Bldg. 3-11 Minami-Semba 4-chome, Sweden unauthorized subject www.fi.se/warning 1405 Chuo-ku, Osaka 542-0081, Japan www.reliance-am.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Reliance Capital 7 King William Street United unauthorized subject www.fsa.gov.uk London, Kingdom EC2N 4DA.; alternatívne: 14 Upper Bank Street, 1406 London, 5EE Tel: 08000112383/02070609480 Fax: 08000112381
1407 REMINGTON YORK LTD. C/Llanos de San Ramón, 3. 29600 Marbella (Málaga) Spain unauthorized subject ww.cnmv.es RENDIMIENTOS & PLUSVALÍAS Spain unauthorized subject www.cnmv.es 1408 1409 RENTABILIDAD 60% / RENTA 60 Spain unauthorized subject www.cnmv.es Reynold Brown Associates Twin Tower 20A, Wienerbergstrasse 11, 11000 Vienna, Sweden unauthorized subject www.fi.se/warning 1410 Austria Netherlands www.afm.nl/warningslists Reynolds Consultancy Ltd 258D Broadway Suite, 654 New York NY 10038, USA United unauthorized subject www.fsa.gov.uk 1411 www.reynoldsconsultancyltd.com Kingdom Reynolds Group Limited 25/F, Bank of China Tower, One Garden Road, Central, Sweden unauthorized subject www.fi.se/warning 1412 Hong-Kong REYNOLDS MERGER SOLUTIONS 6th Floor, Hanzomon Bldg., 4 Kojimachi 1-chome, Chiyoda- United unauthorized subject www.fsa.gov.uk 1413 ku, Tokyo, 102-0083, Japan Kingdom www.reynoldsmsolutions.com RG-CLIENT 1 Canada Square United unauthorized subject www.fsa.gov.uk London Kingdom Clone of FSA E14 5AA Approved Individual Tel: 0203 137 8405 1414 0203 137 3085 Fax: 0203 137 3086 Website: www.rg-client.com Email: [email protected] Rhaines LLC 210 Eleventh Ave, New York, NY 10001, USA United unauthorized subject www.fsa.gov.uk 1415 www.rhainesllc.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ribin Price Securities No. 45 Rockefeller Plaza, New York, NY 10111, USA United unauthorized subject www.fsa.gov.uk 1416 www.rubinprice.com Kingdom Rice Finance Company http://www.ricefinancecompany.com Cyprus unauthorized subject www.cysec.gov.cy 1417 Richard Adamson Centrum House United unauthorized subject www.fsa.gov.uk 38 Queen Street Kingdom Glasgow 1418 G1 3DX Tel: 0141 416 0235, 0141 846 0289 Email address: [email protected]
Richard Davies Investors Limited Marlborough Court United unauthorized subject www.fsa.gov.uk 14–18 Holborn Kingdom London EC1N 2LE 1419 Tel: 0044 (702) 407 0216 Website: www.rdirl.com
Richard Ramsden 83 Princes Street, Edinburgh, Scotland EH2 2ER United unauthorized person www.fsa.gov.uk 1420 [email protected] Kingdom Richardson Capital Group 201 Portage Avenue, 10th Floor, Winnipeg, Manitoba, R3B United unauthorized subject www.fsa.gov.uk 1421 3K6, Canada Kingdom www.richardsonconsultancy.com Richmond Capital Management 21/F Seoul Finance Centre, Taepyeongno 1-ga, Jung-gu, Sweden unauthorized subject www.fi.se/warning 1422 Seoul, Korea 100-768, South Korea Richmond Grant Security & Transfer 14th Floor 50 Broad Street, New York, N.Y. 1000 Sweden unauthorized subject www.fi.se 1423 Inc. www.richmond-grant.us Richmond Lloyds International 32nd Floor Broadgate, Tower 201 Broadgate Court, Norway unauthorized subject www.finanstilsynet.no 1424 London EC1Y, United Kingdom www.richmondlloyds.com Risk & Portfolio Management Ltd 32nd Floor, Tower 42, Old Broad Street, City of London United unauthorized subject www.fsa.gov.uk 1425 EC2N 1HQ, United Kingdom Kingdom www.londonrpmltd.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ritter Group 15th floor, Levinstein Tower Austria unauthorized subject www.fma.gv.at 23 Menachem Begin Road Tel-Aviv, 66183 Israel Tel.: +972-3763-0637 1426 Fax.: +972-3763-0638 International: +1-888-621-0790 www.rittergroup.com [email protected] [email protected]
1427 RMN (Cyprus) Ltd Cyprus unauthorized subject www.cysec.gov.cy ROBERT GOLD IFA ASSOCIATES 1 Canada Square United unauthorized subject www.fsa.gov.uk (Clone of FSA Approved Individual) London Kingdom Clone of FSA may also use RG ASSOCIATES E14 5AA Approved Individual Tel: 0203 137 3085 1428 Fax: 0203 137 3086 Website: www.robertgoldassociates.com Email: [email protected]
Robertson Ellis P:O:Box 44011, Seatle, Washington State, 98381 USA United unauthorized subject www.fsa.gov.uk 1429 Kingdom Robinson and Schroder 26/28 Rue Edward Steichen, United unauthorized subject www.fsa.gov.uk 2540 Luxembourg. Kingdom Tel: 08455280122 & 0035220881421 1430 Fax: 0035220881422 Website: www.robinsonschroder.com
Robinson Franklin Raffles Square Fuzhou Road / Xizang Road Middle Portugal unauthorized subject at [email protected]. Huangpo 200001, Shanghai, China 1431 SK Building 99 Seorin-dong Jongno-gu Seoul Metropolitan, South Korea www.robinsonfranklin.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1432 Rodeo Finanz & Treuhand Corp. Apartado 5041, E-03186 Torrevieja, Spain Austria unauthorized subject tel.no. +43 (0)124959-5106 1433 Rodeo Privatkredit Cooperation Austria unauthorized subject tel.no. +43 (0)124959-5106 Rodeo Treuhand Gesellschaft, Apartado 5041, E-03186 Torrevieja, Spain Austria unauthorized subject tel.no. +43 (0)124959-5106 1434 Finanzsanierung Absicherung Rodeo Treuhand Gesellschaft, Apartado 5041, E-03186 Torrevieja, Spain Austria unauthorized subject tel.no. +43 (0)124959-5106 1435 Risikofinanzierung, Finanz - Sanierungen Rodeo Treuhand Gesellschaft, Apartado 5041, E-03186 Torrevieja, Spain Austria unauthorized subject tel.no. +43 (0)124959-5106 1436 Vermoegensverwaltung Entschuldung Rodeo Treuhand Gesellschaft, Apartado 5041, E-03186 Torrevieja, Spain Austria unauthorized subject tel.no. +43 (0)124959-5106 1437 Vermoegensverwaltung Entschuldung Absicherung Roiet Trading 25, rue Eugène Ruppert, L-2453 Luxembourg Luxemburg unauthorized subject www.cssf.lu 1438 www.roiet-trading.com
Rooney Gallagher Private Equity Ireland unauthorized subject www.financialregulator.ie 1439 Partners LLC (Hong Kong & Ireland Ross-Parkinson Wickhams Cay, Road Town, Tortola, British Virgin Islands Sweden unauthorized subject www.fi.se/warning 1440 Rothman Capital Theodor-Huess-Allee 60, 60486 Frankfurt, Germany unauthorized subject www.fi.se/warning 1441 Nybrogate 11, Stockholm, Sweden www.rothmancapital.com Sweden Rothman Global Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150- Norway unauthorized subject www.finanstilsynet.no 1442 0043, Japan Austria www.fma.at www.rothmanglobal.com Rothman Securities and Rothman Level 8 St. James House, Danes Road, Manchester, Norway unauthorized subject www.finanstilsynet.no 1443 Offshore United Kingdom www.rothmannoffshore Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Rowe Allan Mergers and Acquisitions 280 Trumbull Street United unauthorized subject www.fsa.gov.uk Hartford Connecticut 06103 Kingdom Tel: 0018607267904 1444 0018607606509 Website: www.roweallan.com Email: [email protected]
ROYAL ALLIANCE (UK) GROUP 45 Athol Street, Douglas, Isle of Man IM1 1LB Portugal unauthorized subject at [email protected]. Tel: 44 808 189 0331 Fax: 44 808 189 1413 1445 E-mail: [email protected] Website: www.royalallianceuk.com
Royal Savings & Loan Ekonomisk (registration number: 769615-7168 Sweden unauthorized subject www.fi.se/warning förening was forced into 1446 Bankruptcy 27 October 2011 1447 Ruben Katz Company Ltd www-landbankinvest.com Cyprus unauthorized subject www.cysec.gov.cy Russell Acquisition Group 22nd Fl., Nittochi Nishi Shinjuku Bldg. 160-0023 10-1, Nishi Sweden unauthorized subject www.fi.se Shinjuku 6-chome, Shinjuku-ku, Tokyo, Japan. 1448 www.russellacqgroup.com
1449 Russell Acquisition Group Japan Ireland unauthorized subject www.financialregulator.ie Russell Merger Group Shin Ochanomizu Urban Trinity 2, Kanda Surugadai 3- Ireland unauthorized subject www.financialregulator.ie 1450 chome, Chiyoda-ku, Tokyo 101-0062, Japan United www.fsa.gov.uk www.russell-mg.com Kingdom 1451 RVC Markets unauthorized subject 1452 Rwanda Cashvzw/asbl 1090 Brissels, Duysburghstraat 60, Postal box 22 Belgium unauthorized subject www.cbfa.be Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Ryan & Mahar LLC, Columbia Center, United unauthorized subject www.fsa.gov.uk 701 Fifth Avenue, Kingdom Seattle, WA 98104-USA 1453 Tel: 012064530034/0014048915588 Fax: 012066918359 Website: www.ryanmaharllc.com
Ryhat Establishment Investment Trust 6-69, route d'Esch, L-1470 Luxembourg Luxemburg unauthorized subject www.cssf.lu 1454 (or Ryhat-Trust, Ryhat Investment http://bizprlog.org/Ryhattrust, www.ryhattrust.com Banking), Sakuma Group 105 Kowa Shiba Park Bldg, 3 F1-1-11 Shiba Park, Minato- Sweden unauthorized subject www.fi.se/warning 1455 ku, Tokyo, Japan Sakura Financial Group Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo Austria unauthorized subject t.č. +43 (0)124959-5106 1456 102-0083, Japan Denmark t.č. +45 (0)33 55 82 20 Salamon & Tate Consulting Group USA Ireland unauthorized subject www.financialregulator.ie 1457 SALAMON AND TATE CONSULTING WATER STREET, NEW YORK CITY United unauthorized subject www.fsa.gov.uk UNITED STATES OF AMERICA Kingdom Phone- 001-718-554-5383 1458 Fax-001-718-228-2409 Website: http://www.salamonandtateconsulting.com Email: [email protected]
