Tagged: cheating
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….
10/1/2013 UK FCA WARNING LIST of UNAUTHORIZED BROKERS 26 new names
JAPAN FSA warning list of UNAUTHORIZED BROKERS-they updated on 9/2013
this replaces my previous post
______________________________________________________________
Below is the list of non-registered or non-authorized entities with the FSA, based on information received from investors. Investors should be aware that the solicitations of investment by these listed entities have a possibility of cold calling. Please be reminded that other suspected cold callers may exist and additional entities may be listed. Please also be advised that there have been cases where different companies were located in addresses indicated in the list below. The fact that the address is put in the list below does not mean that such companies have any connection to the listed entities.
******* Latest Update (Posted on September 2013) *******
- (1) GMO Global
- 11th Fl. DaVinci Shiba Park Bldg. 4-1, Shiba Koen 2-chome, Minato-ku, Tokyo 105-0011, Japan
Tel: +81-3-6701-2180
FAX: +81-3-6701-2181
info@gmo-global.net
www.gmo-global.net
- (2) Norris Jardine Newell Equities (NJN Equities)
- Level 03, Sanno Park Tower, 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo – 100-6162 Japan
www.njne.com
- (3) Sovereign Wealth Capital
- Ochanomizu Center Building 3-2-12 Hongo, Bunkyo-ku, Tokyo, 113-0033, Japan
Tel: +81367012498
Fax: +81367309716
http://sovereignwealthcapital.com/
- (4) Takeshi Venture Capital
- Chiyoda ku Tower Marunouchi Tokyo, 100-0005
Telephone: +81 3 4520 9510
Fax: +81 3 4578 1610
www.takeshiventurecapital.com
********************************************
- Abramson International
- 1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
http://www.Abramsoninternational.com - Alderman Associates Ltd
- Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo 130-0031 Japan
TEL: +81-3-4520-9536 / FAX: +81-3-6385-7599
http://www.aldermanassociatesltd.com - Anderson Munro
- Nihonbashi Mitsui Tower 39th Floor, 2-1-1 Nihonbashi-Muromachi, Chuo-ku, Tokyo 163-1030 Japan
TEL: +81-3-5456-5074 / FAX: +81-3-4496-4380
http://andersonmunro.com - Aozora Alliance
- World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya-ku, Tokyo 150-0042,JAPAN
+81-3-4496-6021 / FAX+81-3-4496-6031
http://www.aozoraalliance.com - Apex Trading Group
- 18th Floor, Tokyo Sankei Building, 1-7-2 Ohtemachi, Chiyoda-ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4940 / FAX: +81-3-4496-4941
http://www.apex-tg.com - Asia Pacific Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0446 / FAX: +81-3-4496-5042
http://asiapacificgroup.com - Asset Brokerage Network
- Level 14 Shibarikyu Shiodome, 5-3 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-4580-0937, +81-3-4550-6882, +81-3-4590-3121 / FAX: +81-3-4496-4045
http://www.abn-group.com - Atlantic Administration
- Cerulean Tower, 26-1 Sakuragaoko-Cho, Shibuya-Ku, Tokyo 150-8512 Japan.
- Axis Corporate Finance
- Level5 Shinsaibashi Plaza Building Shinkan 3-12-21 Minami-Senba, Chuo-ku Osaka 542-0081
TEL: +81-3-4520-8929 / FAX: +81-6-6537-1926
http://www.axiscf.com - Barlow & Ramsey
- Sanno Park Tower Bldg. 2-11-1 Nagata-Cho, Chiyoda-ku, Tokyo 100-6113 Japan
TEL: +81-3-4496-5211 / FAX: +81-3-4496-5212 - Beacon Global Advisors
- 15th Floor, Cerulean Tower, 26-1 Sakuragaoka-cho, Shibuya-Ku, Tokyo 150-8512 Japan
TEL: +81-3-5456-5037 / FAX: +81-3-4496-4047
http://www.beacon-global.com - Blue Sky Solutions Inc.
- 7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
http://www.blueskysolutionsinc.com - Bowden Ventures
- 2-1 Nihombashi Kabuto-cho, Chuo-ku, Tokyo 103-8220 Japan
TEL: +81-3-4580-1727 / FAX: +81-3-4496-4011 - Brentwood Group Ltd.
