Category: sept 2014 *UK* FCA warning LIST OF UNAUTHORIZED BROKERS

*UK* 2014 FCA UNAUTHORIZED BROKER AND FIRM LIST

This list was obtained from the official FCA website. 

Resource link: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=

Considering  this::  No of results your search returned: 3063    Total Pages: 613  It will take too long to copy all of them on to here! Please use the link above to access the page on the FSA site I copied them from. On that page you will be able to click on each name to view more information.

Below are the first 8 pages which covers from August 28, 2014- today, September 23 2014

__________________________________________________________

SEPTEMBER 2014

Loan Machine Limited (clone)

Published: Today   Last Modified : Today


InvestPoint (UK) Ltd

Published: Today   Last Modified : Today


RT Owens & Associates LLC

Published: Today   Last Modified : Today


WB Global Strategic Asset Management

Published: 19/09/2014   Last Modified : 19/09/2014


Martin Kessler (clone)

Published: 18/09/2014   Last Modified : 18/09/2014


Brooke Point Limited/ Broke Point Limited

Published: 17/09/2014   Last Modified : Yesterday


Hirsche Private Asset Management Ltd

Published: 17/09/2014   Last Modified : 17/09/2014


Watts Corporate Services LLC

Published: 17/09/2014   Last Modified : 17/09/2014


Kames Capital in association with Dean Foster Associates (clone)

Published: 17/09/2014   Last Modified : 17/09/2014


Capital Gearing Portfolio Fund (Clone)

Published: 16/09/2014   Last Modified : 17/09/2014


Griffin Advisors Limited

Published: 16/09/2014   Last Modified : 16/09/2014


Cenkos Global Securities (clone)

Published: 16/09/2014   Last Modified : 16/09/2014


Hudson Coe & Associates LLC

Published: 16/09/2014   Last Modified : 16/09/2014


Commodities Link

Published: 16/09/2014   Last Modified : 16/09/2014


Belfius Commercial Finance Limited (clone)

Published: 16/09/2014   Last Modified : 16/09/2014


GE Shaw Management Group

Published: 15/09/2014   Last Modified : 15/09/2014


DuPont Financial / DuPont FX / DP Global Services Ltd (clone)

Published: 15/09/2014   Last Modified : 15/09/2014


China Merchant Securities Limited (clone)

Published: 12/09/2014   Last Modified : 12/09/2014


The Right Loan 4 U (clone)

Published: 11/09/2014   Last Modified : 11/09/2014


Redbrook Motor Company

Published: 11/09/2014   Last Modified : 11/09/2014


Drummonds Initiatives

Published: 11/09/2014   Last Modified : 11/09/2014


LEM Spreads / LE Management Ltd

Published: 11/09/2014   Last Modified : 11/09/2014


GBL Financial Services Ltd (clone)

Published: 11/09/2014   Last Modified : 11/09/2014


Cash Direct UK

Published: 11/09/2014   Last Modified : 11/09/2014


Smith and Stanley Corporate Consultants

Published: 11/09/2014   Last Modified : 11/09/2014


Brookmore Partners/ Brookemore Partners/ Brookmoore Partners/ Brookmore Associates

Published: 11/09/2014   Last Modified : 11/09/2014


Jacob Johnson Consultancy

Published: 10/09/2014   Last Modified : 10/09/2014


Williamson Advisors Ltd

Published: 10/09/2014   Last Modified : 10/09/2014


Bauer and Associates / Bauer Consultants

Published: 10/09/2014   Last Modified : 10/09/2014


Carrington Group LLC

Published: 09/09/2014   Last Modified : 09/09/2014


Jacobs Buchanan Investment Advisors / Jacobs Buchanan Partnership

Published: 08/09/2014   Last Modified : 08/09/2014


PlusFN Ltd / +FN / Equity Sky Capital Marketing Limited

Published: 08/09/2014   Last Modified : 08/09/2014


Fredric & Formby / Fredric and Formby / Fredericks Ltd (clone)

Published: 06/09/2014   Last Modified : 06/09/2014


BAM Capital / BAM Forex (clone)

Published: 05/09/2014   Last Modified : 05/09/2014


Springer Asset Management

Published: 05/09/2014   Last Modified : 05/09/2014

Quick Finance

Published: 05/09/2014   Last Modified : 05/09/2014


Mitsubishi UFJ Financial Group Inc (Clone)