SALOMON AND ASSOCIATES Adam Clayton Powell Jr Blvd Ste 602, New York, NY 10027-United unauthorized subject www.fsa.gov.uk 1459 4976 Kingdom Samuel Matthew and John Williams of Emails: [email protected] United unauthorized subject www.fsa.gov.uk ING Investment Management (Clone of [email protected] Kingdom Clone of previously 1460 FSA Authorised firm) Tel: 0207 193 9858 FSA authorised firm Fax: 0207 691 9306 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Sandford Hale & Co. 80 Broad Street, 22-25 Floors United unauthorized subject www.fsa.gov.uk New York, Kingdom NY 10004 USA 1461 Tel: 0016465028346 Fax: 0016462249882 E-Mail: [email protected] Website: www.sandford-hale.com Sanford C. Bernstein & Co www.scbernstein.co.uk United unauthorized subject www.fsa.gov.uk 1462 Kingdom Sanford C. Bernstein Limited www.scbernstein.co.uk United unauthorized subject www.fsa.gov.uk 1463 Kingdom Santander Investment Securities Group Level 26 Cerulean Tower, 26-1 Sakuragaoga-cho, Shibuya- Sweden unauthorized subject www.fi.se/warning ku, 150-8512 Tokyo, Japan 18th Floor, Grand Central Tower, New York, NY 10023, 1464 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 unauthorized subject www.fsa.gov.uk Las condes Kingdom Santiago, Chile Tel: 0056 2897 3408 1465 Fax: 0056 2299 7577 Website: www.santiagomna.com Email: [email protected]
Sanwa Holdings 6 Shenton Way #11-03, DBS Building Tower 2, Singapore Sweden unauthorized subject www.fi.se/warning 1466 068809. www.sanwaholdings.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Sanwa Holdings 6 Shenton Way #11-03 Austria unauthorized subject tel.no. +43 (0)124959-5106 DBS Building Tower 2 Singapore 068809 1467 Tel: +65 6491 5722 Fax: +65 6491 5720 Email: [email protected] http://www.sanwaholdings.com/ Satellite Acquisition Corp. 3421 Evergreen Point Road, Medina WA 98039, unauthorized subject www.fi.se/warning 1468 www.satacqcorp.com Sweden Satori Group Shinjuku Park Tower 14th Floor, 3-7-1 Nishi-Shinjuku, 163- Norway unauthorized subject www.finanstilsynet.no 1469 1030 Tokyo, Japan www.satori-group.net 1470 Savoy Advisors LLC 3584 Highway 31 South, 109 Pelham, AL 35124, USA Norway unauthorized subject www.kredittilsynet.no Savoy Investment Management (Clone Tel: 0845 5280 1123, 0203 514 2976 United unauthorized subject www.fsa.gov.uk of FSA authorised firm) Fax: 0845 5280 1132, 0203 514 2719 Kingdom Email: [email protected], 1471 [email protected] [email protected], [email protected] SBI International Law Associates 277 Park Avenue, 11th Floor, New York City, New York Sweden unauthorized subject www.fi.se/warning 1472 Mergers & Acquisitions 10172, USA 1473 Scandinavian Trade Sweden unauthorized subject www.fi.se/warning Scorpion Performance Inc. 3000 SW 4th Avenue, Fort Lauderdale, FL 33315 Sweden unauthorized subject www.fi.se/warning 1474 Belgium Phone +33(0)1 5345 6031 France Scott and Fisher Consultancy Limited Ireland unauthorized subject Central Bank of Ireland 1475 (USA) Scott Fitzgerald Group JLP Amang, Kuala Lumpur, Malaysia and Taipei 101 Tower unauthorized subject www.kredittilsynet.no 1476 Hsin-YI road Taipei Taiwan Norway Scott Thomas Wealth Advisory Rue Du Consceil 24, Geneve, Switzerland United unauthorized subject www.fsa.gov.uk 1477 www.scottthomas.net Kingdom SCOTTSDALE CAPITAL 35-D SW Varvick Street, New York, USA United unauthorized subject www.fsa.gov.uk 1478 CONSULTANCY SERVICES www.scottsdaleconsultancy.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Seagram Services Ltd 374 Park Avenue United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10152 USA 1479 and 2 International Finance Centre Level 31 8 Financial Street Central Hong Kong China SEARCH PROFIT CORPORATION, C/ Marie Curie, 5 1º Spain unauthorized subject www.cnmv.es S.L.U. Edificio Alfa 1480 Parque empresarial Rivas Futura Rivas-Vaciamadrid 28521 - Madrid Secure Insurance The Grace Building, 32nd Floor, 1114 Avenue of the United unauthorized subject www.fsa.gov.uk 1481 Americas, New York, 10036-7798, USA Kingdom Securities Group Singapore www.secgroupsing.com Norway unauthorized subject www.finanstilsynet.no 1482 Securities Trading Board 842 Vermont Avenue NW Washington DC, USAwebsite Norway unauthorized subject www.finanstilsynet.no http://gov.sectb.org/. Jersey www.fsa.gov.uk 1483 United Kingdom Securities Trading Commission 1110 Connecticut Ave North West United unauthorized subject www.fsa.gov.uk Washington DC 20036 Kingdom 1484 USA Tel: +1 202 204 2310 www.gov.sectco.us 1485 Seisma Oil Research LLC 433 Plaza Real, Boca Raton, FL 33432 USA Norway unauthorized subject www.kredittilsynet.no Select Capital Management Corporation 2-18-6 Nihonbashi, Cyuo-ku Tokyo, 103-0027 Japan Netherlands unauthorized subject Phone +31 0 205535 535 1486 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Sentinel Trading Investment Victoria, Mahe Island, Seychelles, 14 Rue du Rhone, Suite Sweden unauthorized subject www.fi.se/warning 1487 Corporation 39, CH-1204 Geneva, Switzerland SERVICIOS EUROBROKER 2001, S.L. Spain unauthorized subject www.cnmv.es 1488 SFVA Finance 14 Portland Terrace, Southampton, Hampshire SO14 7ED, United unauthorized subject www.fsa.gov.uk 1489 United Kingdom Kingdom www.sfvafinance.com SGS Consultants Limited One Pacific Place, 88 Queensway, Hong kong Sweden unauthorized subject www.fi.se/warning 1490 www.sgsconsultantslimited.com SGS Consultants Limited One Pacific Place, 88 Queensway, Hong Kong Norway unauthorized subject www.finanstilsynet.no 1491 www.sgsconsultantslimited.com. Shaffer Lienhard International Business Plaza, 14 Austin Road West, France unauthorized subject t. č. +33 (0)1 5345 6031 Kowloon, 2166 1492 8010, Hong Kong S.A.R http://www.shaffer-lienhard.com/. Shaffer Lienhard address: International Business Plaza, 14 Austin Road Sweden unauthorized subject www.fi.se/warning West, Kowloon 2166 8010, Hong Kong S.A.R. www.shaffer-lienhard.com Beijing Mercan-tile Exchange, BEMEX, 1493 Beijing Yintai Centre, 187 Henghui East Road, Chaoyang, 100113, Beijing, China. www.bemex.org
Shaffer-Lienhard International Business Plaza, 14 Austin Road West, Denmark unauthorized subject www.finanstilsynet.dk Kowloon 2166 8010, Hong Kong S.A.R. 1494 is www.shaffer-lienhard.com
Shaffer-Lienhard International Business Plaza, 14 Austin Road West, Denmark unauthorized subjec www.finanstilsynet.dk 1495 Kowloon 2166 8010, Hong Kong S.A.R. www.shaffer-lienhard.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Shearin Group Level 3, 17 Square Edouard VII, Paris 75009, France Denmark unauthorized subject www.dfsa.dk 15/F Millenium City 5, 418 Kwun Tong Rd., Kwun Tong, 1496 Hong Kong www.shearingroup.com Shengtai Group Level 10, World-Wide House, 19 Des Voeux Road Central, Norway unauthorized subject www.kredittilsynet.no 1497 Hong Kong www.shengtai-group.com. Shenzen Commodity Exchange Huameiju Business Centre, Xixiang Avenue 113, Bao´an, Norway unauthorized subject www.finanstilsynet.no 1498 Shenzen, Guandong, China www.szcox.org Shigesuke Nihon Seimei Sakaisuji HonmachiBuilding, 8-12 Honmachi unauthorized subject www.cbfa.be 1499 1 chome, Chuo Ku, Osaka 541-0053, Japan www.shigesuke.net Belgium Shinsei Associates 7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Sweden unauthorized subject www.fi.se 1500 Minato-ku, Tokyo 105-0001, Japan. www.shinseiassociates.com Shore Capital Ventures Onfem Tower, 29 Wyndham Street, Hong Kong Norway unauthorized subject www.finanstilsynet.no 1501 www.shorecapitalventures.com Schapiro Global Inc. 2 International Finance Centre, 8 Finance Street, Central unauthorized subject www.fi.se/warning 1502 Hong Kong, Hong Kong www.schapiroglobal.com Sweden Sidstone, Gray & Partners Suite 42, 1 Cedar St. At Pearl Street, NW Corner 100 unauthorized subject www.fsa.gov.uk 1503 Maiden Lane, NY 10038, USA United www.sidstonegray.com Kingdom Signature Consulting Ltd No.82, Jln 3/62a, Bandar Menjalara, 52200 Kuala Lumpur Sweden unauthorized subject www.fi.se/warning 1504 Signature Consulting. Ltd. No 82, Jln 3/62a, Bandar Menjalara, 52200 Kuala Lampur Sweden unauthorized subject www.fi.se/warning 1505 Silicon Valley Financial Incorporated 78 South Wacker Drive, Suite 3495, Chicago, IL 60606, Sweden unauthorized subject www.fi.se/warning 1506 www.svfi.net 1507 Silicon Valley Financial Markets Ltd Cyprus unauthorized subject www.cysec.gov.cy 1508 Silverstone Management S.L. Avda. Diagonal 618-9A-B, 08021 Barcelona, Spain Netherlands unauthorized subject Phone+31 0 205535 535 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Silverthorne and Chambers Inc. S & C 14 Robinson Road No. 13-00, Far East Finance Building, unauthorized subject www.fi.se/warning 1509 Singapore 048545 Simray ASA (My Private Trade) Postboks 337, 3101 Tonsberg, Norway Norway unauthorized subject www.kredittilsynet.no 1510 www.myprivatetrade.com Slovenia www.a-tvp.si SINO FINANCIAL China World Trade Center, United unauthorized subject www.fsa.gov.uk Tower 1, Suite 2171, Kingdom Beijing, 1511 People Republic of China, 100004 Phone: +861084053513 Website: www.sfltdcn.com Email: [email protected] Sirius Financial Fl. 8 Suite 166, Santa Engracia 39, 28010 Madrid Norway unauthorized subject Phone +47 22939800 Phone 1512 Austria +43(0)1/24959-5160 1513 Sirius Holdings Suite 166, Santa Engracia 38, 28010 Madrid, Spain Norway unauthorized subject www.kredittilsynet.no 1514 Sky Forex / Sky Forex Europe www.skyforex.org.uk Malta unauthorized subject www.mfsa.com.mt Smart Stuff Ltd 150 Cheapside, London EC2R 6ET United unauthorized subject www.fsa.gov.uk 1515 www.smart-invest.co.uk Kingdom 1516 Smart Trade FX www.smarttradefx.com Cyprus unauthorized subject www.cysec.gov.cy Smith and Lockhart Associates 47C Broad Street, United unauthorized subject www.fsa.gov.uk New York, Kingdom NY 10004. Tel: 0019145172749 1517 Fax: 0019145602286 Website: www.smithlockhartassociates.com Email: [email protected]
