Enforcement

Related information

Shareholder warnings

The template below can be used by listed firms in shareholder mailings.

Template [PDF]

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.

Compensation Guidance

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.


Last firms added - 5/3/10 (shown with an asterisk *)

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
Abacus Marketing Services
Aberdeen Langley
Ace Financial Management *
ACI Financial Markets Association
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)
Alderman Associates Ltd.
Alexander Holdings / Alexander Holdings Financial Group
Alexander Rothko Associates
Allen Brothers M&A
Allen Hall
Alliance Capital Management
Allied Advisory
Allied Lucent
Allied Partners Financial
All Settlements Inc.
Alpha Financial Solutions
Alpha Invest
Alpha Securities (currently representing itself as Alpha Finance)
ALV Group
Alverton International Consultants
Ambro Investment Research
AMG Capital Partners
AMG Capital Partners Ltd
AMG Zurich (also known as Associated Management Group)
Amherst International
Andaman Asset Management
Anderson & Collins
Anderson Fitzpatrick (Switzerland) AG
Anderson Price
Anderson-McCormack Group SL
Andrew Clayton Advisors (sometimes known as Andrew Clayton Partners)
Anglo American Asset Management Ltd
Anglo Swiss Consulting
Anne's Diary
Anoli Capital International Inc.
Anthony & Carter
Apex Consulting Online
Apex Management Limited
Applied Finance Group (AFG)
ARC Capital Consultants
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
Attlee Wurth
Atwood & James SA Inc
Aurum Astrum AG
Avery Kingston Capital
Avensisforex
Axiom International

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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
Barringer & Co.
Barringtons Asset Management Limited
Barrington Securities
Basic Investments Ltd
Bauer & Weiss Associates
Bauer Associates
Bauer Weiss
Bayer Investments
Bayside Equity Group
BB & E Consultants LLC
Bearing Management
Becker Chapman Asset Management
Becker Finch & Waldman
Beijing International Finance Group
Bell International Asset Management
Belmont Shaw and Associates
Bench Group (The) aka Bench Group Options
BenjaminFisher SL
Benjamin Tate Associates
Berkeley Connect
Berkeley Financial Limited
Berkley Murray Securities
Berkley Wyatt
Berkovic Consultants
Berkshire Tax Consultants
Berrington Stone
Birchfield Consultants
Bishop & Parkes Advisory

Black & White Investments
Black Diamond Equity Group
Blackstone Securities Ltd
Blacksea Investment Ltd
Blakemore 66 Group
Blackwell Advisory
Blackwell Capital
Blanc and Baumar
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
Bradley Hill Holdings
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
Bridgeway Group International
Britannia Swiss Equities
Broadgate Research
Brookfield Partners
Brooks & Smith
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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Cadogan United Securities
Calderton Capital Partners
Cambridge Global Inc
Cameron McDonald & Co
Cantwell International
Capgemini US- www.capgeminilaw.com
Capital Asset Management
Capital Concept Investment
Capital Gain Investments
Capital Investment Group

Capital One Management Inc
Capital Partners
Capital Swiss Partners
Capital Venture
Capitol Hill Group

Carlton Birtal Advisory Services SL
Carlton First Capital Group Ltd
Carlton Global Management
Carlton Webber

Carter James SL
Carter Sinclair
Cash In Your Pension
Cathay Asset Management
CD Equities
Centurian Protection LLC
Certified Financial Consultants Inc
Chamberlain and Co.

Chamberlin Management Inc
Chapman Butler LLC

Chapman Foster Group SL
Chapman Mediation Group, Inc.
Charles Drake Associates
Charles Hirsch Capital Management, Inc.
Charles Wurth Associates
Charlton Hayfield & Co
Chase Global Securities
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
Churchill Brewin Associates
CISA SL Corporate Investment Services
Citicap Equity Consultants S.L
Citadel Group International
CK Investments

Clarington Group (The)
Clarity Market Resources

Clarkson Gordon Ltd
Clean Planet Investments

Clifton Financial Services
Clinton King
Clinton Parker Inc.
CL Investing
CLS Consultancy
Cohen Green Advisory
Cohen & Partners
Cohen Dressner