Published: 02/09/2014   Last Modified : 02/09/2014


Marcus KPO Services LLC

Published: 01/09/2014   Last Modified : 01/09/2014


City Equities Ltd (Clone)

Published: 29/08/2014   Last Modified : 30/08/2014


Goldman Shaks (PVT) Ltd

Published: 28/08/2014   Last Modified : 28/08/2014


to view earlier months please click here and start on page 9: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=



Advertisements

Merrill Lynch, MERRIL EDGE Investing, MarketPro™ = They are counter party on: BATS |BIDS ATS |NYSE Amex, Arca|Chicago, EDGA, EDGX, ISE Stock Exchange|eBX/LeveL ATS|CBOE C21|Nasdaq Options Market |OMX Phlx.

Pertains to ALL accounts up to and including NASDAQ Level II accounts

____________________________________________________________

The Merril Lynch website is designed to look different than typical trading sites. There’s no Risk Statement link. It actually took over an hour of searching to find what I was looking for- the info that’s normally under “risk statement” or “customer account agreement” – The statement where they inform you about whats really going on.  
They are required to tell you the truth -and they do. It says you cant trust their advice because they are paid to tell you where to invest by the various exchanges and or by the fund/securities provider. They state that they:  Act as the counter party, Purchase holdings against you, act as market makers, profit 100% from acting as the Principle. They advise you to do what will make them the most money- regardless of if its thru your gain or your loss of funds. There’s more-  read below….

Please read the statement below. Warn anyone you know who invests thru Merril Lynch in ANY form at all (mutual funds, securities, stock, all forms of investing)

To follow my path to the information- start here: http://www.ml.com/index.asp?id=7695_15125 scroll to bottom of short page and click  Legal Information.  On that page – scroll down to Routing and Execution Disclosures Made Pursuant to Rules 605 and 606 of SEC Regulation NMS. At the end of the second paragraph of Rule 606 select: “click here” which takes you to this page: Material Aspects of Relationship with Route Venues which I copied to below.
_______________________________________________________

Resource links:
________________________________________________________
and

Merrill Edge MarketPro

SEC Rule 606 Reports – Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosure Information:

Disclosure Information: Material Aspects of Relationships with Venues to Which Customer Orders are Routed Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) is a broker-dealer that executes customer orders as agent and/or principal and receives remuneration for performing these execution services. MLPF&S acts as a registered market maker in numerous Nasdaq securities and may execute customer orders in such securities on a principal basis. MLPF&S also may principally commit capital to facilitate customer transactions or serve as the contra-side to customer orders executed internally through one of the alternative trading systems operated by MLPF&S.
Investors should understand that MLPF&S stands to realize 100% of any profits or losses generated when MLPF&S trades as agent and/or principal in respect of customer orders.
Aside from holdings that MLPF&S may acquire from time-to-time as part of its ordinary market making, block positioning, client facilitation and related hedging activities, MLPF&S (or an affiliate under common control) may acquire equity stakes in market centers as part of a strategic investment. In this regard, MLPF&S or an affiliate owns a minority equity investment stake in the following market centers and therefore stands to participate as a shareholder/investor in the profits that each market center realizes in part from the execution of securities transactions, including transactions that may involve orders for the accounts of MLPF&S customers: (i) BATS Exchange, (ii) BIDS ATS, (iii) NYSE Amex, (iv) Chicago Stock Exchange, (v) Direct Edge Holdings (EDGA Exchange, EDGX Exchange and ISE Stock Exchange), (vi) eBX/LeveL ATS, (vii) NYSE Arca, (viii) NYSE Amex, (ix) CBOE C2, (x) Nasdaq Options Market, (xi) Nasdaq OMX Phlx.
Additionally, MLPF&S is affiliated with Merrill Lynch Professional Clearing Corp. (“ML Pro”), which acts as a market maker on certain options exchanges, including the CBOE, CBOE C2, ISE, BATS Exchange, NYSE Arca, NYSE Amex, Nasdaq Options Market and Nasdaq OMX PHLX. Accordingly, MLPF&S may stand to indirectly share in the profits or losses that ML Pro generates by transacting as options market maker, including transactions that may involve orders for the accounts of MLPF&S customers.
MLPF&S routes customer and proprietary orders to national securities exchanges, alternative trading systems, electronic communications networks, and broker-dealers. Based on their fee schedules, certain market centers offer credits for orders that provide liquidity to their books and assess fees for orders that take liquidity from their books. In some cases, the credits offered by a market center to MLPF&S over a period of time may exceed the charges assessed. MLPF&S participates in the options order flow programs sponsored by the NYSE Amex Options, CBOE, ISE, NYSE Arca and PHLX. These exchange-sponsored programs offer payments for listed option orders that are directed to such options markets.
_____________________________________________________________