Smith and Olsson 155 N.Wacker Drive, Suite 3600, Chicago, Illinois 60606, United unauthorized subject www.fsa.gov.uk USA Kingdom 1518 1 Canada Square, Canary Wharf, London E14 5AL, United Kingdom www.smithandolsson.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Smith Shore & Jenkins, LLC 180 Berkeley Street, John Hancoc Building 32th Floor, unauthorized subject www.fi.se/warning 1519 Boston, MA 02116, USA www.smithsj.com Sweden SMO Fitzgerald Global Sumitomo-Shoji Kanda-Izumi-cho Bldg., 9F, 1-13, Kanda- Norway unauthorized subject www.finanstilsynet.no 1520 Izumi-cho, Chiyoda-ku, Tokyo 101-0024, Japan. www.smo-fitzgeraldglobal.com Sol Transfer Agents LLC Paseo de La Reforma 500, Miguel Hidalgo, Ciudad de United unauthorized subject www.fsa.gov.uk 1521 Mexico, DF Mexico Kingdom www.soltsfr.com Solaris Financial Solutions 4-1 Ohashi Bldg. 33-1, Harumi-cho 1-chome, Fuchu, United unauthorized subject www.fsa.gov.uk 1522 Tokyo, Japan Kingdom www.solaris-fs.com Solaris Global Partners LG Smith Blvd 160 Ste 304-305, Oranjestad, Aruba, Dutch unauthorized subject www.fi.se/warning 1523 Caribbean Sweden Solomon-Layb Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4 Denmark unauthorized subject www.finanstilsynet.dk 1524 Kojimachi Tokyo, 102-0083Japan www.solomon-layb.com Sompo Capital Group The Center, 99 Queen ´s Road Central, Hong Kong Norway unauthorized subject www.finanstilsynet.no 1525 www.sompocapitalgroup.com Source One International Level 11, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Austria unauthorized subject t.č. +43 (0)124959-5106 1526 Minato-Ku, Tokyo 107-0061, Japan www.sourceoneinternational.com South Atlantic Securities 201 West 89th Street New York, NY USA 10024. Sweden unauthorized subject www.fi.se 1527 www.southatlanticsecurities.com United www.fsa.gov.uk Kingdom South Korea Derivates Exchange New Millennium Hall, 50 Yonsei-ro, Seodaemun-gu, Seoul Sweden unauthorized subject www.fi.se/warning 1528 (SKDEX) 120-749, Korea www.skdex.org Southern Cross Mergers and Southern Cross Investments US 5851 Two Notch Road, Sweden unauthorized subject www.fi.se/warning Phone Acquisitions North East Columbus, Columbia, SC 29223-7222 Southern France +33 0 1 5345 6031 1529 Cross Investments ASIA, 120357 Queen's Road, Central Hong Kong, HK Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Sovereign Wealth Capital Ochanomizu Center Building, 3-2-12 Hongo, 113-0033 Norway unauthorized subject www.finanstilsynet.no 1530 Bunkyo-ku, Tokyo, Japan www.sovereignwealthcapital.com Space Energy AG Spital Strasse 5, 8200, Schaffhausen, Switzerland Sweden unauthorized subject www.fi.se/warning 1531 www.spaceenergy.com Specialist Investor Funds 78 Sir John Rogersons Quay, Dublin 2, Ireland United unauthorized subject www.fsa.gov.uk 1532 www.specialistinvestorfunds.com Kingdom Spencer and Richardson Financial 11th Fl., KDX Roppongi 228 Bldg. 2-8, Roppongi 2-chome, Sweden unauthorized subject www.fi.se Minato-ku, Tokyo 106-0032, 1533 Japan. www.spencerrichardsonfin.com Springhill Group 22F S-Tower, 116 Shinmunno 1-ga United unauthorized subject www.fsa.gov.uk Jongno-gu, Seoul, South Korea Kingdom 1534 Tel: 008227672721 Website: www.springhillgroup.com Email:[email protected] SPS Investment Products Grobe Bleichen 21 United unauthorized subject www.fsa.gov.uk Hamburg 20354 Kingdom 1535 Germany www.investwithsps.com SPS Investments GmbH SPS Investments GmbH United unauthorized subject www.fsa.gov.uk 157 St John Street Kingdom 1536 London EC1V 4PW www.investwithsps.com
SQUARE MILE FINANCE 100 Newgate Street United unauthorized subject www.fsa.gov.uk London Kingdom 1537 EC1A 7 United Kingdom Website: www.squaremilefinance.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Square Mile Financial 146 SMITHFIELD STREET United unauthorized subject www.fsa.gov.uk LONDON EC1A 9BB Kingdom 1538 Tel: 0203 514 9301 Fax: 0203 514 9302 www.squaremilefinancial.com SQUARE MILE FINANCIAL (Clone of Address: Times square 2nd floor United unauthorized subject www.fsa.gov.uk previously FSA registered firm) 160 queen Victoria Street Kingdom Clone of previously London EC4V 4BD FSA authorised firm Tel: 0203 514 1357 1539 Fax: 0203 318 4098 Website: www.squaremilefinancial.co.uk Email: [email protected]
SQUARE MILE FINANCIAL 146 SMITHFIELD STREET United unauthorized subject www.fsa.gov.uk LONDON Kingdom EC1A 9BB 1540 Tel: 0203 514 9301 Fax: 0203 514 9302 www.squaremilefinancial.com
St James Partners 39 St James´s Street, London, SW1A 1JD Sweden unauthorized subject www.fi.se/warning 1541 www.sjassetmanagement.co.uk St. James Wealth Rue Philippe-Plantamour 16 United unauthorized subject www.fsa.gov.uk 1201 Geneva Kingdom 1542 Switzerland Tel: +41 22 5481 403 www.stjwealth.com Stalmann Clark 51 Great Tower Street, London E3R 5AQ, United Kingdom United unauthorized subject www.fsa.gov.uk 1543 www.stalmannclark.com Kingdom
Standard Hokori Group 64-76 Liberty St. 12th Fl., New York, USA unauthorized subject www.fsa.gov.uk 1544 Marianskolazenska 11-13, Karlovarsky, Czech Republic United www.standardhokori.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Standford Long United unauthorized subject www.fsa.gov.uk 1545 Kingdom Stanford Crown Partners 17 Moorgate, London EC2R 6PH, United Kingdom United unauthorized subject www.fsa.gov.uk 1 Ebarcadero Centre, San Francisco, California, 94111 Kingdom 1546 USA Reinerstwiete 22, Hamburg 20457, Germany www.stanfordcroewn.com 1547 Stanford Group Associates Wheaton IL 60187 Italy www.stanfordga.com Sweden unauthorized subject www.fi.se/warning Stanley Clifford Hennan West Tower, 19/B Luard Road, Wanchai, Hong Austria unauthorized subject www.fma.gv.at 1548 Kong www.stanley-clifford.com Stanley Clifford and Korea Mercantile Hennan West Tower, 19/B Luard Road, Wanchai, Hong unauthorized subject www.fi.se/warning 1549 Exchange / KRMEX Kong www.stanley-clifford.com Sweden Stansell Corporate Services LLC 1617 Boylston Ave, Seattle, WA 98101, USA United unauthorized subject www.fsa.gov.uk 1550 www.stansellcs.com Kingdom Stansfield Private Equity Ltd. 383 Madison Avenue, New York USA Sweden unauthorized subject www.fi.se/warning 1551 www.stansfieldltd.com Stanton Goldstein Frederiklaan 165, The Hague, Zuid-Holland 7245-AK United unauthorized subject www.fsa.gov.uk 1552 www.stantongoldstein Kingdom Starke Wealth Management Starke Wealth Management United unauthorized subject www.fsa.gov.uk Schiller Strasse 27-29 Kingdom 60313 Frankfurt Germany and 1553 Blue Anchor House 16 Kyriakou Matsi Avenue Nicosia 1082 Cyprus www.starkewealth.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information State Street Advisory 49 Avenue J.F. Kennedy, Luxembourg L-1855 United unauthorized subject www.fsa.gov.uk 23 Austin Friars, City of London EC2N 2QP, United Kingdom 1554 Kingdom Suite 1500, 41 Park Avenue, NY 10022, New York, USA www.statestreetadvisory.com Stateside Capital, LLC 247 Penn Plaza, New York, NY 10001. Sweden unauthorized subject www.fi.se 1555 www.statesidecapital.us following address: Stein and Fitzgerald Associates rue du Congrés 35, 1000 Brussels, Belgium, avenue Belgium unauthorized subject www.cbfa.be 1556 Louise 304, 1050 Brussels, Belgium Steinberg Management United unauthorized subject www.fsa.gov.uk 1557 Kingdom Steiner Haus Capital An Der Walle, Frankfurt, Germany 60322 United unauthorized subject www.fsa.gov.uk 1558 www.steinerhousecapital.com Kingdom Steinman Brooks & Associates Avenue Business Center, 500 N. Michigan AVE, Chicago, Sweden unauthorized subject www.fi.se/warning 1559 IL 60611 Stensland Pensjon og FinansANS Nórsko Czech unauthorized subject www.cnb.cz 1560 Republic Stephenson Moore Consulting United unauthorized subject www.fsa.gov.uk 1561 Kingdom Sterling Finance AG Rue de Romont 14 United unauthorized subject www.fsa.gov.uk CH-1700 Fribourg Kingdom 1562 Switzerland Website: http://sterlingfinanceltd.com Email: [email protected] Stern Fisher Edwards Corp. 51 W. 52nd St., 18th Floor, New York, NY 10019 Sweden unauthorized subject www.fi.se 1563 www.sfedwardscorp.com STJ ADVISORS 2081446257 United unauthorized subject www.fsa.gov.uk 1564 Kingdom Stock Trading One Spain, S.L. Flor Baja, 11-Piso8, 28013 Madrid, Spain Spain unauthorized subject www.cnmv.es 1565 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Stockbridge Partners Yasuda Seimei Building, Floor 18, 3-3-20 Umeda, Osaka, Autria unauthorized subject t. č. +43 (0)1/24 959 5106 1566 Osaka-fu, Japan www.stockbridgepartners.com Stockholm Savings & Loan Ek. för. (registration number: 769614-9462) Sweden unauthorized subject www.fi.se/warning was forced into 1567 Bankruptcy 11 March 2010 Stockton s.r.o. Habrovky 247/11, 14000 Praha 4, Czech Republic Sweden unauthorized subject www.fi.se/warning 1568 Netherlands www.afm.nl/english.htm Stonewell Finance Solna Strandväg 78, 171 54 Solna, Stockholm, Sweden Sweden, unauthorized subject www.fi.se/warning , 1569 Ireland www.financialregulator.ie S-TRADE INVERSIONES Spain unauthorized subject www.cnmv.es 1570 Strategic Capital Partners Portfolio Ramistrasse 8, Postfach 166, CH-8024, Zurich, Sweden unauthorized subject www.fi.se/warning, 1571 Management AG Switzerland Slovenia www.atvp.si Strategic Carbon Solutions Ltd. 66 New Street, 4th Floor, Birmingham, B2 4DU, United Sweden unauthorized subject www.fi.se/warning 1572 Kingdom. www.strategiccarbonsolutions.com Strategic Investment Group, SIG Paseo San Juan 139-141, Suite 127, Barcelona, 08011 unauthorized subject www.fi.se/warning 1573 Spain www.sigadvisor.com Sweden Strategic Management, Inc.