Cohen Edwards Asset Management
Cohen Hayward International
Colby Mergers
Coleman Brothers
Coleman Kleinfield & Associates
Collett Quinlan M&A
Collins and Bell
Collins Capital Management
Collins Tate & Murchison
Colony Capital Associates
Columbus Advisory
Commodore Asset
Companies West
Condor Research
Conquest Mergers
Continental Administrative Services
Cook Capital Partners
Coopers & Lybrand Law
Cornerstone Partners
Cornhill Management SL
Corum Financial Group
Coutts Investment Group

Crandale Group
Crane and Sterling
Crazy Diamond
Crest Asset Management

Creston & Childs
Crestwell Analysis
Crickmore & Lutz
Cromwell & Pierce International
Crosby Capital Partners
Crown Fidelity
Crown ING Group
Crown Lancaster Equities
Crown Point Mergers & Acquisitions Limited
Crystalix London Ltd
Curzon Peters
Cushman Corporation
Cyrrus Capital
Cyrrus Capital Ventures
Cyrus Rushwood & Associates

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Damak Group
Darier Asset Management
Darwin Investments
Dauphin Asset Europe
Davenport & Co.
Dawson James Securities
Delmont Wealth Management
Delta Group, LLC
Delta Liaising
Delta Trade Financial Group
Dempster, Hampton & Duke
DG Schilling
Diamond Asset Management
Direct Settlements pte Limited
Diversified Reclaim Services
Dolan Corporate Equity Solutions Inc.
Dolphin and Bradbury
Donavan & Yung Partners
Douglas Ellis Inc
Douglas St James
Dragon Partners Inc
Drake Investment Group
Draven Mier Associates
Dreyfus Corp
Dufresne and Andy
Dunbar Mackenzie

Dunhill Capital
Dunleavy Investment Ltd

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E1 Asset Management

Edenbourg Advisory Services

Edward Tate

Elliot Price & Associates
Elliott & Partners Advisory (HK) Limited
Ellis Capital Management
Emerging Equity Group
Emerson Grant Asset Management
Emerton Financial Services
Empire Compliance
Empire Financial Group
Empire Investments (based in Luxembourg)
Empire Financial Group
Energy Capital Partners
England Foriegn Exchange (www.efxco.com)
Enterprise Analytics Inc
Equity Connections LLC
Equity Management Consultants International (EMC International)

Equity Research Group
Ernest Goodman
ERP & Associates
Esquela Investments Ltd
Euro Advisory

EuroAtlanticTrading.com
Europa Asset Management
Europa Capital Management
Europa Equity Services
European Capital Partners
European Equity Management
European Investment Group
Euroswiss Settlements Limited

Eurotraders

Evergreen Equity
Executive Group
ExTrader (Exxtrader.com)

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Fairchild Holdings and Advisory Firm
Fairchild Pierce
Fairchild Roth Financial Inc
Falon Group Ltd
Fare Inc

Fernvale Associates
Fidelity
Fidelity Capital Research
Fiduciary International Services

Fielding Clifford
Finallianz
Finance Continental Corporation
Finance Continental Inc
Financial Investment Solutions
Financial Media Group
Finanzas Forex

First Chartered Capital Corp / First Colonial Trust
First Commodities Limited (incorporated in British Virgin Islands)

First Euro Alliance a/k/a "Euro Alliance"
First Eurozone
First International Equity & Acquisitions Inc
First Mutual Financial Group
First Prime Group
First Williston Group/Corporation
Fleetwood Associates
Flemming Advisory
Focus AIM
Forbes First Financial Corporation
Fordham Financial Management
Forst Finance

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
ftse100trading.com
Fu Yee To Capital Group Limited
FX Global Markets