- Level 15, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4580-1760, +81-3-6688-4521 / FAX: +81-3-4496-6228
http://www.brentwoodgpinter.com - Bridgestone Trading Ltd
- Level 28, Shinagawa Intercity Tower A, 2-15-1 Konan,Sumida-ku, Tokyo 108-6028
TEL: +81-3-6717-4200 / FAX: +81-3-6717-4201
http://bridgestonetrading.com/company.php
* Bridgestone Corporation has no association whatsoever with the organization. - Brookdale West Capital Management
- 15th Floor Gate City Ohsaki-West Tower, 11-1, Osaki 1-chome, Shinagawa-ku, Tokyo 141-0032
TEL: +81-345-209-677
http://brookdalewest.com - Brunswick Knight
- TEL: 03-4800-400771
http://www.brunswick-knight.com - Cahill & Audleman
- 502 Hillside Kagurazaka, 3-6-10 Kagurazaka, Shinjyuku-Ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4790 / FAX: +81-3-4496-4791 - Calderton Capital Partners
- Nihonbashi 1-chome Building, 1-4-1 Nihonbashi Chuo-ku, Tokyo 103-0027 Japan
TEL: +81-3-4588-4048
http://www.caldertoncp.com/index.html - Cambridge Capital
- Yebisu Garden Place Tower 18 Fl. 4-20-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-5148-8730 / FAX: +81-3-3779-5022
http://www.cambridge-capital.com/index.html - Campbell & Co. Ltd.
- Suite 401, Hanahara Bldg.5, 7-8-17 Nishinakajima, Yodogawa-ku, Osaka 532-0011 Japan
TEL: +81-06-6101-0356 / FAX: +81-06-6101-0357
http://www.campbellasia.com - Capital Plus Group
- 14F Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2121 / FAX: +81-3-4496-4904 - Capitol Trade
- Holland Hills Mori Tower Floor 9 5-11-1 Toranomon Tokyo
Phone: 81 3 4520 6362
FAX: 81 3 4496 4366
http://www.capitoltrade.com
- Carlton First Capital
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku, Tokyo 141-0021 Japan
http://www.carltonfirstcapital.com/index.html - Carnegie Advisors Ltd.
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Carter Sinclair Ltd
- 31F Osaka Kokusai, 2-3-13 Azuchi-machi, Chuo-ku, Osaka 541-0052 Japan
TEL: +81-6-4964-2616 / FAX: +81-6-4964-2628
http://www.carter-sinclair.com/contact.htm - Charles Fleming Co.
- Sanno Park Tower Bldg., 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo 100-6172 Japan
TEL: +81-3-5456-5026 / FAX: +81-3-4496-4464 - Citadel Group International
- Level 8 Pacific Century Place 1-1-11 Marunouchi, Chiyoda-ku Tokyo 100-6208 Japan
- Citigroup Global Funds Incorporated
- 2-17-5 Shibuya Shibuya-ku, Tokyo 150-0002
TEL / FAX: +81-3-4496-4342
http://www.cgfi.biz
* The Citigroup companies in Japan have no association whatsoever with the organization. - Colony Capital and Associates
- 20th Floor Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-6332 Japan
TEL: +81-3-4520-9323 / FAX: +81-3-4496-4202
http://colonycapitalassociates.net/contact-us.htm - Commercial First Group
- Level3 Tokyo Bankers Club Building, 1-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-6293
http://comfirstgroup.com - Conquest Mergers
- Cerulean Tower, 36-1, Sakuragaokacho, Shibuya-ku, Tokyo, Japan
TEL: +81-3-4550-0330. - Cook Capital Partners
- 4-9-7 Roppongi, Minato-ku, Tokyo 106-0032 Japan
TEL: +81-3-4550-0325 / FAX: +81-3-4496-5013
http://www.cookcp.com - Cooper & Daniels Company
- 24F Osaka Ekimae dai 3 bldg, Umeda, Kita-ku, Osaka 1-1-3-500 Japan
TEL: +81-6-4560-4011
http://www.cooperdaniels.com - Cornerstone Worldwide
- Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-ku, Tokyo 105-0003 Japan
TEL: +81-3-4520-9241 / FAX: +81-3-4496-4170
http://www.cornerstoneworldwide.com - Crosby Capital Partners
- 3rd Floor, 4-3-14 Toranomon, Minoto-ku, Tokyo 105-0001
http://crosbycp.com - Crown Point Mergers and Acquisitions Limited
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-1030 Japan,
http://www.crownmergers.com - Dai-ichi Securities
- 15th floor, KDDI Otemachi building, 1-8-1 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4201 / FAX: +81-3-4496-4202
http://www.dai-ichi-securities.com - Daine Financial Trust Management
- Level 29, Shinjuku Nomura Building, 1-26-2 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-0532 Japan
TEL: +81-3-4550-6877
http://www.dainefinancialtm.com - Dawson & Fielding Inc.