(and 5F Denshi Kaikan, 6-8-7 Nishitenma, Kita-ku, 530-0047, Sweden unauthorized subject www.fi.se/warning International Bureau Trade Commission Osaka, Japan -a fictitious organization) www.strategicmgmtinc.com (2nd Floor, Nagata-Cho Palace Side Building, 11-4, 1574 Nagata-cho 1-chome, Chiyoda-ku, Tokyo 100-0014 Japan. www.interbtc.org) Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Strategic Private Equity Group New York Offices: Austria unauthorized subject t. č. +43 (0)1/24 959 5106 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] 1575 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] Strategic Private Equity LLC 103E 29th Street, New York, NY 10016, USA United unauthorized subject www.fsa.gov.uk 1576 www.strategicpe.com Kingdom Strauss Capital Consultants Mainzer Landstraße 46 United unauthorized subject www.fsa.gov.uk 60325 Frankfurt am Main Kingdom Germany 1577 Tel: +49 69222259999 Fax: +49 69222259998 www.strausscapitalconsultants.com Strauss Jones Badenstrasse 414, 8004 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 1578 www.straussjones.com Kingdom Sullivan Investment Group Stephanie Square, Avenue Louise65, 1050 Brussels, unauthorized subject www.cbfa.be 1579 Belgium www.sullivaninvestments.co.uk Belgium Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information SUMITOMO Financial Corporation 1-8-3 Marinouchi, Chiyoda-ku, Tokyo, 1006601, Japan United unauthorized subject www.fsa.gov.uk 5-34, Kitahama 4-Chome, Chuo-Ku, Osaka, 541-0041, Kingdom 1580 Japan 335 Madison Avenue, 838 New York 10017, USA www.sumifincorp.com Sumitomo Global Sumitomo-Shoji Kanda-Izumi-cho Bldg,. 9F, 1-13, Kanda- Norway unauthorized subject www.kredittilsynet.no 1581 Izumi-cho, Chiyoda-ki, Tokyo 101-0024 Sumitomo Global Sumitomo-Shoji Kanda-Izumi-cho Bldg., 9F, 1-13, Kanda- Denmark unauthorized subject www.finanstilsynet.dk 1582 Izumi-cho, Chiyoda-ku, Tokyo 101-0024, Japan. www.sumitomoglobal.com Summers Associates Ltd 288-289 Mott Street, New York 10013-5003, USA United unauthorized subject www.fsa.gov.uk 1583 www.summersassociatesltd.com Kingdom Summit Capital Management Brussels Park Atrium, Kolonienstraat/ rue des Colonies 11, Belgium unauthorized subject www.cbfa.be 1584 1000 Brussels, Belgium 1585 Summit Empire Group Limited 38 Wood Avenue South, Suite 500, Iselin, NJ 08830 Sweden unauthorized subject www.fi.se/warning Summit Holdings Av. De Frontenex 6, CH-1207 Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 1586 www.summitholdings.info Kingdom Sunline Transfer Agents (or Sun Line Paseo De La Reforma 500 United unauthorized subject www.fsa.gov.uk Transfer Agents) Miguel Hidalgo Kingdom Ciudad De Mexico DF 1587 Mexico Tel: +52 555 017 1894 Website: www.sunlinetransfer.com Sunway International 20/F Tung Wai Commercial Building, 109-111 Gloucester Norway unauthorized subject www.finanstilsynet.no 1588 Road, Wan Chai, Hong Kong www.sunway-international.com. Sun-Wealth Corporate Finance 24th Floor, Tokyo Opera City Tower 20-2, Nishi Shinjuku 3- United unauthorized subject www.fsa.gov.uk 1589 chome Shinjuku-ku, Tokyo, Japan Kingdom www.sun-wealthcorpo.com SUSTAINABLE INVESTMENTS www.sustainable-investments.com Spain unauthorized subject www.cnmv.es 1590 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information SVL Asset Management 155 N Wacker Drive, United unauthorized subject www.fsa.gov.uk 1591 4700606060 Kingdom Chicago, IL SVM Ireland 6 Georges's Dock United unauthorized subject www.fsa.gov.uk 1592 LFSC Dublin 1 Kingdom www.svmireland.com Swan Asset Management UK Office: United unauthorized subject www.fsa.gov.uk Southernhay Gardens Kingdom Exeter, Devon EX1 1PJ Tel: 0845 123 8014 Fax: 0845 123 8015 1593 German Office: Lyoner Strasse, 14 Frankfurt am Main 60528 Germany Tel: +49 69 2222 5292 www.swanmgmt.com Swift Securities Limited Third Avenue, Suite 1601, WA, USA Belgium unauthorized subject www.cbfa.be 1594 207 Hastings Street West, Vancouver BC www.swiftsecuritiesltd.com Swiss & Global Asset Management Tel: +44 (0)207 099 3237 United unauthorized subject www.fsa.gov.uk Fax: +44 (0)203 318 1049 Kingdom Clone of previously 1595 Website: www.swissglobalonline.com FSA authorised firm Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information SWISS FINANCIAL RESEARCH AG bEDERSTRASSE 104, United unauthorized subject www.fsa.gov.uk 8002 ZURICH Kingdom SWITZERLAND AND M VACLAVSKE NAMESTI PRAGUE 1596 CZECH REPUBLIC 103 110 00 PRAHA 1 AND SPLUGENSTRASSE 9, 8002 ZURICH SWITZERLAND Swiss Financial Service Bahnfosstrasse 26, United unauthorized subject www.fsa.gov.uk 8001 Zurich, Kingdom Switzerland Phone: 00414350803 99 and 0041435080962 1597 http://swissfinancialservice.net Email: [email protected]; [email protected]; [email protected]
Swiss Financial Services Inc. Bahnfosstrasse 26, 8001 Zurich, Switzerland. Sweden unauthorized subject www.fi.se 1598 Bahnhofstrasse 26, 8001 Zurich, Schweiz www.swissfinancialservice.net SWISS GLOBAL ASSET Tel: +44 0 203 514 9941 United unauthorized subject www.fsa.gov.uk MANAGEMENT +352 27860149 Kingdom 1599 +41 435080346 www.sgamldn.com SWISS GROUP & Partners Seestrasse 178, 8802 Kilchberg, Switzerland Austria unauthorized subject tel.no. +43 (0)124959-5106 1600 www.swissgroup-partner.ch 1601 Swiss Invest Ltd Slovenia unauthorized subject www.a-tvp.si 1602 Swiss Key Equity Consult AG Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information SWISS8, S.A. C/Pueblo Nuevo, La Riviera, Of. 3, Ciudad de Panamá, Spain unauthorized subject www.cnmv.es 1603 Panama www.swiss8.com 1604 Sycamore Options Ltd www.sycamoreoptions.com Cyprus unauthorized subject www.cysec.gov.cy Syndicated Wealth Group 200 West Street, Austria unauthorized subject www.fma.gv.at New York City, NY 10282, New York USA 1605 Phone: +212-202-4417 Fax: +212-937-2314 www.syndicatedwealth.com [email protected] Synergy Capital, LLC 62 Broadway United unauthorized subject www.fsa.gov.uk Suite 1110, New York Kingdom New York, 10006 1606 USA Telephone: +1 212 784 6708 Fax +1 212 208 2480 www.synergycap.net Synergy Europe Chemin Des Papillons 4, United unauthorized subject www.fsa.gov.uk 1216Cointrin Kingdom Geneva Switzerland and 1607 16 Old Queen Street London SW1H 9HP Email: www.synergyeurope.eu
Taft MacKenzie Ventures 18th Floor, West Wing, 1 Riverside Plaza, Columbus, OH Sweden unauthorized subjec www.fi.se/warning 1608 43215. www.taftmackenzie.com 1609 Talisman Finance USA Ireland unauthorized subject www.financialregulator.ie Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1610 Tarlin Investment Management Slovenia unauthorized subject www.a-tvp.si Tate and Carver Consultancy Group 168AD 27th Street, United unauthorized subject www.fsa.gov.uk Near Hudson River, Kingdom New York, NY 10011. 1611 Tel: 1 518 2070179 Fax: 1 518 9359241 Website: www.tatecarverconsultancy.com Email: [email protected] Taurus Finans AS Olav vs gate 5, 0161 Oslo, Norway Norway unauthorized subject www.finanstilsynet.no 1612 www.taurusfinans.no 1613 Tavistock Capital Markets (TCM) 18 Avenue Louis - Casai, 1209 Geneva, Switzerland Sweden unauthorized subject www.fi.se/warning Melbourne Tower unauthorized subject www.fsa.gov.uk 1511 3rd avenue Seattle WA 1614 USA Taylor Mannis 98101 United www.taylormannis.com Kingdom 1615 Telemar Data Management (Brazil) Ireland unauthorized subject Central Bank of Ireland Temple Nugent Capital Management / Rue Abbe Cuypers 3, Brussels, Belgium 1040 United unauthorized subject www.fsa.gov.uk 1616 Temple and Nugent Investments www.templenugent.com Kingdom TGF Management Services Ltd. 21/F. ICBC Tower, City Bank Plaza, 3 Garden Road, Netherlands unauthorized subject Phone +31 0 205535 535 1617 Central Hong Kong Thatcher & Thatcher Ltd 1738 GT, Cayman Corporate Center, Grand Cayman, Sweden unauthorized subject www.fi.se/warning 1618 Cayman Islands, www.thatcherltd.com The Best Investment Guide 59 Thomas Street, Manchester M4 1NA, United Kingdom United unauthorized subject www.fsa.gov.uk 1619 www.2013bestinvest.com Kingdom
The Bradford Group 60 Albert St. Singapore 189969 United unauthorized subject www.fsa.gov.uk 1620 T: 0065 3158 2525 Kingdom : www.bradford-grp.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information The Celtic Group LLC (Ireland) / Celtic Ireland unauthorized subject Central Bank of Ireland Finance Group / Celtic Finance Brokers 1621 and Cead Mile Failte Finance Services
The Clayton Group Albert Complex United unauthorized subject www.fsa.gov.uk 60 Albert Complex Kingdom Singapore 189969 1622 Tel: 0065 3158 2083 Website: www.theclaytongrp.com
The Kronos Group Chinese Resources Building, 26 Harbour Road, Wan Chai, Norway unauthorized subject www.finanstilsynet.no 1623 Hong Kong www.thekronosgroup.com The Lightman Associates Rue Du Mont Blanc United unauthorized subject www.fsa.gov.uk 1201 Kingdom 1624 Geneva Switzerland www.thelightmanassociates.com 1625 The Malta International Art Fund Ltd. Malta unauthorized subject www.mfsa.com.mt 1626 The Malta International Art Fund Ltd. Malta unauthorized subject www.mfsa.com.mt The Masons Corporation 275 Seventh Avenue, New York, NY 10001, USA United unauthorized subject www.fsa.gov.uk 1627 www.themasonscorp.com Kingdom 1628 The Morgan Stern Group Ireland Ireland unauthorized subject www.financialregulator.ie 1629 The Pinnacle Group Germany Ireland unauthorized subject www.financialregulator.ie The Pinnacle Group Caffamacherreihe 15, United unauthorized subject www.fsa.gov.uk 20355 Hamburg, Kingdom Germany 1630 Tel: +44845 528 0031 Fax: +44845 528 0032 Website: www.pinnaclefgroup.com THE ROIET TRADING www.roiet-trading.com Spain unauthorized subject www.cnmv.es 1631 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Shinjuku Monolith Bldg. 2-3-1 Nishi-Shinjuku-Shinjuku- unauthorized subject www.kredittilsynet.no 1632 ku,163-0907 Tokyo, Japan and The Sherwood Corporation 210 E Capitol St, Jackson, MS 39201 USA Norway The Tyler Group Barcelona, L´Hospitalet de Llobregat, Plaza Europa 9-11, Belgium unauthorized subject www.cbfa.be 1633 08908, Torre Inbisa Plaza Europa, Spain The Universal Liberty Express 24, Rue Joseph II, 1000 Brussels Belgium unauthorized subject [email protected] 1634 Bank Belgium The Wallstreet M&A Group 721 5th Avenue, New York 10022, USA Norway unauthorized subject www.finanstilsynet.no 1635 www.wstreetdrp.com The Woo Group Two International Centre, 8 Finance Street, Central, Hong Norway unauthorized subject www.finanstilsynet.no 1636 Kong www.thewoogroup.com Thmpson Gerrard Canada Square, Floor 17, Canary Wharf, London E14 5AP United unauthorized subject www.fsa.gov.uk 1637 Kingdom THOMAS ANDERSON ADVISORY 91 HUDSON STREET United unauthorized subject www.fsa.gov.uk 5TH FLOOR Kingdom NEW YORK CITY 1638 NEW YORK 10013 UNITED STATES www.thomasandersonadvisory.com
THOMAS CAPITAL 1 Canada Square, Canary Wharf, London E14 5AA, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 1639 Mariahilfer Strasse 121, B/4 floor, 1060 Vienna, Austria www.thomas-cap.com Thomas Castle Management 8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Denmark unauthorized subject www.dfsa.dk Chiyoda-ku, Tokyo, 100-6010, Japan 305a, M.G. Norway www.kredittilsynet.no 1640 Building, 150 Amorsolo St., Legaspi Village, 1230 Makati City, Philippines Thompson Associates 7 King William St, United unauthorized subject www.fsa.gov.uk London, Kingdom 1641 EC4N 7DA. Tel: 08456861766 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Thomson McKinnon Capital Corp. 641 Lexington Avenue 30th Floor, N.Y. 10022 New York. Sweden unauthorized subject www.fi.se/warning 1642 Tiger Consultants Westmead House United unauthorized subject www.fsa.gov.uk 123 Westmead Road Kingdom (may also be using Sutton the name of Tiger Surrey SM1 4JH Investing) 1643 UK Tel: 0203 432 2216 Fax: 0203 411 0424
Titan Invest PLC Thames House Portsmouth Road Austria unauthorized subject tel.no. +43 (0)124959-5106 Esher Italy tel.no. +39 06 84 77 277 Surrey KT109AD United Kingdom 1644 www.titan-invest.com E-Mail: [email protected] Tel.: +44-203 41118 42 Fax: +44-2031630910
Titan Trading Group New York 10005 unauthorized subject www.fi.se/warning 1645 www.titantradinggroup.com Sweden Titan Worldwide Recovery 1380 Broadway, New York 10001, USA United unauthorized subject www.fsa.gov.uk 1646 Kingdom TJB Trading Thurgauerstrasse 40, Zurich, CH-8050, Switzerland Belgium unauthorized subject www.cbfa.be 1647 Level 24, Towet 3, China Central Place, 77 Jianguo Road, Chaoyang District, Beijing, 100025, China TL Mallen LLC 250 West 57th, New York, NY 10107, USA United unauthorized subject www.fsa.gov.uk 1648 www.tlmallen.com Kingdom 1649 Token Financial (USA) Ireland unauthorized subject www.financialregulator.ie Tortola Capital PO Box 2396, Road Town, Virgin Islands unauthorized subject www.cbfa.be 1650 Dépulet, Gábor Dénes 1117 Budapest, Hungary Belgium www.fma.at www.tortolacapital.com Austria Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Touch Financial United unauthorized subject www.fsa.gov.uk Kingdom The organisation is also using a similar name to a previously FSA 1651 registered firm, Touch Financial Services Ltd 442805. This firm is no longer trading.
Toy Securities 18th Floor, Shiroyama Trust Tower, 3-1, Toranomon 4- United unauthorized subject www.fsa.gov.uk 1652 chome, Minato-ku, Tokyo ZIP 105-6025, Japan Kingdom www.toysec.com TPG Securities TPG Securities United unauthorized subject www.fsa.gov.uk 9 Paradeplatz Kingdom Zurich 1653 8001 Switzerland www.tpgsecurities.com
Trade4Profit BVBA/SPRL 8 Diamantstraat, Box 358, 2200 Herentals, Belgium Belgium unauthorized subject www.cbfa.be 1654 www.trade4profit.nl 1655 TRADEFOREX.EU www.tradeforex.eu Spain unauthorized subject www.cnmv.es TradeLikeTom website www.tradeliketom.com Luxemburg unauthorized offer of www.cssf.lu 1656 services 1657 Traders International Return Network France unauthorized subject t.č. +33 0 1 5345 6031 1658 TRADERXP LTD www.traderxp.com Cyprus unauthorized subject www.cysec.gov.cy 1659 Trading Bolsa, S.L. Plaza Doctor Laguna 9, Local n.3, 28009-Madrid, Spain Spain unauthorized subject www.cnmv.es 1660 Trading Corporation Belgium unauthorized subject www.fsma.be Trading Resource Capital Management Plaska 622/3, 150 00 Prague 5, Czech Republic Norway unauthorized subject www.finanstilsynet.no 1661 trcapitalmgmt.com Transatlantic Group Mergers and 205 N Michigan Ave, Chicago, Illinois, 60601, USA unauthorized subject www.fi.se/warning 1662 Acquisitions Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Trapezitai Credit & Savings Ekonomisk www.tcsef.com. Sweden unauthorized subject www.fi.se 1663 förening Travel Rule, S.L. C/Diego de León, 28, 28006-Madrid, Spain unauthorized subject www.cnmv.es 1664 Av. Alfonso XIII, 19, 28002 - Madrid Spain Trebol Trading LLC 90 State Street, Albany, New York, 12207, USA Belgium unauthorized subject www.cbfa.be 1665 www.tt-fx.us 1666 Treld Invest GB France unauthorized subject www.amf-france.org Trendex Research UK (no contact details available) United unauthorized subject www.fsa.gov.uk 1667 Kingdom Trendex Research UK (no contact details available) United unauthorized subject www.fsa.gov.uk 1668 Kingdom
Trenton Hassel Investment Ltd. 2332 Galiano Street, 2nd Floor Coral Gables Miami, Netherlands unauthorized subject Phone +31 0 205535 535 1669 Florida, USA Tri Capital Management 401 North Tryon Street, 10th Floor, Charlotte, North unauthorized subject www.fi.se/warning 1670 Carolina, 28202 USA Sweden 3829 South Edmunds St Seattle WA 1671 Trias Ltd 98118 United www.triasltd.com Kingdom unauthorized subject www.fsa.gov.uk Tribune Assets Management Ltd 888 West Jackson Boulevard Chicago, Sweden unauthorized subject www.fi.se/warning 1672 Illinois 60604. www.tribune-assets.com Tribune Assets Management Ltd. 888 West Jackson Boulevard, United unauthorized subject www.fsa.gov.uk Chicago Kingdom 60604 Illinois 1673 United States of America Phone Number: +1 312 465 1657 Fax Number: +1 312 896 9308 www.tribune-assets.com TrillionFX Klarabergsviadukten 70, Box 70396, Stockholm, S-107 24 Sweden unauthorized subject www.fi.se/warning 1674 Sweden. www.trillionfx.co Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information TRILOGY INVESTMENT FUNDS PLC TEL.: 0845 528 0689 United unauthorized subject www.fsa.gov.uk FAX: 0845 528 0876 Kingdom 1675 EMAILS: [email protected] [email protected] WEBSITE: www.trilogyinvestmentfunds.com Trinity Option and Futures Group Brussels Louise, Louise Tower, Avanue Louise 149, 1050 unauthorized subject www.fsa.gov.uk Brussels, Belgium 1676 Seafirst Fifth Avenue Plaza, 800 Fifth Avenue, Suite 4101 Seattle, Washington 98104, USA United www.tofgroup.com Kingdom Trinity Ventures 502, Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjyuku-ku, Denmark unauthorized subject www.finanstilsynet.dk/sw126 1677 Tokyo, 162-0825, Japan Via 7.asp Gagarin 14, 20036 Meda, Milano, Italy Trowbridge Capital Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 1678 Kingdom Trucker FX Corporations http://www.truckerfx.com Cyprus unauthorized subject www.cysec.gov.cy 1679 Trust Group International/Trust Real Str Intrarea Scola nr 1B, Sector 1 Bucuresti, Romania, Sweden unauthorized subject www.fi.se/warning 1680 Estate Investment Group LLC 2501 W.Hillsboro Blvd. #105, Deerfield Beach, FL. 33442