I’m now researching the UK business documents and will post that info in a separate post. Link to the UK data on their website is here:

http://www.ml.com/?id=7695_71373_71375_71390

Comment in Global Wealth Management documents :

Where this communication is sent by a branch of Merrill Lynch International Bank Limited, please note that mutual fund materials are only directed at persons to whom, and are distributed only to persons to whom, unregulated collective investment schemes may be promoted in accordance with the rules of the UK Financial Services Authority, including in particular Rule 3.11 of the Conduct of Business sourcebook (“relevant persons”). Such investments are available only to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on these materials. Merrill Lynch does not operate as a banking entity in all jurisdictions.

while its detailing that only the person whom it was sent to is whom can act on the offer- it reveals that the Financial Services Authority in UK allows Unregulated Collective Investment Schemes!

The Financial Services Authority is in charge of Regulating financial services – so why would it permit unregulated activities to be promoted to anyone?

 

 

     

FOREX WARNING BLOG- do u want me to keep writing it? is it helping anyone?

I feel like no one cares. Like I’m wasting my time.

If you want me to keep going than please say so.

My whole goal is to try protect people from getting scammed by the whole change in the FOREX market from real to simulated. While 9 thousand people have visited my blog- most come to try put advertising in the comment sections.

I’ve had maybe 25 real comments. Is that all the real readers I’ve had?

If this blog has helped you- please let me know, Gathering the information takes a lot of time and is pointless if no one is making use of it.

COMMENT IF YOU WANT THIS BLOG TO BE CONTINUED….

2,2014 FOREX.COM/GAIN CAPITAL risk statement CRITICAL FACTS -why they are NO GOOD!!

It drives me crazy that people sign these agreements without understanding what they are agreeing to! If you did understand- there’s no way you would sign!

BY SIGNING – YOU HAVE AGREED TO ALLOW THEM TO RIP YOU OFF USING MULTIPLE METHODS TO DO IT AND HAVE ALSO AGREED THAT YOU WONT TAKE ACTION AGAINST THEM FOR DOING IT.

FOREX.COM is GAIN CAPITAL

The following are just some of what you are agreeing to-First- they make sure you know they are working against you and that you cannot trust them. They detail how they will move the market against you and then have you agree with them doing this to you.

copied from the secondary risk statementon feb 20,2014 http://www.forex.com/pdf/secondary.pdf

*****************************************************************

Please understand that all of your capital may be at risk.
FOREX IS AN OVER THE COUNTER (OTC) MARKET, MEANING THE FOREIGN CURRENCY TRADING YOU ARE ENTERING INTO IS NOT CONDUCTED ON AN EXCHANGE.
AS A MARKET MAKER, FOREX.COM IS THE COUNTERPARTY IN THESE TRANSACTIONS AND, THEREFORE, ACTS AS THE BUYER WHEN YOU SELL AND THE SELLER WHEN YOU BUY. AS A RESULT, FOREX.COM’S INTERESTS MAY BE IN CONFLICT WITH YOURS. UNLESS OTHERWISE SPECIFIED IN YOUR WRITTEN AGREEMENT OR OTHER WRITTEN DOCUMENTS
FOREX.COM ESTABLISHES THE PRICES AT WHICH IT OFFERS TO TRADE WITH YOU. THE PRICES OFFERED MIGHT NOT BE THE BEST PRICES AVAILABLE AND DIFFERENT PRICES MAY BE OFFERED TO DIFFERENT CUSTOMERS.
IF FOREX.COM ELECTS NOT TO COVER ITS OWN TRADING EXPOSURE, THEN YOU SHOULD BE AWARE THAT
FOREX.COM MAY MAKE MORE MONEY IF THE MARKET GOES AGAINST YOU. ADDITIONALLY, SINCE FOREX.COM
ACTS AS THE BUYER OR SELLER IN THE TRANSACTION, YOU SHOULD CAREFULLY EVALUATE ANY TRADE
RECOMMENDATIONS YOU RECEIVE FROM FOREX.COM OR ANY OF ITS SOLICITORS.