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Gap Associates
GAP International Services
Garrard Associates
Gatemoor Securities Inc
Gatemore Securities
Gateway International
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 Equities Partnership
Global Financial Management
Global Growth Acquisition
Global International Trading
Global Investment Advisors
Global Investment Consultants
Global Link Mergers and Acquisitions
Global Market Consultants
Global Micro Finance
Global Quest Emerging Fund LP
Global Stox
Global Wealth Management
Global Wealth Partners PLC
Globe Trade Services
Globex International Group
Globex Partners
Global Trading Center
Global Ventures Capital Partners
Globeshare
Globus Trust Limited
GMM Group plc
GMA Advisory Services Inc.
Godwynn International
Goldberg Kravitz (now known as Union Partners SL)
Goldburn Management
Goldfield Consultants
Goldman and Ross
Goodman Management Associates
Goodman Stern
Goodwin Capital Management (Based in Korea)
Gordon Marks Capital
Gotthard Capital Partners
GPS Oil
Grandby Trading Investment Corporation
Grand Capital Limited
Grayson House AG
Great Eastern Securities Inc.
Green Machine
Greenwich Equities Consulting
Greenwich Trust Ltd
Green World Solutions Ltd.
Gresham Associates
Greyson Management
Growth Management Capital
GS Anguilla
GS Asset Management
GS Equity Group (trading name of Hodgson Brown Ltd)
GS Holdings International
Guardian Asset Management
Guardian Partners LLC
Guardian Worldwide
Gulf Building Society
Gun Allen Financial Corp


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H&H Financial Services *

Hachiro Mergers & Acquisitions
Hadley's Private Advisory
Hamlinton & Goldberg IA
Hamilton Asset Management (based in Spain)
Hamilton Associates
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
Harold Samuel Worldwide Services
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 (also known as Harvey Baxter Asset Management)
Harvey Capital Partners
Hawke Asset Management
Hawkes Barratt Rossi Trading a/k/a HBR Trading
Hawkins and Hawkins PL International Escrow
Hayward Clarke Financiers
HC Consultants SL
HCG International
Heartford Capital Management
Heinz Hokkaido International
Hemmingway Asset Management
Henderson & Rockwell Advisors
Henderson Capital Group
Henderson Young
Henley Consulting
Heritage Mergers & Acquisitions Ltd
Hirshall Group

Hilton Advisory (based in Germany)
Hitit Capital
Holland & Leaf Advisory/Holland Leaf

Hoffman Philips SL
Hollinger Newcastle
Homeland Protection LLC
Hopewood & Company

Hopkins, Pierce & Co Limited
Horizon Capital
Howell & Johnson Associates
Howell Schine & Co
Hubert Child ACI
Hudson Asset Management
Hughes Partners
Hugo Nue Corporation
Hunter Rowe Financial
Hutton Associates

Hyda Florsbanc
Hydrogain Technologies Inc

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IAZ & Partners
IGM International
IGM Securities
IMS
Inca Pacific Gold & Mining
Insta Trade Inc

Integra Advisory Group
Interactive World Trading Ltd
Intercap Management Group
Intercontinental Forex Services - www.intercontinentalfx.com
International Business Advisors
International Consulting Services
International Digital Sports Technologies
International Equity Advisors Inc.
International Finance Group
International Options Trading (PTY) Ltd
International Stock Transfers Bureau
International Wealth Management
International Zurich Group, (also known as Internationale Zurichgruppe)
Investex Corporation Limited
Investor Pro Net
Investor Relations Corp
Investor Relations Group
Investors Group International
Investors Management Services
Investor Tec (Geneva, Switzerland)
Invicta Advisory Services

IPH Properties (iphproperties.com)
IRS and Partners
Irvine Financial Intermediaries LLC
Irwell Advisors
Isaac Kline Securities

ITB Group
Ixis Capital Group

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Jackson Cole Investments
Jacobs & Burns

Jacob Stern
Jacob Stuart & Knight
Jackson Bernstein Associates
James Marketing Ltd
Jardine McKenzie
Jardine Windsor Asset Management
Jarvis Capital Management
Jefferies Associates
Jefferson Carter
Jefferson Clark Associates
Jefferson Holt Consulting
Jefferson Hunt

Jefferson Management (aka Franklin Asset Management)
JD Gordon Ltd
JLM Securities
Johnson & Brown
Johnson Matthews Associates
J.P. Stuart and Associates
JR Hoffman and Associates
J Rowan Associates
JS Knight & Co. Limited
Jubilee Financial
Jupiter Capital Research
Jupiter Financial Management
Jupiter Wealth Management
Juvet Management