1681 Trust Solutions Ltd Ukraine Trade Center, Gukavea 3, 69116 Saporoshje Austria unauthorized subject Phone +43 (0)124959-5106 Tunstall Group International Commerce Centre, 1 Austin Road W, West Norway unauthorized subject www.finanstilsynet.no 1682 Kowloon, Hong Kong www.tunstall-group.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Turner Financial Inc. 15th Fl., Akasaka Tokyu Plaza Bldg. United unauthorized subject www.fsa.gov.uk 14-3, Nagata-Cho 2-Chome, Chiyoda-Ku Kingdom Tokyo 100-0014 TEL: 0081345780070 and 008155129893 FAX: 0081367459504 1683 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 unauthorized subject Phone +43 (0)1/24 959 5106 1684 Sha Tsui East, Kowloon, Hong Kong www.unaico.com Austria Unicorn Finance Group 29+/f Time Square, Tower 2, 1 Matthesion Street, Cosway United unauthorized subject www.fsa.gov.uk 1685 Bay, Hong Kong Kingdom www.unicornfinancegroup.com 1686 Unicorn Ventures R. Hermano Neves 16/17 - E6, 1600-477 Lisboa, Portugal Norway unauthorized subject Phone +47 22 93 98 00 Unique Asset LLC, Hong Kong 11/F One International Finance Centre, 1 Harbour View Austria unauthorized subject tel.no. +43 (0)124959-5106 1687 Exchanges and Clearing Limited Centre, Central, Hong Kong Unispar Universal Sparkasse 1688 Ekonomisk forening Box 882, 114 79 Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning United Europe Business Group (UEBG) Malta Malta Financial Services Authority Tel: +356 21441155 Direct: +356 25485386 1689 Email: [email protected] .mt Web: www.mfsa.com.mt United World Capital Ltd Bahnhofsrasse 52, 8001 Zurich, Switzerland United unauthorized subject www.fsa.gov.uk 1690 Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Universal Mercantile Building Society UNIVERSAL MERCANTILE BUILDING SOCIETY, PO BOX Sweden www.fi.se/warning EF (UMBS) 897, WEMBLEY, HA9 1DG, UK, UNIVERSAL 1691 MERCANTILE BUILDING SOCIETY EF, Frejgatan 13, Box 882, 114 79 Stockholm, Sweden unauthorized subject 1692 Universal Networks, Inc. 954 3rd Avenue, Suite 761, New York, NY 10022, USA Sweden unauthorized subject www.fi.se/warning 1693 Universal Savings & Loan Bank Solna Strandväg 78, 171 54 Solna, Stockholm, Sweden Sweden unauthorized subject www.fi.se/warning UST Financial Services Corp. 114 West 47th Street 14th Floor New York NY 10036-1532 Sweden unauthorized subject www.fi.se/warning 1694 USA. United www.fsa.gov.uk www.ustfinance.com and (www.ust-financial.com Kingdom UTB Finance & Securitz Services Isle of Man Isle of Man, unauthorized subject www.gov.im 1695 United Kingdom UTC International Services Emaar Business Park, Sheikh Zayed Road, Dubai, UAE United unauthorized subject www.fsa.gov.uk 1696 Kingdom Valenti International Via Lucca Gaurico 9/11, Roma 00143, Italy Norway unauthorized subject www.finanstilsynet.no 1697 www.valenti-international.com Van Broeke Consultancy Group Rue de colonies 11, 1000 Brussel, Belgium unauthorized subject [email protected] 1698 www.vanbroekeconsultancygroup.com Belgium Vantage Equity Via Vincenza Monti 8, 20123 Milan, Italy Belgium unauthorized subject www.cbfa.be Taipei 101 Tower, level 37, 7 Xinyi Road, Section 5, 110 Norway www.finanstilsynet.no 1699 Taipei, Taiwan United www.fsa.gov.uk www.vantageequity.com Kingdom
Venta Capital (Private Management) Omar Hodge Building, Wickhams Cay 1, Road Town - Netherlands unauthorized subject Phone +31 (0)20 5535 535 1700 Group Ltd. Tortola, British Virgin Islands Ventura Capital Consultancy Services 150 White Plains Rd., Suite 107, Tarrytown, NY 10591- United unauthorized subject www.fsa.gov.uk 1701 5521, USA Kingdom www.venturacapitalconsulting.com Ventura Capital Consulting Limited Ireland unauthorized subject www.financialregulator.ie 1702 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Venture Aliance Partners Na Strzi 65/1702, 140 00 Prague, Czech Republic, unauthorized subject www.fi.se/warning Building 3, Ground Floor, Dubai Investment Park, P.O.Box - www.cbfa.be 212880, Dubai, UAE 1703 Hauser Plads 32, sal, DK1127, Copenhagen K, Denmark Sweden Belgium Venture Associates 34 F Yamashoku Building, 5-9-4 Otemachi, Chiyoda, Tokyo unauthorized subject www.cbfa.be 1704 100-0006, Japan www.ventureasoc.com Belgium Ventures GP Calle Pinar 5, 28006 Madrid, Spain Norway unauthorized subject www.finanstilsynet.no 1705 www.venturesgp.com Verdispar Securities P.O:Box 1674, Vika, 0120 Oslo, Norway Norway unauthorized subject www.finanstilsynet.no 1706 www.verdisparsecurities.eu Verein Zukunft Neu Mooslackengasse 17, 1190 Vienna, Austria Austria unauthorized subject t.č. +43 (0)124959-5106 1707 www.zukunft-neu.eu 1708 VERIM Management Limited L-3895 Foetz, rue de lˇIndustrie coin des Artisans Luxembourg unauthorized subject www.cssf.lu Victory Life P.O.Box 3161, Craigmuir Chambers, Road Town, Tortola, Sweden unauthorized subject www.fi.se 1709 British Virgin Islands Victory Suisse, its Victory Invest Bernex, Switzerland. France unauthorized subject t.č. +33 0 1 5345 6031 distribution network, and other group companies, 1710 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, unauthorized subject www.a-tvp.si 1711 Cyprus www.viginvest.com Slovenia Voyager Investment Management Gvadalpin EBC, Blvd. Principe Alfonso de Hohenlohe, Sweden unauthorized subject www.fi.se/warning 1712 29600 Marbella, Malaga 1713 Wagner Berne Untermainanlage 3, 60329 Frankfurt am Main, Germany Belgium unauthorized subject www.cbfa.be Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Wainwright Wealth Management / Devon House, Taikoo Place, 979 Kings Road, Quarry Bay, United unauthorized subject www.fsa.gov.uk Wainwright Finance Hong Kong Kingdom 1714 Sheikh Khalifa Bin Zayed, Burjuman, Business Tower, Sheikh Zayed Road, Dubai www.wainwrightfinance.com Walden & Associates 18334 Egret Bay Blvd., Suite 600, Houston, Texas 77058 unauthorized subject Phone+43 (0)1/24 959 5106 1715 USA Austria Waldon McLean Associates Toranomon Yatsuka Building, 1-1-11 Atago, Minato-ku, unauthorized subject www.fi.se/warning 1716 Tokyo 105-0002- Japan 500 16th St. Denver, CO 80202, USA Sweden Walker Bryan Securities Walker Bryan Securities United unauthorized subject www.fsa.gov.uk 33 Throgmorton Street Kingdom 1717 London EC2N 2BR www.walkerbryansecurities.com Walker Finance Company http://www.walkerfcompany.com Cyprus unauthorized subject www.cysec.gov.cy 1718 Walker Financial Management www.wfinancialmanagement.com United unauthorized subject www.fsa.gov.uk 1719 Kingdom 1720 Wall Street Direct Via Torino 5, Milan 20123 Italy Sweden unauthorized subject www.fi.se/warning Wall Street Management Corp 441 Lexington Avenue 17th Floor,New York NY 10017,USA Norway unauthorized subject www.kredittilsynet.no 1721 WALLACE JACOB CONSULTANS 12 W Nyack Rd, West Nyack, NY 10994, USA United unauthorized subject www.fsa.gov.uk 1722 CORPORATE SERVICES www.wjccorporatesercvices.com Kingdom
Wallstreet Financial 255 Woodcliff Drive Fairport, NY 14450, USA Sweden unauthorized subject www.fi.se/warning 1723 www.walstreetfin.com 1724 Walsh, Atkins & Associates 1587 Broadway Avenue, San Francisco CA 94101 USA Sweden unauthorized subject www.fi.se/warning Walten Pichler 157 Fleet Street, London EC4A 2DQ, United Kingdom United unauthorized subject www.fsa.gov.uk 1725 13 Rue Edward Steichen 2540 Luxembourg Kingdom www.waltenpichler.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Walter Harris & Company Melbourne Tower, 1511 3rd Avenue, Seattle WA 98101, United unauthorized subject www.fsa.gov.uk 1726 USA Kingdom www.walterharrisllc.com Walter Harris & Company Melbourne Tower, 1511 3rd Avenue, Seattle WA 98101, United unauthorized subject www.fsa.gov.uk 1727 USA Kingdom www.walterharrisllc.com Walter Parker Group 100 Church Street, New York City, NY 10007, USA United unauthorized subject www.fsa.gov.uk 1728 www.walterparkergroup.com Kingdom 1729 Walters Capital Group Ireland unauthorized subject www.financialregulator.ie Walton Johnson & Co 32E suite 12, Pinelawn Rd, Melville NY 11747, USA United unauthorized subject www.fsa.gov.uk 1730 www.wjccorporate.com Kingdom Walton Johnson & Co Corporate Ireland unauthorized subject www.financialregulator.ie 1731 Services (USA)
Warner Abbott Capital Management PBC Pfeiffer Business Center GmbH, Beethovenplatz 1-3, United unauthorized subject www.fsa.gov.uk 1732 60325 Frankfurt am Main, Germany Kingdom www.warnerabbott.com Warren Fisher & Associates 37D 25th Avenue United unauthorized subject www.fsa.gov.uk 1733 New York, Kingdom NY 10003 Warwick Ventures StrathvaleUSA House, 90 North Church Street, George Town, unauthorized subject [email protected] Grand Cayman, 1734 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 September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Waterman Wealth Management Gate Village Building Business Centre, Sheik Zayed Road, United unauthorized subject www.fsa.gov.uk Dubai 113355, UAE Kingdom www.watermanmanagement.com