I have read, and understand the Risk Disclosure

INTERPRETATION:

  • You are ONLY trading against your broker.                                                             
  • Your broker can choose to not cover their own exposure- causing the market to swing against you because they will profit more that way. 
  • They control the prices you see+ they are the only other person trading with you therefore- they create the appearance of a market swing- to take your money away from you.
  • They are allowed to manipulate you by providing bad reccommendations.

***************************************************************

Customer Agreement

http://www.forex.com/forex-account-forms.html

4.1.
Pricing Information
.
FOREX.com will make available, by posting on the
FOREX.com Online Trading System , MetaTrader®Online
Trading System or by telephoning the FOREX.com
Trading Desk, Bid Prices and Ask Prices at which FOREX.com
is prepared to enter Foreign Currency Contracts Cross Currency Contracts
, or Metal Contracts with Customer. Each Bid Price or Ask Price shall be for a Spot
Contract with a specified Value Date and shall specify each Eligible Foreign Currency or tradable U.S. dollar based currency pairs involved where applicable
.FOREX.com expects that these prices will be reasonably related to the bid prices and ask prices available in the market at that time for similar transactions, but a number of factors, such as communication system delays, high volume or volatility can result in deviations between prices quoted by FOREX.com and other sources. FOREX.com makes no warranty, express or implied, that Bid Prices and Ask Prices represent prevailing bid prices and ask prices. In addition, these Bid and/or Ask Prices may reflect, at the direction of the Introducing Broker named above, additional pips added to the BID and/or ASK price that may result in an increase of the dealable spread available for the Customer’s account as well as a per trade or per lot commission and/or fees

INTERPRETATION:

They are not obligated to use prices that match what you might find on another site -keeping in mind- everyone makes there own prices and there is no actual market- your still just trading against your broker. Not other customers- meaning “high volume” and “volatility” don’t exist. They create the appearance of that environment at will.

***************************************************************

5.MARGIN REQUIREMENTS

Customer’s Account will be under the control of FOREX.com FOREX.com may change Margin requirements at any time, without prior notice to Customer, and may call for additional Margin (“Margin Call”) at (x) any time Customer’s Margin Balance falls below FOREX.com ’s Minimum Margin Requirement as applied to that Account;and (y) any timeFOREX.com, in its sole discretion, believes that it is prudent to do so.FOREX.com may at any time liquidate Customer’s Account in accordance with Paragraph 9.FOREX.com may withdraw funds from the Customer’s account without notice: (x) to ensure that Posted Margin equals or exceeds Required Margin; and (y) to satisfy any payment obligation to FOREX.com, including commissions,fees and charges in respect of Customer’s Account.

INTERPRETATION:

  • They control your account
  • They can change your margin requirement for no reason at all and
  • They don’t have to tell you before they change it. Furthermore
  • They can liquidate your account if it doesnt meet the new limit
  • and do it without prior notice

You want to know how these companies take peoples money? You sign an agreement that says they can! Who in there right mind would agree to have them get to move your margin limit without warning or notification? Then get to liquidate your account based on the new requirement- without ever notifying you! And they get to do this at their sole discretion- that means they are not required to have any form of valid reason. They can do it just because they feel like it.  They have the freedom to decide what the margin will be at their sole discretion as well- there are no standards they have to follow. They can double your margin requirement, or triple it- well… they will move it exactly enough to make sure you dont have enough in your account to cover it- at the same time swinging the market against your outstanding orders- thereby not only taking all your money- but making it so you then owe them money for the losses that happened when they liquidated.

I dont have time to keep writing this all out-  just read each paragraph carefully-The words that alert you to foul play are as follows

“at it’s sole discretion”  = “just cuz they feel like it” no reason required!