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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
Keswick Group
Kingsmead Private Equities
Kingsway Financial Group Inc
Kirkland Lee
Kirkwood & Wells
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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Laidlaw Asset Management
Lambert Macmillan Corporation
Lamont Group International
Lance Global Solutions
Landmark Trade Services Limited
Langdon Group
Langhorn Group
Langley Advisory Services AG
Laurus Capital Group
Lease Corporate Advisory
Ledge Goodman
Legacy International
Legend Merchant Group
Lehman Brothers Associates
Lendorf Alliance
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
Litchfield Enterprises, Inc.
Livingston Mergers and Acquisitions
Livingstone Asset Management
Lloyd Stanley (based in Switzerland)
Lloyds & Lambert Capital Ventures
Lombard Grand Inc
London Equities
London McFee Investments (www.londonmcfeeinvestments.com; www.londonmcfeeinvestment.com)
Lowe & Lane Asset Management
Lox International Group
Lucano Holdings Plc (aka Lukano Holdings Ltd)
Lyndon Pearce
Lynx McKenzie Inc.

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Mac and Ivan Solicitors
Macao Management
M&A Alliance Group
M & A Global group
Macmillan Frasier
Madison and Silver Asset Management Inc
Maitland Bell & Co
Maganura Mergers & Acquisitions
Mannix Mergers & Acquisitions
Marcelo Belgrano Ledesma Abogados Ltd

Market Access Group
Marketing Services International
Marriott & Lloyds

Marshall Eastman Advisory
Marshall Lambert Group
Marshall Stanwick
Masahiro International
Masaru Associates
Matheson Lloyd
Matterhorn International
Matthews & Meyer Capital Wealth Management
Maxson & Associates Securities Ltd.
Maxon Capital Limited

Maxwell Fleming & Associates
McCarthy & Bennett

McKenzie Goldstein & Associates

McKenzie King Ltd
Medisys Corporation
Meissner Goodison Lee & Associates
Melrose & Greystone

Mercantilebanc Securities Inc
Mercantile Sterling Management

Mercier International Group (aka Ainsley Consulting SL) / Mercier asset Management Inc
Merkater International
M F Asset Management
Merger Law Ltd
Mid America Fulfillment
Midas Consulting Group
Milestone Management Limited *
Millennium Financial Ltd
Miller Bosses Acquisitions INC.
Milton Dewar Asset Management
Milton Hayward
Milton White Advisors
Minerva Management
Mitchell Finch International
Mitschka Alternative Advisory
MoneyRain Corporation Russia/ MRC Russia
Montague Stearn Advisory
Montgomery Schiller
Montgomery Tate & Associates
Morgan Capital Partners
Morgan Hurst
Morgan Financial Services
Morgan Philips Advisory
Morgan Soloman Inc
Morgan Stern Group
Morgan Young Financial Consultants
Morris & Kent
Morrison Cross Financial Investments Ltd
Morrison Douglas
Mount Royal Investments
Myers & Bruning Associates
Myers Bruning Associates
Muller Lacroix Consultancy
Murdoch Finch Associates


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Nakamishi Financial Inc.
Nationwide Mergers and Acquisitions

Nest Acquisitions and Mergers

Network Capital Partners
New Alliance Capital Management
New Asia Business
Newbridge International
Newedge Broker Ltd
Newman Bell Mergers & Acquisitions
New Power Technology Ltd ("NPT")
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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Oakmont International LLC
Oceanic Equities
Okamura Asset Management
Olin Solutions
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
Oracle Equity Management
Oxburgh & Palmer
Oxbridge International Limited

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Pacific Capital Trading Ltd
Pacific Federal SA
Pancisco International Ltd aka Pancisco Int Inc aka PIFX

Pan European Investment Management

Pan Pacific Financial
Panama City Capital Corporation
Papillion Associates
Paradigme Solutions
Park Lane Financial
Parker Forrester