1735
Wealth Planning Solutions Europe Euro Business Center, 21-23 Hill Street, Edinburgh EH2 United unauthorized subject www.fsa.gov.uk 1736 3JP, United Kingdom Kingdom
Weinberg Equity Management 237 E18tH Street No1 United unauthorized subject www.fsa.gov.uk New York, NY, 10038 Kingdom United States of America Tel.: +1 646 2052786 1737 Fax: +1 646 8392730 www.weinbergequitymanagement.com [email protected]
WEISBERG & COHEN, LLC 435 Seventh Ave (7 Av/34 St), Manhattan, NY 10018, USA United unauthorized subject www.fsa.gov.uk 1738 www.weibergcohen.com Kingdom
WEIZMANN & YOUNG Dreikonigstrasse 31 United unauthorized subject www.fsa.gov.uk 8002 Zurich Kingdom 1739 Switzerland www.weizmannyoung.com Welbeck Associates (Clone of FSA Address: City Place House 55, Basinghall Street, United unauthorized subject www.fsa.gov.uk 1740 Registered firm) London EC2V 5DX Kingdom Clone of previously Tel: 0800 011 2681 FSA authorised firm Email: [email protected] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information WELBORN CAPITAL LLC 220 MIDDLE ROAD United unauthorized subject www.fsa.gov.uk HUDSON Kingdom 12534 NEW YORK UNITED STATES OF AMERICA And / or 664 3RD AVENUE, 14/F NEW YORK 10017 NEW YORK UNITED STATES OF AMERICA 1741 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 unauthorized subject www.fi.se/warning Athens, Greece Unite 10-18, 32/F, Tower 1, Millenium City 1, 388 Kwun 1742 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 Sweden WELLING & COMPANY, LLC 420 Lexington Avenue, New York NY 10170, USA United unauthorized subject www.fsa.gov.uk 1743 www.wellingco.com Kingdom Wellington Capital Markets 440 S LaSalle Suite 1711, Chicago, IL 60605. Sweden unauthorized subject www.fi.se/warning 1744 www.wellingtoncapitalmarkets.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Wellington Management Portfolios 33 Boulevard Prince Henri United Clone of FSA www.fsa.gov.uk L - 1724 Kingdom authorised firm Luxembourg EC2A 1LN 3 Finsbury Square 1745 London Tel: +352 2088 0301 +44 203 514 1923 Fax: +352 2088 0302 +44 870 626 2076 Website: www.wellingtonmp.com Email: [email protected] Wellington Management Tel: +44 20 7416 6705 United unauthorized subject www.fsa.gov.uk 1746 [email protected] Kingdom
Wellington Mergers & Acquisitons 3340 Peachtree Road NE, Buckhead Area Atlanta, GA Norway unauthorized subject www.kredittilsynet.no 1747 30326-1081, United States of America Wellington Philips Asset Management Hardturmstrasse 98, Zurich, Switherland 8005 CH unauthorized subject www.fi.se/warning 1748 Group Sweden Wellington-Duke & Associates United unauthorized subject www.fsa.gov.uk 1749 Kingdom WELLS CAPITAL MANAGEMENT 213 West 30th Street, New York, NY 10001, USA United unauthorized subject www.fsa.gov.uk 1750 tel: +1 914 517 2746 Kingdom www.wellsconsultancy.com Wells Fargo Advisors www.wellsfargolondon.com United unauthorized subject www.fsa.gov.uk 1751 Kingdom Werner Group International in Canada at the TD Canada Tower, 27th floor, 161 Bay Belgium unauthorized subject www.cbfa.be 1752 Street, Toronto M5J 2S1, and in the United States at 40 Wall Street, 22nd Floor, New York, NY 10005. Wesley Wealth Management 5th Flr. Leeward 4, Regatta Office Park, West Bay Road, unauthorized subject www.fi.se/warning 1753 Grnd Cayman, Cayman Islands Sweden Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information WEST MILL ASSOCIATES AROSASTRASSE United unauthorized subject www.fsa.gov.uk ZURICH 8008 Kingdom SWITZERLAND 1754 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 unauthorized subject [email protected] 1755 www.westridgelimited.com Belgium Westberg Equity Research Corp 641 Lexington Avenue, New York NY 10022, USA United unauthorized subject www.fsa.gov.uk 1756 (WERC) / Westburg Equity 16 St Martin ´s le Grand, St Paul´s, London EC1A 4EN, Kingdom United Kingdom WESTBOROUGH LLC 35 WACKER DRIVE United unauthorized subject www.fsa.gov.uk CHICAGO Kingdom 1757 IL 60601 USA www.westboroughllc.com Westbrook Acquisition Authority 1111 Brickell Avenue United unauthorized subject www.fsa.gov.uk 8th Floor Kingdom Mellon Financial Bldg Miami FL 33131 1758 USA Tel: 001 772 828 2884 Fax: 001 305 675 6469 http://westbrookacquisitionauthority.com [email protected]
1759 Westcomb Capital Management Ireland unauthorized subject www.financialregulator.ie Western Global Capital Management 583 5th Avenue, New York, NY 10022, USA Sweden unauthorized subject www.fi.se/warning 1760 www.westernglobalcampgt.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Western Pacific Advisors, Inc Tokyo Otemachi 1st Square, 4/F East Tower, 1-5-1 Sweden unauthorized subject www.fi.se/warning (WESTPAC, Inc.) Otemachi, Chiyoda-ku, 100-004 Tokyo, Japan 1761 One Stamford Plaza, suite 420, Tresser Boulevard, Stamford, Connecticut, 06901 USA www.westpacificadvisors.com Westgate & Greene Associates Ocean Tower United unauthorized subject www.fsa.gov.uk 10th Floor Kingdom 20 Raffles Place 1762 Singapore 048620 Tel: 0065 3158 2021 Website: www.westgategreene.com 1763 Westhill Partners Inc. (USA) Ireland unauthorized subject Central Bank of Ireland Westin International Inc 155 Rajadamri Road United unauthorized subject www.fsa.gov.uk Pathumwan Kingdom Bangkok 10330 1764 Thailand Tel: 0066 2126 8101 E-mail: [email protected]
Westminster Financial 12 Chiltley Way United unauthorized subject www.fsa.gov.uk Liphook Kingdom 1765 Hampshire GU30 7HQ Westminster Market Research & 2825, 31st St. Astoria, New York, NY 11102, Sweden unauthorized subject www.fi.se/warning 1766 Management www.westminstermanagementinc.com WESTON AND SCOTT Frederick Douglass Blvd, New York, NY 10027-5329, USA United unauthorized subject www.fsa.gov.uk 1767 CONSULTANTS www.westonscottconsultants.com Kingdom Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Westton Worldwide M&A Inc 155 Rajadamri Road United unauthorized subject www.fsa.gov.uk Pathumwan Kingdom Bangkok 10330 Thailand 1768 Tel: 006621268101 Fax: 006621268080 Email: [email protected]
Westward Group Boulevard Hausmann, Paris, France Norway unauthorized subject www.finanstilsynet.no 1769 Level 18 Yebisu Garden Place Tower, Tokyo, Japan www.westeardgroup.com WFB-Financial Consulting World Ltd Basel City Center Austria unauthorized subject tel.no. +43 (0)124959-5106 Innere Margaretenstraße 5 CH-4051 Basel 1770 Tel: 0041 44 576 65 65 Fax: 0720/98 10 16 Mail: [email protected]
Wheeler Asset Management Route de Acaicas 65, 1211, Geneva, Switzerland United unauthorized subject www.fsa.gov.uk 1771 Kingdom WHITE MARKET, S.L. www.whitemarket.es Spain unauthorized subject www.cnmv.es 1772
White Plaints International Securities 88 8th Avenue, New York NY 10011, USA United unauthorized subject www.fsa.gov.uk 1773 www.whitepaintsintl.com Kingdom Whitegate Partners Level 38 Marina Bay Financial Centre Tower 2, 10 Marina Austria unauthorized subject www.fma.gv.at 1774 Boulevard, Singapore 018983 www.whitegate-partners.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Whitestone Financial Planning/WS 324/326 Regent Street Office United unauthorized subject www.fsa.gov.uk Financial Planning 404 4th Floor Albany House Kingdom London W1B 3HH And Austria Vienna International Centre 1775 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
Whitman Lloyds & Associates Mergers 70 West Madison Street, Chicago, IL 60602-4270, USA Sweden unauthorized subject www.fi.se/warning 1776 & Acquisitions Dreikoningstrasse, 34, Zurich, Switzerland Whitman Pearce & Partners (Costa unauthorized subject www.cssf.lu 1777 Rica) Luxemburg Whitmore Wealth Management New Bond Street, London, United Kingdom United unauthorized subject www.fsa.gov.uk Business Centre Building, D-79 Dubai, United Arab Kingdom Emirates 1778 Chatham Road, Prat Avenue, South Tsim Sha, Tsui Kowloon, Hong Kong www.whitmorewealth.com 1779 Wide Berth International Inc. 1688 Pennsylvania Ave. Suite 700, Washington DC Sweden unauthorized subject www.fi.se/warning WIDMER Options Kaertner Ring 11-13, 1010 Vienna, Austria unauthorized subject Phone +43 (0)1/24 959 5106 1780 www.widmeroptions.com Austria Wiess and Associates Ltd 203 North LaSalle Center, Suite 1800, Chicago, Illinois unauthorized subject www.fi.se/warning 1781 60601 USA Sweden Wilkinson Bennings Securities No. 14 Robinson Road #13-00, Far East Finance Building, Sweden unauthorized subjec www.fi.se/warning 1782 Singapore 048545, Republic of Singapore www.wilkinsonbennings.com Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information WILLIAM & BROWN MANAGEMENT 8/F, 20 EXCHANGE PLACE United unauthorized subject www.fsa.gov.uk GROUP NEW YORK CITY Kingdom 10005 NEW YORK UNITED STATES 1783 TEL.: 001 917 965 5967 FAX: 001 917 397 3362 EMAIL: [email protected] WEBSITE: www.williambrownmanagement.com