“without prior notice” = They can do it without warning you

“without notice”= they don’t have to tell you they did something- like change the agreement- and continuing to trade = agreeing to the changes they made- but how are you supposed to know changes were made?  exactly!

read these sections carefully!
4.3. Trade Matching
4.5.  Position& Trading Limits (they can control the speed you trade, the number of contracts you can hold- whatever is necessary to keep you from getting ahead.
REMEMBER- their income comes from taking your money. For you to profit- they have to take a loss. Commission is only a tiny recoup of the money they lost- it’s not a profit for them at all. To stay in business- they can’t let you keep any money you win and they have to take your money as well. They are paid to use all these rules to make sure you walk away with nothing. If you have made money- they will make it hard to get it out – while making the market suddenly look favorable- so you will reinvest not just your starting money- but your profits as well- and they keep you winning until you get confident and get close to your margin- then boom- they  move your margin and take everything.
FXCM told me how this is all done. The whole game that is being played on people. He told me (back in 2009) that no one had ever walked away with one dime from them. Every single person that traded with them eventually lost everything- and then some. He was the CEO of the company- warning me not to trade a charity’s money. At least they had enough morals to stop me. While I’m grateful- I took it upon myself to try warn everyone else.
I don’t even know if anyone is being saved by my blog. If anyone even cares that this blog exists. 
If you want me to keep writing this blog- please tell me as a comment.
.
.

FCA UNAUTHORIZED brokers added to list Aug 2013-Jan 2014

Jarvis Cohen Associates

Published: 10/01/2014   Last Modified : 10/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


dgfinancialservicesltd@gmail.com (clone)

Published: 10/01/2014   Last Modified : 10/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


LBV Asset Management, LBV (clone firm)

Published: 09/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


Gold Asset Associates

Published: 03/01/2014   Last Modified : 03/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.d2fsl.com / www2.d2financialservicesltd.com (clone firm)

Published: 02/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.svsfx.com.cn (clone firm)

Published: 02/01/2014   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protected Today

Published: 31/12/2013   Last Modified : 31/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Fast Line Legal Services

Published: 17/12/2013   Last Modified : 17/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Leighton Corporate Services LLC

Published: 12/12/2013   Last Modified : 12/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Amber Asset Management (clone firm)

Published: 11/12/2013   Last Modified : 09/01/2014 We have published this statement in order to warn investors against dealing with unauthorised firms.


McQueen and Bond

Published: 09/12/2013   Last Modified : 09/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


GE Wealth Management (clone firm)

Published: 05/12/2013   Last Modified : 05/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Westberg Equity Research Corp (WERC)

Published: 05/12/2013   Last Modified : 05/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Firkin Asset Consultants

Published: 04/12/2013   Last Modified : 04/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


KSI / Karamanof (clone firm)

Published: 04/12/2013   Last Modified : 04/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Trade Europe (clone firm)

Published: 03/12/2013   Last Modified : 03/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Jupiter P Morgan

Published: 03/12/2013   Last Modified : 03/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Emmett Ashford Group

Published: 02/12/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Next Financial Network

Published: 28/11/2013   Last Modified : 28/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


DeVere Group UK (clone firm)

Published: 27/11/2013   Last Modified : 09/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Estlander & Ronnlund Capital Management (clone firm)

Published: 25/11/2013   Last Modified : 26/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Curtis ISA

Published: 21/11/2013   Last Modified : 21/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Edge Capital Markets

Published: 21/11/2013   Last Modified : 21/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


NCP Financials (clone firm)

Published: 21/11/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Ava Capital Markets (clone firm)

Published: 21/11/2013   Last Modified : 02/12/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Capital Wealth Limited

Published: 20/11/2013   Last Modified : 20/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hometrader Group PLC

Published: 20/11/2013   Last Modified : 20/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Dominic Nardone (trading as Trading Knowledge Limited)

Published: 18/11/2013   Last Modified : 18/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Primex – UTIP Trader

Published: 15/11/2013   Last Modified : 15/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.kingsleyadvice.com (clone firm)

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Cristian Pauna

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Paul Atwal

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Fairtrade Wealth Management

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Peter Bradshaw (clone of FCA Approved Person)

Published: 12/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms and individuals.


Board of International Finance

Published: 11/11/2013   Last Modified : 11/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Strategic Private Equity LLC

Published: 08/11/2013   Last Modified : 12/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Stonehill Securities

Published: 08/11/2013   Last Modified : 08/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


eKash UK Ltd

Published: 08/11/2013   Last Modified : 08/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


British Greatfount Capital / GF Capital

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Nationwide Property Buyers Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


GF Capital / British Greatfount Capital (UK)

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Global Corporate Partners

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Tolland & Boch Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Wellz Zable Limited

Published: 07/11/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Vincent Clare Limited

Published: 07/11/2013   Last Modified : 14/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Skandia Invest (clone firm)

Published: 06/11/2013   Last Modified : 06/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


First Asset Management Ltd

Published: 06/11/2013   Last Modified : 06/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protect Life Insurance