Parker Lane
Parker Monroe Associates

Parker Rowe
Partners Investment Network (www.partnersinvestmentnetwork.com)
Pearl Associates
Pearlman & Sinclair
Penn Capital Management Ltd
Peregrine Capital Management Limited

Perlman-Haas Associates

Perpetual Suisse
Perrin Holden & Davenport Capital
Perrin, Holden & Davenport Capital Corporation
Peter Church Consulting (said to be based in Brussels)
Peterson & Jones Associates
Peterson and Rothschild
Peterson McCormack Associates
Peterson, Paton & Edwards Capital
Phi Alpha Holdings
Philip Equity Management
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 Associates
Platinum Funds Management
Platinum Index
Platinum International Investments Inc
Platinum Management Inc

Platinum Placements Management
Polaris Trading Partners
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
Price Stone Group

Prime Forestry
Priority Venture Management
Provident Capital Indemnity
PROFIDEX
Property Gains Management Poland SP Zoo
Property Gains Management SL
Provident Capital pte Ltd
PureInvestor.com Inc

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Quantex Trading
Quest Commodities Ltd

Radisson Venture Capital
RBG Finance
Red Brick Capital Corporation
Redwood Capital Consultants Limited
Reed Johnson International
Reed Johnson International Inc.
Regency Advisory Group (Regency AG)
Regency Equity Consulting
Regency Exchange Board
Reichman Advisory SL
Rementon & Fitzgerald
Reynolds Group Limited - reynoldsfinance.com
Richard Blendmonde
Richard Watson Associates
Richmond Analysis
Richmond Capital Management
Richmond International
Richmond Royce Advisory Services S.L.U.
Ridgewell Capital Markets
Rifkin Weiss

RJL International Limited
Robinson Hurst
Rose & Cranfield
Rosenthal Collins Foreign Exchange (UK) Limited
Rossford Mergers & Acquisitions

Roth Group GmbH (The)
Rothman Capital
Rothman Goldstein
Royal Assets and Research
Royal Asset Management of Canada
Royston Hobbs
RTS Advisory Group
Rubens Gold & Myer
Ruluso Holdings Ltd
RVC Markets
RV Corporate, or RV Corporate Finance (also known as RVC Markets)

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SAGI (Securities Advisory Group International)
Sakuma Group
Sauer Rayson International
St James & Thatcher Associates

St. James Asset Management/St. James Associates(www.sjassetmanagement.com)
St. James Partners (www.sjassetmanagement.co.uk)
Schneider Wolfe Alliance
Schoefer Davis Limited
Schotts Capital Managements
Schreiber & Gruenberg Partnership Limited & Co. Beteilingungs KG
Schroeder Wahlberg
Scott Fitzgerald Group
Scottsdale Future and Options
Secure Wealth Management
Securities Associates Group
Securities Management Research (based in Manhattan, USA)
Security Advisory Group
Seisma Oil Research LLC
Sentinel Trading Investment Corporation
S G Financial
SGI Investments
Shanghai Capital Group Inc.
Shanghai Wang Venture Inc.
Siegar Private Limited
Sigma Asset Management Ltd
Silverman International
Silverthorne and Chambers Inc
Simon Eastwood Asset Management

SKI 4 U SNC
Sloane & Rutherford
Smart Marketing Services
Smith and Gianni Partners

Smith Fairchild
Smith Financial UK
Smith Kearney M&A - www.smithma.com
Solomon Lloyd
Sophisticated Investor
Southern Cross Mergers & Acquisitions
Sovereign Pacific Inc
Spearmint Blue
Spectrum Acquisition Holdings

SpencerFerguson Financial Services/SpencerFerguson Wealth Management
Spencer Group
Spielberg Kraus Associates
SP Trade Investments Capital Limited

Standford Long
Stanfield Moritz Associates

Stanley Equities Investment Advisors

Stanley Riebeck Corporation
Stanmore Advisory Group
Stanton Berkley
Steed and Associates
Sterling Manhattan
Stockcom Tradez Inc aka www.stockcominc.com
Stoic Capital Management Inc
Strategic Corporate Services
Strategic Energy Partners
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
Suisse Life Securities
Sukumo Group
Sullivan Ross
Sullivan Investment Group
Summit Capital Management
Summit Mergers and Acquisitions (New York)
Sunwide Finance
Swiss Atlantic Securities AG
Swiss Capital Assets
Swiss Financial Group
Swiss Key Equity
Swiss Management Consulting
Swiss Trust Advisory
Switzerland Investment Group
Syndicate Group International
Synergy Commodities
Synergy Mergers & Acquisitions
Synergy Wealth

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Taiyo Financial
Takeshi Finance
Tana Corum Holdings
Tarquin Capital Management
Tate Rutherford
Taylor & Grant Associates
Taylor Bancroft
Taylor King & Associates
Taylor Hargreaves (Geneva, Switzerland)
Taylor Morrisson
Taylor Wilson International
Teikoku Commodities
Templar International
Templeton Consultants
The Ashton Lewis Group
The Bank Street Securities
theberkshirefund.com
theberkshire.net
The Birchmore Group
The First Shield LLC
The Research Group
The Roth Institute
The Settlement Group

Thibault Capital Markets
Thomas Cohen
Thomas & Hyde Consulting
Thomas and Stanley

Thompson Weinberg
Thomson Hill Group
Thompson Miller Group
Thomas Weisel Group Europe
Titan VC Zurich/TVC Zurich
Total Asset Management
Total Financial Limited
Trade Winners
Tradelinx Investments Limited/Tradelinx Securities Group
Transatlantic Group Mergers & Acquisitions
Transglobal Oil Corp
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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Union Partners SL (formerly Goldberg Kravitz SL)
Unified Investment Group Inc
Union Acquisition Group
Union Research
Union Wealth Management
Universal Management Services
Universal Partners
Univest Limited

US Capital FX
US Petroleum Holdings

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Van der Halen Equities
Van De Vries Partners
Vanderhoff Group
Vanguard FG International a/k/a 'VFG International'
Vanguard Financial Services
Vanzandt
Ventura Capital Partners Ltd
Vertex Commodities
Vertical Analysis (aka Analytics)
V Finance
Vision Commodities
Von Bismarck Global Investment Research
Voyager Investment Management

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Wainwright Research (Zurich)
Wakefield & Stern
Wakefield Lieberman
Wakefield Partners
Wakeford & Goodridge
Waldon McLean Associates
Walker Stone
Wall Street Organisation
Warren & Massey Asset Management Ltd., Inc
Warren Sitco & Company
Warrick Management Group Ltd
Waterhouse Scott Ltd
Wealth and Asset Planning
Weber Goldstein
Webster, Cohen & Galombik Inc
Weizman Associates
Wellington-Duke & Associates
Wellington Trading Group
Wellington Mergers & Acquisitions
Westcomb Capital Management
Westernfield Holdings
Western Royal
Westgate Capital Management
Westminster Group
Weston Chase
West Shore Ventures Limited
Wiess and Associates Ltd
Wilkin Associates
Wilkins Fairbrother
William Smith Partners
Willmont Financial SL
WindRiver Capital
Windsor Asset Management
Winthorpe Morgan Group
Woodbridge Investments Group (woodbridgeinvestmentsgroup.com)
Woods and Sheldon
World Blue (Cyprus) Limited
World Capital Group
World Capital Securities
World Market Resources
World Trade Financial Corporation
Worldwide Bio Refineries
Worldwide Limited
Worldwide Research Group
Worthington Financial Group
W R Bainbridge

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Yamato Associates
Yee Seng Global
York & Williamson

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Zen Investment
Zenith Commodities
Zimmerman Consultants
Zurich Capital Gruppe

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See also

Unauthorised firms / individuals
This lists the names of some firms and/or individuals who are not approved or authorised by the FSA to conduct regulated activities.

Unauthorised internet banks
This list contains the names of entities promoting themselves over the internet and purporting to be banks and/or offering banking-type services, however none are authorised by the FSA.

Notices/warnings issued by other foreign regulatory authorities
This is a list of notices/warnings issued by other foreign regulatory authorities regarding firms conducting unauthorised business in their jurisdiction.