William Blair Capital Partners United unauthorized subject www.fsa.gov.uk 1784 Kingdom William Blake China World Trade Center Tower 3, 1 Jianguomenwall Belgium unauthorized subject www.fsma.be 1785 Avenue, ChaoyoangDistrict, Beijing 100004, China WILLIAM CAMPBELL COMPANY 41 MADISON AVENUE United unauthorized subject www.fsa.gov.uk 31ST FLOOR Kingdom NEW YORK CITY 1786 NEW YORK 10010-2202 USA www.williamcampbellcompany.com William Smith and Company 5St. John´s Lane, London EC1M 4BH Unigted Kingdom United unauthorized subject www.fsa.gov.uk 1787 Lyoner Strase 14, Frankfurt, Germany Kingdom 103-1A Brivibas Street, Riga, Latvia, LV-1001 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information William Smith and Company with alleged office in Austria unauthorized subject www.fma.gv.at 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 1788 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 WILLIAMS CONSULTANCY LIMITED 350 5th Ave, New York 10118-0110, USA United unauthorized subject www.fsa.gov.uk 1789 www.williamsconsultancyltd.com Kingdom Williams Corporation Ltd. Hollywood Plaza, 610 Nathan Road, Hong Kong Austria unauthorized www.fma.gv.at (“My Private Trade”) +852 369 314 87 transactions requiring 1790 www.myprivatetrade.com a licence
Williams Group, Financial Services 960 United Center 7890 Virfginia Street, Man Charleston, Sweden unauthorized subject www.fi.se/warning 1791 WV 25307, www.williamsgrpfinancialserv.com
Wilshire Park Sumimoto Fudosan Mita Twin Building, West Wing 6F, Mita Norway unauthorized subject www.finanstilsynet.no 1792 3-chome, Tokyo 108-6321, Japan www.wilshire-park.com Wilson General Group Ltd http://www.wilsongeneralgroup.com Cyprus unauthorized subject www.cysec.gov.cy 1793 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information Wilsone & Duffus (UK) Ltd Barbican Estate United unauthorized subject www.fsa.gov.uk 9 Lauderdale Place Kingdom Barbican London 1794 EC2Y Tel: 44 0208 816 8671 Fax: 44 0208 133 8487 Website: www.wilsone-markets.com E-mail: [email protected] Wilton Investment Group Blue Tower, avenue Louise/Louizalaan 326, 1050 Brussels, unauthorized subject www.cbfa.be 1795 Belgium www.wiltonig.com Belgium Wiltshire Capital Shinjuku Park Tower, 3-7-1 Nishi-Shinjuku, Shinjuku-Ku, Norway unauthorized subject www.finanstilsynet.no 1796 Tokyo 163-1030, Japan WINDSOR BROKERS (Clone of FSA Tel: +357 25 025033 United unauthorized subject www.fsa.gov.uk EEA Authorised firm) +357 25 025067 Kingdom Clone of previously Fax: +357 25 030284 FSA authorised firm 1797 Website: www.windsorbrokerslimited.com Email: [email protected] [email protected] Wine Street Investment Management Ireland unauthorized subject www.financialregulator.ie 1798 (Ireland) / Kyle Robert Cawley Winchester Consultancy Group 43 West 62nd Street United unauthorized subject www.fsa.gov.uk New York Kingdom NY 10019 United States of America 1799 Tel: +1 (1) 718 5545382 Fax: +1 (1) 718 7322453 E-mail: [email protected] Website: http://www.winchesterconsultancygrp.com
Winchester Consultancy Group USA Ireland unauthorized subject www.financialregulator.ie 1800 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1801 Witter Walwyn Denmark unauthorized subject www.finanstilsynet.dk Wolf Investment Solutions 362 Takubo Building, 2-26, Honmachi-bashi, Chou-ku, Norway unauthorized subject www.finanstilsynet.no 1802 Osaka 540-0029, Japan www.wold-investsol.com. Wolf Investment Solutions 362 Takubo Building, 2-26, Honmachi-bashi, Chou-ku, Sweden unauthorized subject www.fi.se/warning 1803 Osaka 540-0029, Japan. www.wold-investsol.com Wolf Investment Solutions 362 Takubo Building, 2-26 United unauthorized subject www.fsa.gov.uk Honmachi-bashi Kingdom Chuo-ku 1804 Osaka 240-0029 Japan Tel: +81 64 560 4022 Website: www.wolf-investsol.com Wolfgang Investment Group Wolfgang Investment Group United unauthorized subject www.fsa.gov.uk The World Trade Centre Kingdom Leutschenbachstrasse 95 Zurich 8050 Switzerland 1805 and Portland House Bressenden Place London SW1E 5RS www.wolfganginvestmentgroup.com Woodward Gordon Capital International 12 Harcourt Road, Central Hong Kong, Hong Kong Sweden unauthorized subject www.fi.se 1806 www.wg-ci.com 1807 World Management International Greece unauthorized subject Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information World Trade Institute Office UK: Austria unauthorized subject Phone +43 (0)1/24 959 5106 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 1808 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] Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information WorldSpreads Limited 29 rue de Bassano 75008 Paris France The special tel.:+33153456200 administration procedure opens on 18 March 2012, so the ACP and the AMF urge clients of the branch to contact 1809 KPMG LLP at worldspreadsenquirie s@ kpmg.co.uk or by phone on +44 20 3284 8829.
Worldwide Forstock Ltd ASB Bank Centre - Level 20, 135 Albert Street, Auckland unauthorized subject www.a-tvp.si 1810 1010, New Zealand www.firstfreebank.com Slovenia Worldwide Investors Portfolio Canada Square, Canary Wharf, London E14 5LQ, United United unauthorized subject www.fsa.gov.uk Kingdom Kingdom 1811 Hopewell Center, Queens Road East, Hong Kong www.worldwideinvestmentsportfolio.com Worldwide Research Group Stephanie Square Centre, 106 Avenue Louise 65, 1050 unauthorized subject [email protected] 1812 Brussels www.worldwiderg.com Belgium Worldwide Risk Consultants 1 Canada Square United unauthorized subject www.fsa.gov.uk Canary Wharf Kingdom London 1813 E14 5AB UK www.worldwideriskconsultants.com WWI Group Corp Ave Ricardo J. Alfaro, The Century Tower, Panama unauthorized subject www.a-tvp.si 1814 www.wwicorporation.com Slovenia Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information 1815 www.altainvest.info Slovenia unauthorized subject www.a-tvp.si 1816 www.apolloglobalsecurities.com Austria unauthorized subject www.fma.gv.at www.bforex.com / BFOREX Limited France offers to trade on Tél. : 01.53.45.58.71 - Fax : www.gcitrading.com / GCI Financial FOREX through 01.53.45.58.70 Limited websites for which it [email protected] www.nordfx.com/fr / Nord Group has not been possible Investments Inc to clearly identify an www.xforex.com / Ultimass Global authorised investment Holding Inc services provider www.alpari-fr.com / Alpari NZ Limited 1817 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 Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information www.bforex.com / BFOREX Limited France offers to trade on Tél. : 01.53.45.58.71 - Fax : www.gcitrading.com / GCI Financial FOREX through 01.53.45.58.70 Limited websites for which it [email protected] www.nordfx.com/fr / Nord Group has not been possible Investments Inc. to clearly identify an www.fxcast.com / Surplus Finance SA authorised investment www.instaforex.com/ InstaForex services provider Companies Group 1818 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
1819 www.comisionesbroke.net Spain unauthorized subject www.cnmv.es 1820 www.depahofx.com Cyprus unauthorized subject www.cysec.gov.cy www.forextotal.es Cam. Beteluri 2 Esc. Un A, B, 48903 Barakaldo (Vizcaya), Spain unauthorized subject www.cnmv.es 1821 Spain 1822 www.gestionforex.com Spain unauthorized subject www.cnmv.es www.guardian-sec.com Malta An unknown company Malta Financial Services using www.guardian- Authority sec.com to clone the Tel: +356 21441155 name of Direct: +356 25485386 1823 Guardian Securities Email: Ltd, a Category 1A [email protected] Licence Holder .mt Web: www.mfsa.com.mt 1824 www.inversionesyfinanzas Spain unauthorized subject www.cnmv.es www.vivodelabolsa Calle Rafael Alberti 41 2C, 29120 Alhaurin el Grande, unauthorized subject www.cnmv.es 1825 Malaga Spain Public Warnings - Securities Dealers
The Data as of September 7, 2018 Country No. forwarding Name Address warnings Reason Detailed information XR-Group Lippo Centre, Tower 2, 89 Queensway, Admiralty, Hong Austria unauthorized subject t.č. +43 (0)124959-5106 1826 Kong Belgium www.cbfa.be
XTM Group Roppongi Tower 7-10-2, Roppongi Minato Ward, 106-6155 Norway unauthorized subject www.finanstilsynet.no 1827 Tokyo, Japan www.xtm-group.com Yakamato Investments 8F Lila Hirjizaka 3-410, Mita Minato-ku, Tokyo 108 0073, United unauthorized subject www.fsa.gov.uk 1828 Japan Kingdom www.yakamotoinv.com Yamaguchi Partners Global Head Office 16F Seiroka Tower 8-1, Akashi-cho, Chuo-lu, 104-6591 Austria unauthorized subject www.fma.gv.at 1829 Tokyo, Japan Norway www.finanstilsynet.no www.yamaguchipartners.com YAMATO ASSET MANAGEMENT CO www.yamatoam.com United unauthorized subject www.fsa.gov.uk 1830 LTD Kingdom
Yellowdale Malta unauthorized subject Malta Financial Services Authority Tel: +356 21441155 Direct: +356 25485386 1831 Email: [email protected] .mt Web: www.mfsa.com.mt Yorkshire Capital Floor 19, 9 Queen's Road, Central Hong Kong. Sweden unauthorized subject www.fi.se/warning 1832 www.yorkshirecapital.com Young Chow Feng Corp. Ltd. Huadong, Jiangyan unauthorized subject www.fi.se/warning 1833 New York, NY 10286 Sweden 1834 Zammit Financial Management Group Cyprus unauthorized subject www.cysec.gov.cy