Published: 05/11/2013   Last Modified : 05/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pan American Global Partners

Published: 31/10/2013   Last Modified : 31/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.sgcbuk.com (Misusing the name of FCA EEA authorised firm)

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protec Advisors

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Protec Gold Advisors

Published: 30/10/2013   Last Modified : 30/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Swiss Investor Club AG

Published: 28/10/2013   Last Modified : 28/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hobart Roth LLC

Published: 28/10/2013   Last Modified : 28/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


http://www.citibankinguk.co.uk (Misusing the name of FCA authorised firms)

Published: 25/10/2013   Last Modified : 25/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Cayenne Trust Investment Plc (clone firm)

Published: 24/10/2013   Last Modified : 24/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Ellis Harper & Co LLC

Published: 23/10/2013   Last Modified : 23/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pictet Private Wealth Management (clone firm)

Published: 23/10/2013   Last Modified : 07/11/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hanover Group

Published: 22/10/2013   Last Modified : 31/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Martin Donnelly

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Harold and Bauman

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Brewer Consulting Group

Published: 22/10/2013   Last Modified : 22/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Steinberg Management

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Specialist Investor Funds

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


ForexTrada

Published: 18/10/2013   Last Modified : 18/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Quinn & Voakes Capital

Published: 17/10/2013   Last Modified : 25/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Glover Capital Group

Published: 17/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Hoden International Clearing

Published: 17/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


SKJ Capital Partners (clone firm)

Published: 16/10/2013   Last Modified : 16/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Whitney Cooper Associates

Published: 11/10/2013   Last Modified : 17/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


William Wright (clone individual)

Published: 10/10/2013   Last Modified : 10/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Property Cash Buyers

Published: 10/10/2013   Last Modified : 10/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Rowe Corporate Services

Published: 08/10/2013   Last Modified : 08/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Northern Capital Consultants

Published: 07/10/2013   Last Modified : 07/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


D G Financial Service Partner (clone firm)

Published: 07/10/2013   Last Modified : 07/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Bloomfield Advisory

Published: 03/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Qualtrum Adviser LLC

Published: 03/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Smith Securities Limited

Published: 02/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


One Option Finance Ltd (Clone of FCA authorised firm)

Published: 02/10/2013   Last Modified : 03/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Pacific First Securities

Published: 02/10/2013   Last Modified : 02/10/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


Project Finance Bank

Published: 27/09/2013   Last Modified : 27/09/2013 We have published this statement in order to warn investors against dealing with unauthorised firms.


 

10/1/2013 UK FCA WARNING LIST of UNAUTHORIZED BROKERS 26 new names

copied from the fca website

resource link: http://www.fca.org.uk/news/list?ttypes=warning&yyear=&ssearch=

________________________________________________________________________________

Project Finance Bank

Published: 27/09/2013


Vickers Equities & Research

Published: 27/09/2013


Hayes Capital Management

Published: 26/09/2013


Hamilton International Group

Published: 26/09/2013


ApplianceFix Ltd

Published: 24/09/2013


Epiq Systems (cloned firm)

Published: 20/09/2013


Venta KPO Services LLC

Published: 20/09/2013


ICMarkets (cloned firm)

Published: 18/09/2013




Waterman Wealth Management

Published: 16/09/2013


Objective Returns (Cloned firm)

Published: 16/09/2013


DT Group Business Solutions

Published: 16/09/2013


Direct Mergers & Acquisitions Inc

Published: 13/09/2013


Grand Meridian Private Equity Ltd

Published: 11/09/2013


JP Sterling Associates

Published: 11/09/2013


Goldstein Brokers Limited

Published: 11/09/2013



Sachs Trust

Published: 11/09/2013



Alliance Capital Securities Ltd

Published: 09/09/2013



FxEthos

Published: 06/09/2013


Byrd Fleming and Associates

Published: 06/09/2013


Pacific Blu L.P.

Published: 05/09/2013 We have received confirmation from the relevant New Zealand regulatory bodies that Pacific Blu is not licensed as an insurer or as a financial services provider in New Zealand.


Mallary & Company

Published: 03/09/2013



FCA (UK) DISCIPLINARY ORDERS AND REGULATORY DECISIONS Date published: 4 September 2013 (23 names)

 

This report is 36 pages long so here is the link to view the actual report.
 however -the names are listed below: