The Financial Services and Markets Act 2000 (FSMA) sets out one of the FSA’s regulatory objectives as protecting consumers.
This warning list includes unauthorised overseas firms that the FSA has received complaints about in respect of their activities and/or the FSA has reason to believe they are involved, or have been involved in, activities that contravene section 19 and/or 21 of FSMA.
Such firms are often involved in ‘boiler room’ activities and pose a high degree of risk to consumers. They frequently engage in tactics including cold-calling members of the public offering shares that later turn out to be worthless or high risk. The callers can be very persistent and extremely persuasive. If you are cold-called by an unauthorised overseas firm in relation to stocks or shares, you should be extremely careful. If you are contacted in such a manner, the FSA advises that you simply terminate the telephone call – the most effective protection against such unauthorised firms is to have nothing to do with them.
The list of unauthorised firms is by no means exhaustive as new names are regularly added. The absence of a firm’s name does not necessarily mean they can be safely dealt with. Consumers need to be aware of the dangers that are posed by such unauthorised entities.
Further guidance and information on the dangers posed by such firms can be found on Moneymadeclear.
If you have been contacted by an unauthorised overseas firm, it would be of assistance to the FSA if you would provide some information on your dealings with that firm by completing our on-line reporting form.
| Unauthorised overseas firms |
A B
C D E F
G H I J
K L M N
O P Q R S
T U
V
W X Y
Z |
1st Columbus Management
A3 Union
Aberdeen
Langley
Acorn Consulting
Acorn Investments
Advantage
IEC
Advies Business Invest BVBA
Aims Management
Ainsley Consulting SL (now known
as Mercier International Group)
Alberich Gerhard Securities Wordwide (aka A G Securities)
Alexander Holdings /
Alexander Holdings Financial Group
Alexander
Rothko Associates
Allen Brothers M&A
Alliance Capital Management
Allied Advisory
Ambro Investment Research
Amherst International
Andaman Asset Management
Anderson & Collins
Anderson
Fitzpatrick (Switzerland) AG
Anderson Price
Anderson-McCormack Group SL
Anglo American Asset Management Ltd
Anglo Swiss Consulting
Anne's Diary
Anoli Capital International Inc.
Apex Management Limited
Arcfin Group
Argus
Global Equities Limited
Arthur Forbes Consulting
Ascot Management Group
Ashby Limited
Ashford Langley - ashford-langley.co.uk
Ashley Partners Mergers & Acquisitions
Ashton Young and Associates
Asian Foreign Securities and Compliance Department
Asprey Associates
Associates Financial Advisors
Aston Capital (based in Frankfurt)
Aston Rowe Consulting
Atlantic Capital Management
Atwood & James SA Inc
Aurum Astrum AG
Avery Kingston Capital
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to top |
Baecker Dresner Saltzmann
B
A Gelman
Bachmann Roth Advisory
Bagnestone
Bailey and
Bennet Mergers and Acquisitions
Barclay Hoffman
Barrett and Packer
Barrett Associates
Barrington-Lynch
Barringtons Asset Management Limited
Barrington Securities
Bauer Associates
Bayer Investments
BB & E Consultants LLC
Becker Finch & Waldman
Bell
International Asset Management
Belmont Shaw and Associates
Bench Group (The) aka Bench Group Options
BenjaminFisher SL
Benjamin Tate Associates
Berkeley Financial Limited
Berkley Murray Securities
Berkley Wyatt
Berkovic Consultants
Berkshire Tax Consultants
Berrington Stone
Birchfield Consultants
Bishop & Parkes Advisory
Black
& White Investments
Blackstone Securities Ltd
Blakemore 66 Group
Blackwell Advisory
Blackwell Capital
Blossom Hill Investments
Bluehill Capital Venture
Bluestar Management
Blue Nile Consulting
Blue Source Strategies
Blundell Oliver
Boska Settlement Corporation
Boulton Capital Partners
Boulton Price International
Boyd & Landis M&A
Bradley
Chen & Associates
Bradstone Healy & Pratt
Braun & Bridgewater Corporation
(aka BBGC Corporation)
Breakthrough Venture Partners
Brecon Global
Bremer Financial Limited
Brentwood
Hall
Brentwood Trust Company
Breslan
Allied Limited
Bridgestone Trading
Brookfield Partners
Brown Brothers Harriman (NOT the authorised firm Brown Brothers Harriman)
Brunswick Knight
Bull & Bear Advisory
Burlington Ltd
Butterfield Advisors (based in New York) (butterfieldadvisors.com)
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to top |
Cadogan United Securities
Cambridge Global
Inc
Cameron McDonald & Co
Cantwell International
Capgemini US- www.capgeminilaw.com
Capital Gain Investments
Capital One Management Inc
Capital Swiss Partners
Capital Venture
Capitol Hill Group
Carlton Birtal Advisory Services
SL
Carlton First Capital Group Ltd
Carlton Global Management
Carter James SL
Cathay Asset Management
Certified Financial Consultants Inc
Chamberlain and Co.
Chamberlin Management Inc
Chapman Butler LLC
Chapman Foster Group SL
Charles Drake Associates
Charles Hirsch Capital Management, Inc.
Charles Wurth Associates
Charlton Hayfield & Co
Carlton Webber
Charterhouse
International Inc./ Kensington Price Consulting
Chadwick Seymour & Associates
Charinton Group GmbH (The)
Chartwell Financial Services
Chesterfield Financial Associates
Chesterfield Partners
Chicago Board of Acquisitions Inc
Chilton reese & Associates
CISA SL Corporate Investment Services
Citicap Equity Consultants S.L
Citadel Group International
CK Investments
Clarington
Group (The)
Clarkson Gordon Ltd
Clifton
Financial Services
Clinton King
Clinton Parker Inc.
Cohen Green Advisory
Cohen & Partners
Cohen
Edwards Asset Management
Cohen Hayward International
Colby Mergers
Coleman Brothers
Coleman Kleinfield & Associates
Collett Quinlan M&A
Collins Capital Management
Collins Tate & Murchison
Condor Research
Conquest Mergers
Continental Administrative Services
Cornhill Management SL
Crandale
Group
Crane and Sterling
Crest Asset Management
Creston
& Childs
Crestwell Analysis
Crickmore & Lutz
Cromwell & Pierce International
Crosby Capital Partners
Crown Fidelity
Crown Lancaster Equities
Crown Point Mergers & Acquisitions Limited
Cyrrus Capital
Cyrrus Capital Ventures
Cyrus Rushwood & Associates
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to top |
Damak Group
Dawson James Securities *
Delta Group, LLC
Delta Liaising
Delta Trade Financial Group
Dempster, Hampton & Duke
DG Schilling
Direct Settlements pte Limited
Dolphin and Bradbury
Donavan & Yung Partners
Douglas
St James
Draven Mier Associates
Dunbar Mackenzie
Dunhill Capital
Dunleavy Investment Ltd
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to top |
E1 Asset Management
Edenbourg Advisory Services
Edward
Tate
Elliot
Price & Associates
Elliott & Partners Advisory (HK) Limited
Emerging Equity Group
Emerton Financial Services
Empire Compliance
Empire Investments (based in Luxembourg)
Empire Financial Group
Enterprise Analytics Inc
Equity Management Consultants International (EMC International)
Equity
Research Group
Ernest Goodman
Esquela
Investments Ltd
Euro Advisory
EuroAtlanticTrading.com
Europa Asset Management
Europa Equity Services
European Investment Group
Euroswiss Settlements Limited
Eurotraders
Evergreen Equity
Executive Group
ExTrader (Exxtrader.com)
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to top |
Fairchild Holdings and Advisory Firm
Fairchild Pierce
Fairchild
Roth Financial Inc
Fernvale Associates
FIBO Group
Fidelity Capital Research
Fielding Clifford
Finallianz
Finance Continental Corporation
Finance Continental Inc
Financial Investment Solutions
First Chartered Capital Corp
/ First Colonial Trust
First Commodities Limited (incorporated in British Virgin Islands)
First
International Equity & Acquisitions Inc
First Eurozone
Fleetwood Associates
Flemming Advisory
Focus AIM
Forbes First Financial Corporation
Franklin Asset Management (aka
Jefferson Management)
Franklin York
Fraser
Hunt Levine
Frazer Kennedy
Frazer White Group
Fridman, Koch and Saul (aka Cambridge Global
and Amhers International)
Friedman Schnaier & Associates
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|
GAP International Services
Garrard Associates
Gatemoor
Securities Inc
Gatemore Securities
Gemini Mergers and Acquisitions
Geneva International Finance Group (UK) Ltd
GICE Securities
Global
Administrative Providers Inc
Global Advisory Group
Global Capital Equities
Global Clearing Services
Global Equity Management
Global Investment Advisors
Global Link Mergers and Acquisitions
Global Market Consultants
Global Micro Finance
Global Stox
Global Wealth Management
Global Wealth Partners PLC
Globe Trade Services
Globex International Group
Global Trading Center
Global Ventures Capital Partners
Globeshare
Globus
Trust Limited
GMA Advisory Services Inc.
Godwynn International
Goldberg Kravitz (now known as Union Partners SL)
Goldfield
Consultants
Goldman and Ross
Goodman
Management Associates
Goodman Stern
Goodwin Capital Management (Based in Korea)
Gotthard Capital Partners
GPS Oil
Grandby
Trading Investment Corporation
Grayson
House AG
Great
Eastern Securities Inc.
Greenwich Trust Ltd
Green World Solutions Ltd.
Greyson Management
GS
Anguilla
GS Asset Management
GS Equity Group (trading name of Hodgson Brown Ltd)
GS Holdings International
Guardian Partners LLC
Guardian Worldwide
Gulf
Building Society
Gun Allen Financial Corp
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to top
|
Hachiro Mergers & Acquisitions
Hadley's Private Advisory
Hamlinton & Goldberg IA
Hamilton Asset Management (based in Spain)
Hamilton Hastings & Associates
Hamilton Pierce
Hampton Lloyd
Hamiltons Financial Services SL
Handel Ross Advisory
Handle and Case
Hannover
Markka Capital
Hanover Holdings
Hanson Cooper
Hargill
& Black Associates
Hargreaves Brennan
Harman Stockwell and Partners
Harper Mills and Paige Inc
Harrington Advisory Services/Harrington Advisory,SL
Harrington Kilbride
Harrington Lloyd
Harrington Management Ltd
Harrison Gibb
Harrop, Lees, Brown & Co
Hartford Management Group
Harvey and Baxter Asset Management
Hawkes Barratt Rossi Trading a/k/a HBR Trading
Hayward Clarke Financiers
HC Consultants SL
HCG International
Heartford Capital Management
Heinz Hokkaido International
Hemmingway Asset Management
Henderson & Rockwell Advisors
Henderson
Young
Henley Consulting
Heritage Mergers & Acquisitions Ltd
Hirshall Group
Hilton Advisory (based in Germany)
Hoffman Philips SL
Hollinger Newcastle
Hopewood & Company
Hopkins, Pierce & Co Limited
Howell & Johnson Associates
Howell Schine & Co
Hudson Asset Management
Hughes Partners
Hugo Neu Corporation
Hunter Rowe Financial
Hutton Associates
Hyda Florsbanc
Hydrogain Technologies Inc
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to top |
IMS
Insta
Trade Inc
Integra Advisory Group
Interactive World Trading Ltd
Intercap Management Group
Intercontinental Forex Services - www.intercontinentalfx.com
International Business Advisors
International Digital Sports Technologies
International Equity Advisors Inc.
International Finance Group
International
Options Trading (PTY) Ltd
International Wealth Management
International Zurich Group, (also known as Internationale Zurichgruppe)
Investex Corporation Limited
Investor Relations Group
Investors Group International
Investors Management Services
Investor Tec (Geneva, Switzerland)
Invicta Advisory Services
Irvine Financial Intermediaries LLC
Irwell Advisors
Isaac Kline Securities
ITB
Group
Ixis Capital Group
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to top |
Jackson
Cole Investments
Jacobs & Burns
Jacob
Stern
Jacob Stuart & Knight
Jackson Bernstein Associates
Jardine McKenzie
Jardine
Windsor Asset Management
Jarvis Capital Management
Jefferson Clark Associates
Jefferson Holt Consulting
Jefferson Management (aka Franklin Asset Management)
Johnson & Brown
Johnson Matthews Associates
Jupiter Capital Research
J.P. Stuart and Associates
JR Hoffman and Associates
J Rowan Associates
JS Knight & Co. Limited
Juvet Management
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to top |
K
P Allen Kammer, Stuartt Reed
Kauffmann & Associates
Kavanaugh
Kennedy & Company
Kennedy Anderson & Lang Inc
Kenshin Capital Services
Kensington Capital
Kent Financial Advisors Inc Kerona Trading Ltd
Kingsmead Private Equities
KLC Partners
Klein International
Klien Fisher (based in Geneva)
Kline Management Group
Knobel Lynch
Kobe
Securities International
Koffmann Hatherway
Koppel Levine Associates
Kudos Financial Investments
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to top |
Lambert Macmillan Corporation
Lamont Group International
Landmark Trade Services Limited
Langdon Group
Langley
Advisory Services AG
Laurus Capital Group
Ledge Goodman
Legacy International
Legend Merchant
Group
Leonard Merlin
Liberty Assets inc
Liberty First Financial Services
Liberty
One Advisors LLC
Limbaugh & York Associates
Lincoln & Ellis Asset Management
Lincoln Ventures
Linsure Holdings Inc.
Lion Equities Inc
Livingston Mergers and Acquisitions
Livingstone Asset Management
Lloyd Stanley (based in Switzerland)
Lloyds & Lambert Capital Ventures
Lombard Grand Inc
Lowe & Lane Asset Management
Lox
International Group
Lucano Holdings Plc (aka Lukano Holdings Ltd)
Lyndon Pearce
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to top |
Macao Management
Madison and Silver Asset Management Inc
Maitland Bell & Co
Maganura Mergers & Acquisitions
Mannix Mergers & Acquisitions
Market
Access Group
Marriott & Lloyds
Marshall
Eastman Advisory
Marshall Lambert Group
Marshall Stanwick
Masahiro International
Masaru Associates
Matheson Lloyd
Matthews & Meyer Capital Wealth Management
Maxson & Associates Securities Ltd.
Maxon Capital Limited
Maxwell Fleming & Associates
McCarthy & Bennett
McKenzie
Goldstein & Associates
McKenzie King Ltd
Meissner
Goodison Lee & Associates
Mercantilebanc Securities Inc
Mercantile Sterling Management
Mercier
International Group (aka Ainsley Consulting SL) / Mercier asset Management
Inc
Merkater International
M F Asset Management
Midas Consulting Group
Millennium Financial Ltd
Miller
Bosses Acquisitions INC.
Milton Dewar Asset Management
Milton White Advisors
Minerva Management
Montague Stearn Advisory
Montgomery Tate & Associates
Morgan Hurst
Morgan Philips Advisory
Morgan Soloman Inc
Morgan Young Financial Consultants
Morrison Cross Financial Investments Ltd
Morrison Douglas
Mount Royal Investments
Muller Lacroix Consultancy
Murdoch Finch Associates
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to top |
Nakamishi Financial Inc.
Nationwide
Mergers and Acquisitions
Network Capital Partners
New Alliance Capital Management
Newbridge International
Newman Bell Mergers & Acquisitions
New York Financial Corp
Nexus Futures
Nivo
Invest and Trade Corp
Noble Investments and Securities SL
Norsk Financial
Northern Alliance Group
North Point M&A Advisors LLC
Norwich Capital Mutual Funds Limited
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to top |
Oakmont International LLC
Oceanic Equities
Okamura Asset Management
Omega Advisory Group (based in Munich and Geneva)
Omega Capital Management
Omega Equities
Omega Financial Services (based in New Jersey USA)
Opes Ingenium Group
OPM
Resources
Oxburgh & Palmer
Oxbridge International Limited
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to top |
Pacific Capital Trading Ltd
Pacific
Federal SA
Pancisco International Ltd aka Pancisco Int Inc aka PIFX
Pan European Investment Management
Pan Pacific Financial
Papillion Associates
Park Lane Financial
Parker Forrester
Parker
Lane
Parker Monroe Associates
Parker
Rowe
Pearl Associates
Pearlman & Sinclair
Perlman-Haas
Associates
Perpetual Suisse
Perrin, Holden & Davenport Capital Corporation
Peter Church Consulting (said to be based in Brussels)
Peterson McCormack Associates
Peterson, Paton & Edwards Capital
Phoenix (Mergers &) Acquisitions
Phoenix Asset Management SA
Phoenix Capital Partners
Phoenix Partners SL
Pioneer Equity Advisors
PICPAY or PICPAY.com
PIPS Financial Services
Platinum Asset Management (pty)
Ltd
Platinum Index
Platinum Management Inc
Platinum Placements Management
Polson and
Strong
Portland Advisory
Portland Capital Assets
Portman
Manaheim Group
Portsmouth Escrow Service LLC
Premier Asset Management LLC
Premier Equities Limited
Premium Placement
Prentice Capital Management
Prestige Asset Management (based in Luxembourg)
Preston Wainwright Asset Management
Price Worley
Price
Stone
Prime
Forestry
Priority Venture Management PROFIDEX
Provident Capital pte Ltd
PureInvestor.com Inc
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| Quest Commodities Ltd |
Radisson Venture Capital
Redwood Capital Consultants Limited
Reed Johnson International Inc.
Regency Advisory Group (Regency AG)
Regency Equity Consulting
Reichman
Advisory SL
Rementon & Fitzgerald
Reynolds Group Limited - reynoldsfinance.com
Richard Watson Associates
Richmond Analysis
Richmond International
Richmond
Royce Advisory Services S.L.U.
Ridgewell Capital Markets
RJL
International Limited
Robinson Hurst
Rose & Cranfield
Rossford Mergers & Acquisitions
Roth Group
GmbH (The)
Rothman Goldstein
Royal Assets and Research
Royal
Asset Management of Canada
Royston Hobbs
Rubens Gold & Myer
RVC Markets
RV Corporate, or RV Corporate Finance (also known as RVC Markets)
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to top |
Sakuma Group
St James & Thatcher Associates
Schoefer
Davis Limited
Schotts Capital Managements
Scott Fitzgerald Group
Security Advisory Group
Seisma Oil Research LLC
Sentinel Trading Investment Corporation
S G Financial
Siegar Private Limited
Simon Eastwood Asset Management
Silverthorne and Chambers Inc
SKI 4 U SNC
Sloane & Rutherford
Smart Marketing Services
Smith and Gianni Partners
Smith
Fairchild
Smith Kearney M&A - www.smithma.com
Solomon Lloyd
Southern Cross Mergers & Acquisitions
Sovereign Pacific Inc
SpencerFerguson Financial Services/SpencerFerguson
Wealth Management
Spencer Group
SP Trade Investments Capital Limited
Standford Long
Stanfield
Moritz Associates
Stanley Equities Investment Advisors
Stanley Riebeck Corporation
Stanmore Advisory Group
Stanton Berkley
Sterling Manhattan
Stockcom Tradez Inc aka www.stockcominc.com
Strategic Corporate Services
Strategic Investment Group
Stratford Advisory Services
Stein Banc Commerce
Steinberg Investment Research AG - www.sir-suisse.com
Steinbrueck Financial Services
Stein Fitzgerald Associates/Stein Fitzgerald Group
Stephenson Moore Consulting
Stockwell Investment Group
Stonewell Finance
Sukumo Group
Sullivan Ross
Summit Mergers and Acquisitions (New York)
Sunwide Finance
Swiss Atlantic Securities AG
Swiss Management Consulting
Swiss Financial Group
Swiss Trust Advisory
Syndicate Group International
Synergy Mergers & Acquisitions
Synergy Wealth
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to top |
Taiyo Financial
Takeshi Finance
Tana
Corum Holdings
Taylor Bancroft
Taylor King & Associates
Taylor Hargreaves (Geneva, Switzerland)
Taylor Morrisson
Templar International
Templeton Consultants
The Ashton Lewis Group
The Research Group
The Roth Institute
The Settlement Group
Thibault Capital Markets
Thomas Cohen
Thompson Weinberg
Thomson Hill Group
Thompson Miller Group
Thomas Weisel Group Europe
Titan VC Zurich/TVC Zurich
Total Asset Management
Total Financial Limited
Tradelinx Investments Limited/Tradelinx Securities Group
Transatlantic Group Mergers & Acquisitions
Trent Advisors
Trenton Hassel Investment Limited
Tresaderns & Partners SL
Tri Capital Management
Tricontinental Capital Corporation
Trident Market Advisors
Trinity Finance International
Trillium
Drake
Trinity Management
Troy Lansdowne
Trustnet International
Turquoise Development Company
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to top |
Union
Partners SL (formerly Goldberg Kravitz SL)
Unified Investment Group Inc
Union Acquisition Group
Universal Management Services
Universal Partners
Univest Limited
US
Capital FX
US Petroleum Holdings
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to top |
Van der Halen Equities
Van De Vries Partners
Vanderhoff Group
Vanguard Financial Services
Vanzandt
Vertex Commodities
Vertical Analysis (aka Analytics)
Vision Commodities
Von Bismarck Global Investment Research
Voyager Investment Management
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to top |
Wakefield & Stern
Wakefield Lieberman
Wakefield Partners
Wakeford
& Goodridge
Waldon McLean Associates
Walker Stone
Wall Street Organisation
Warren Sitco & Company
Warrick Management Group Ltd
Waterhouse Scott Ltd
Weber Goldstein
Webster, Cohen & Galombik
Inc
Weizman Associates
Wellington-Duke & Associates
Wellington Trading Group
Wellington Mergers & Acquisitions
Westcomb Capital Management
Western Royal
Westgate Capital Management
Westminster Group
West Shore Ventures Limited
Wiess and Associates Ltd
Wilkin Associates
Willmont Financial SL
WindRiver Capital
Windsor Asset Management
Woodbridge Investments Group (woodbridgeinvestmentsgroup.com)
Woods and Sheldon
World Capital Securities
World Market Resources
World Trade Financial Corporation
Worldwide Bio Refineries
Worldwide Research Group
Worthington Financial Group
W R Bainbridge
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to top |
Yamato Associates
Yee Seng Global
Back to top |
Zen Investment
Zenith Commodities
Zimmerman Consultants
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