- 8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: 81-3-4578-9266 / FAX+81-3-4496-6155
http://www.dawsonfielding.com - DES Options
- AIG Umeda Bldg, 1-27 Chayamachi, Kita-ku, Ohsaka-shi, Osaka 530-0013 Japan
TEL: +81-6-4560-4004 / FAX: +81-3-6537-1712
http://www.desoptions.com - De Verre Lloyd & Co.,Ltd.
- TEL: +81-3-5456-5369
- Direct Mergers & Acquisitions Inc.
- 17th Flr., Resona Maruha Bildg., 1-2 Otemachi 1-chome, Chiyoda-ku, Tokyo Japan 100-0004
Tel: +81-3-4579-0599 / FAX: +81-3-6369-3657
http://www.directmergersacq.com - Dragon Securities
- 502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku-ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4800 / FAX: +81-3-4496-4801 - Drake Merger Management
- 8th flr., Kanematsu Bidg., 14-1, Kyobashi 2-chome, Chuo-ku, Tokyo, Japan 104-0031
TEL: +81-3-4578-0424 / FAX: +81-3-6745-1142
http://www.drakemerger.com/ - Dreyfus Securities Ltd.
- TEL: +81-3-5404-3826
- Drexel Asset Management
- TEL: +81-3-5325-3043, +81-3-5219-1509
- Dulton Group
- 2-14-10 Kanda Jinbo-cho, Chiyoda-ku, Tokyo, Japan
- Dunbar Mckenzie Financial Group
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo 141-0021
TEL: +81-3-4233-6000 / FAX:+81-3-4233-7000
http://dunbarmckenzie.com/index_files/page0015.htm - Dunleavy Investment Limited
- Level 14 Kamiyacho MT Bldg. 4-3-20, Toramonon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4360-5534 / FAX: +81-3-4360-5535
http://www.dunleavyinvestment.com
Suite B1 AIG Building 1-1-3 Marunouchi, Chiyoda-ku Tokyo 100-0005 Japan
TEL: +81-3-5288-5940 / FAX: +81-5288-5941 - e.go trade incorporated
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
- Equi Asia Group Ltd
- Level 28, Shinagawa Intercity Building, Tower A, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-6717-4321 / FAX: +81-3-6717-4341 - First Equis Ltd.
- Shibuya Mark City West 22F 1-12-1 Dogenzaka, Shibuya-Ku, Tokyo 150-0043 Japan
http://www.firstequis.com - First Prime Group
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4580-1998
http://www.firstprimegroup.com - First Prime International Ltd from Tokyo
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4550-0476
http://www.firstprimegroup.net - Fox Paine Partners Inc.
- Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4578-9002 / FAX: +81-3-6385-7639
http://www.foxpainepartnersinc.com - Fujiwata Capital Group
- 1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka 532-0004 Japan
http://www.fujicapgrp.com - Fukumoto, Toshihiro and Partners Futures Trading
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-3-4520-6363 / FAX: +81-3-6385-7561
http://www.ftpfutures.com - Global International Trading
- Level 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-Ku, Tokyo 105-6027 Japan
TEL: +81-50-5809-3362 / FAX: +81-3-4496-6328
http://globalinternationaltrading.com/index.php - Global Strategic Management
- Daitobo Building, Level 6, 20-1 Nihonbashi Hakozakicho, Tokyo, Japan
TEL: +81-3-4520-6364 Fax: +81-3-6745-8961
http://www.globalstrategicmanagement.com/ - Gotthard Capital Partners
- Kasumigaseki Building 28th Floor 2-5, Kasumigaseki 3-Chome, Chiyoda-ku, Tokyo 100-6028
TEL:03-4550-0327 / FAX:03-4496-4849
http://www.gotthardcp.com/index.html - Graham Walker
- 8th floor, Shinjuku Mitsui Building, 2-1 Nishishinjuku, 6-24-1, Shinjuku-ku, Tokyo
TEL: +81-3-4578-9712 / FAX: +81-3-4578-9714
http://www.grahamwalker.com/contactus.html - Greenfield & Mato
- Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo 112-0004 Japan
TEL: +81-3-4550-6882
http://www.greenfieldmato.com - Greenfield Consulting
- 2-4-203 Ogikubo, Suginami-Ku, Tokyo, Japan
TEL: +813-5288-5444 / FAX: +813-4496-4922 - Guardian Asset Management
- Atago Green Hills Mori Tower 40F, 2-5-1 Atago, Minato-Ku, Tokyo 105-6240 Japan
TEL: +81-3-4580-1725
http://www.guardian-am.com/contactus.php - Hannan Corporation
Harbor Trading - Roppongi Hills Mori Tower, Level14 6-10-1, Roppongi, Minato-Ku, Tokyo
TEL: +81-3-4578-0191 / FAX: +81-3-6730-9477
http://www.harbortrading.com/ - Hawkins & Doyle
- 18F JT Bldg. 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2168 / FAX: +81-3-4496-5000 - Heritage Mergers and Acquisition
- Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-5404-3560 / FAX: +81-3-4496-4930 - Huber Acquisition Group* previously known as Castle Rock Finance and Hitomi Acquisitions
- 22nd Flr., Atago Green Hills MORI Tower5-1, Atago 2-chome, Minato-ku, Tokyo, Japan, 105-6228
TEL: +81-3-4578-0425 / FAX: +81-3-6745-9383
http://www.huberacqgroup.com/ - Ideal Merger Group
- Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
http://www.idealmergergroup.com./ - Jacob & Burns
- Koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
TEL: +81-3-4496-4857 / FAX: +81-3-4496-4320 - Jam Capital Corporation
- Shin Marunouchi Bldg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590 Japan
http://www.jam-capital.com - Kaikatsu Group Limited
- Tokyo Ginko Kyokai Building 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4496-5255 / FAX: +81-3-4496-5256, +81-3-4496-5257 - Kearns Investments Inc.
- TEL: +81-3-5288-5414
- Keldione International
- Shinjuku Park Tower N30, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-030 Japan
FAX: +813-4496-6277
http://keldioneint.com - Kendall Morgan Partners Tokyo
- Akihabara Dai building 76 Sotokanda 1 Chiyoda-ku Tokyo 1001-0021
Tel +81-3-6740-6076 Fax +81-3-6740-8379
www.kendallmorganpartners.com
- Kensington International Group Ltd.
- TEL: +81-3-5326-3125
- Keystone Consulting Inc.
- 2-4-1 Toranomon, Minato-Ku, Tokyo 105-6016 Japan
TEL: +81-3-5403-4652 / FAX: +81-3-4496-6060
http://www.keystoneconsultinc.com - Kimura Financial
- 63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun, Aomori 039-2402 Japan
TEL: +81-3-4496-4064 / FAX: +81-3-4496-4074
http://www.kimurafinancial.com - Kirayaka International
- Head Office 17th Fl., Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011. Japan
TEL: +81 3 6740 9975, / FAX: +81 3 6740 9976
http://www.kirayakainternational.com/ - Kiyo Financial
- 13-3, Nihonbashi 3-chome, Chuo-Ku, Tokyo 103-0027 Japan
TEL: +81-3-4580-1748 / FAX: +81-3-4496-4243
http://kiyofinancial.com - Lee Hamilton & Associates
- 4th Floor, Palaceside Bldg. 1-1 Hitotsubashi 1-chome, Chiyoda-ku, Tokyo 100-0003 Japan
http://leehamiltonassoc.com - Liberty Securities
- 39th Floor, Shinjuku Nomura Building, Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-50-5809-8850 / FAX: +81-3-4496-6098
http://www.libertysecurities.org/index.php - Linden Ventures
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1030 Japan
TEL: +81-3-4580-2174, +81-3-4580-0927 / FAX: +81-3-4496-4259 - Link Merger & Acquisitions
- 21 Ichiban-Cho, Chiyoda-Ku, Tokyo 102-0082 Japan
TEL: +81-3-4580-2144 / FAX: +81-3-4496-4333 - Maganura Mergers & Acquisitions
- 25-32-408 Sakuragaoka-Cho, Shibuya-ku, Tokyo 150-0031
TEL:+81-3-4520-6367
http://www.maganura-ma.org - Manhattan Fujiwara International
- Arca Central Building 14F, 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4496-6277
http://www.manhattanfuji.jp - Mann International
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4550-0334 / FAX: +81-3-4496-4096
http://www.manninternational.com - Masahiro International
- 25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL: +81-3-4580-1656
http://www.masahirointernational.com - Masaru and Associate
- 1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420 Japan
http://masaruassociates.com - Masters Financial Corporation
- 3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
http://www.mastersfinancialcorp.com - Merit Corporate Finance
- 24F Hankyu Grand Building, 8-47 Kakuda-cho, Kita-ku, Osaka 530-0017 Japan
TEL: +81-6-4560-4006
http://www.meritcorpfinance.com - Milton Hayward Ltd
- Yurakucho Ekimae Building Level 12, Yurakucho 2-7-1, Chiyoda-ku Tokyo 541-0052 Japan
TEL: +81-3-5456-5049 / FAX: +81-3-4496-4021
http://www.miltonhayward.com - Mitsui Asset Management
- Level 12, Edobori Center Building, 2-1-1 Edobori, Nishi-ku, Osaka 550-0002 Japan
TEL: 81-6-4560-4010 / FAX: 81-6-6573-1689
http://www.mitsuiassetmgmt.com
* Sumitomo Mitsui Asset Management Company, Limited and Chuo Mitsui Asset Management Company, Limited have no association whatsoever with the organization - Mitsui Financial
- TEL: +81-50-5534-5315
http://www.mitsuifinancial.com - Mitsui, Lane & Associates
- Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4496-4464
http://www.mitsuilaneandassociates.com - Momentum Consultants Limited
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Morgan Financial Advisors
- Nishishinjuku-1, Suite 104 Shinjuku, Skyscraper District, Shinjuku-ku, Tokyo Japan
TEL: +81-3-4550-6896 / FAX: +1-646-3679519, +1-866-3641457
http://www.morgan-advisors.com - Morley Thompson
- 24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-Ku, Tokyo 100-6324 Japan
TEL: +81-3-4580-0920 / FAX: +81-3-4496-5015
http://www.morleythompson.com - MTR Global
- 12/F Tokyo Banker’s Club Build, 1-7-2 Marunouchi, Chiyoda-ku, Tokyo 100-0005. Japan
TEL: +81-3-6388-0372 FAX: +81-3-6388-0373
http://www.mtrglobal.com - New Asia Business Consultants
- 32Floor St. Lukes Tower, 8-1 Akashi-cho, Chou-ku, Tokyo 104-8518 Japan
TEL: +81-3-4520-6303 / FAX: +81-3-4496-6049
http://www.now.asia-consult.com - New Gold Capital
- Hibiya Central Building, 1-2-9 Nishi-Shinbashi, Minato-ku, Tokyo 105-0003, Japan
TEL: +81-3-6745-8443 FAX: +81-3-6745-9396
http://www.newgoldcapital.com - New England Worldwide Services
- Level 15, Hilton Plaza West Office Tower, 20202 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4008
http://www.newenglandwwservices.com - New Market Corporation
- Yurakucho 2-7-1, Chiyoda-ku, Tokyo, Japan
TEL: +81-3-4580-2171 / FAX: +81-3-4580-2197
http://www.newmarketcorp.com - NEXT Futures Co. Ltd.
- 2-4-7 Sugamo Toshima-ku, Tokyo 170-0002 Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-4085
http://www.nextfutures.com/contact/ - Nikkei Financial
- 36th Floor, Dentsu Honsha Building, 1-10-2 Higashi-Shinbashi, Shiodome SIO-SITE, Minato-ku, Tokyo, Japan
TEL: +81-3-4520-9438 / FAX: +81-3-4496-4029
http://www.nikkei-financial.com - Nishimura Mergers and Acquisition
- 2F Tokyo World Trade Center Bldg. 1-7-8 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-5456-5059 - Norbert Associates
- 9F AIG Bldg. 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +813-4496-4850 / FAX: +813-4496-4851 - Okamura Asset Management
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-1030 Japan
TEL: +813-4580-2168 / FAX: +813-4496-6417
http://www.okamuraam.com - Okuma Group
- Marunouchi Trust Tower Main 16th Floor, 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045 Japan
TEL: +81-3-4496-4733 / FAX: +81-3-4496-4734
http://www.okumagroup.com - Oppenheimer Lloyd
- 1-11-3 Marunouchi, Chiyoda-Ku, Tokyo 100-6208 Japan
TEL: +81-3-4578-9054 / FAX: +81-3-4578-9245
http://www.oppenheimerlloyd.com - Oracle Equity Management
- 2-2-8 Nanko-Kita, Suminoe-Ku, Osaka, Japan
TEL: +81-6-4560-4033 / FAX: +81-6-6537-1696 or +81-6-6537-1633
http://www.oracleem.com - Palmer Brown Management Inc
- 5Floor, ThinkPark Tower, 2-1-1 Osaki, Shinagawa-ku, Tokyo 141-6005 Japan
TEL: +81-3-6688-7109 / FAX: +81-3-6688-7089
http://www.palmer-brown.com - Paragon Options Management
- Level 9, Ariake Frontier Bldg. Tower B 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4570-7616 / FAX: +81-3-4570-7616
http://paragonoptionsmanagement.com - Park East Capital
- Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003 Japan
TEL: +81-3-4496-4250 / FAX: +81-3-4496-4251
http://www.parkeastcapital.com - Pendleton and Associates
- Hanako Building, 34 F 11th Floor, 6-14-17, Showa Dori, Ginza District, Tokyo 104-0061 Japan
TEL: +81-3-3242-6165 / FAX. +81-3-6385-7698
http://www.pendletonandassociates.com - Penn Capital management Ltd
- 1-4-27 Shiromi, Chuo-ku, Osaka 540-8560 Japan
TEL: +81-6-4560-4030 / FAX: +81-6-6537-1768
http://www.penncm.com - Pollack and Quinn
- Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
http://www.pollackquinn.com - Power Point Capital
- 1-5-1 Marounichi, Chiyoda-Ku, Tokyo 100-6520 Japan
TEL: +81-3-4520-9329 / FAX: +81-3-4496-4989
http://www.powerpointcapital.com - Premium Alliance Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +813-5325-3223 / FAX: +813-5325-3131 - Profidex
- Levels 9-11, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005
TEL: +81-3-5288-5296 / FAX: +81-3-4496-4835 - Rothman Global
- Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150-0043, Japan
http://rothmanglobal.com - Sachiko International
- 5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047 Japan
http://www.sachint.net - Saitou Consulting Financial Solutions
- 2-2-2 Uchi-saiwai-cho Chiyoda-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-9303 / FAX: +81-3-4496-4221
http://saitoucon.com - Sakuma Group
- 105 Kowa Shiba Park Bldg, 3F 1-1-11 Shiba Park, Minato-ku, Tokyo 105-0011
http://www.sakumagroup.com - Sakura Financial Group
- Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan
TEL: +81-3-4496-4348 / FAX: +81-3-4496-4349
http://www.sakurafinancialgroup.com - Scott Fitzgerald Group
- Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL: +81-3-4580-1689
http://www.scottfitzgeraldgroup.com - Securities Intermediary Brokers (SIB)
- Level 27, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4550-6946
http://securitiesintermediarybrokers.jp - Select Capital Management
- 9F AIG Bldg. 2-18-6 Nihonbashi, Chiyoda-Ku, Tokyo 103-0027 Japan
- Shinsei Associates
- 7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Minato-ku, Tokyo 105-0001 Japan
Tel: +81 3 4496 6021 / FAX: +81 3 4496 6031
https://www.shinseiassociates.com - Shintomi Trading
- 12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
http://www.shintomitrading.com/ - Smart Trade Group
- Level 28 Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0340 / FAX: +81-3-4496-4 271
http://www.smarttradegroup.com - Smith and White Transfer Agents LTD.
- 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.com - Smith and White Transfer Agents LTD.
- 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.com - Solomon Layb
- Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan
http://www.solomon-layb.com - Source One International
- Level 11, Aoyama Palacio Tower 3-6-7 Kita-Aoyama, Minato-Ku, Tokyo 107-0061 Japan
TEL: +81-3-4520-6306 FAX: +81-3449-64129
http://www.sourceoneinternational.com/index.html - Sovereign Global Trading
- Level 21, Shiodome Shibarikyu Building, 1-2-3, Kaigan, Shiodome, Minato-ku, Tokyo 105-0022 Japan
TEL: +813-5403-6368
http://www.sovtrading.com - Stockbridge Partners
- Yasuda Seimei Building Floor 18, 3-3-20 Umeda, Osaka, Japan
TEL: +81-6-4560-4039 FAX: +81-6-7635-4783
http://stockbridgepartners.com/index.php - Sukumo Group
- TEL: +81-3-5219-1528
- Sun Worldwide
- TEL: +81-3-4550-0325 / FAX: +81-3-4496-6375
http://www.sunworldwide.com - Taiyo Financial
- Toyo-cho, Shinei Bldg.12F 4-chome 3-1 Toyo, Koto-ku, Tokyo 135-0016
TEL: +81-3-4550-0458 / FAX: +81-3-4496-4494
http://www.taiyofinancial.com - Takahashi Nakamura Associate
- 1-11-1 Marunouchi, Chiyoda-ku, Tokyo 100-6208 Japan
TEL: +81-3-4550-0322
http://www.takahashinakamura.com - Takeda Financial Co.Ltd
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022
TEL: +81-3-4520-9327 / FAX: +81-3-4496-4332
http://www.takedafinancial.com/contact - Takeshi Financial
- 6-2-4 Akasaka, Minato-Ku, Tokyo 107-6245 Japan
FAX: +81-3-4496-4347
http://www.takeshifinance.com - Talbot and Reese, Inc
- Shinjuku Monolith, 16th Floor, 2-3-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-0916 Japan
TEL: +81-3-4580-2055 / FAX: +81-3-4496-5096
http://www.talbotreese.com - Tanaka Securities
- 1-40-4 Kamiosaki, Minato-Ku, Tokyo 105-0011 Japan
http://www.tanasecure.com - Tech-Link International Limited
Teikoku Commodities - Shin-Marunouchi Bidg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590
TEL: +81-3-4520-9237
http://www.teikokucommodities.com - The Stockton Group
- 502 Ohashi-Building, 1-16, Kanda-Sakumacho, Chiyoda-ku, Tokyo 101-0025 Japan
TEL: +81-3-4496-5110 / FAX: +81-3-4496-5111 , +81-3-4496-5112 - Thomas Castle Management
- 8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Chiyoda-Ku, Tokyo 100-6010 Japan
TEL: +81-3-4580-1758 / FAX: +81-3-4496-4046
http://www.thomas-castle.com - Thomas Moore
- Fukoku Seimei Bldg, 2-2-2, Uchisaiwai-cho, Chiyoda-ku, Tokyo 100-0011 Japan
TEL: +81-3-4520-9682 / FAX: +81-3-4496-6466
http://www.thomasmoore.biz - Trinity Ventures
- 502 Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjuku-Ku, Tokyo 162-0825 Japan
TEL: +813-4496-5041 / FAX: +813-4496-5042
http://www.trinity-ventures.com - Vantage Pro Asset Management
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-6202-2913 / FAX: +81-3-6202-2912
http://www.vantagepro.jp - Venture Associates
- 34 F Yamashiku Building, 5-9-4 Otemachi, Chiyoda, Tokyo, Japan 100-0006
TEL: + 813-4578-9500 / FAX: + 813-4496-4360
http://www.ventureassoc.com - Waldon McLean Associates
- Toranomon Yatsuka Building, 1-1-11 Atago, Minato-Ku, Tokyo 105-0002 Japan
TEL: +81-3-4580-1656 / FAX: +81-3-4580-1721
http://www.waldonmclean.com - Warren and Baker
- TEL: +81-3-5219-1531
- WB Global
- Azabu East Court, 2-22-5 Higashi Azabu Minato-ku, Tokyo, 106-0044 Japan
TEL: +81-3-4588-8725
www.wbglobal.net - Webb Capital Partners
- Atago Green Hills MORI Tower 37F, 2-5-1 Atago Minato-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-8985 / FAX: +81-3-4496-4825 - Western Pacific Advisor, Inc
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
TEL: 81-3-4520-9775 / FAX: 81-3-4520-9776
http://www.westpacificadvisors.com - Westernfield Holding
- Shinjuku Park Tower S 20/F, 3-7-1, Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1035 Japan
TEL: +81-3-4520-9532 / FAX: +81-3-4496-6474
http://www.western-field.com - Wilshire-Park
- Sumitomo Fudosan Mita Twin Building, West Wing, 6F, Mita 3-chome, Minato-ku, Tokyo,
TEL: +81-3-4578-9381 / FAX: +81-3-4578-9382
http://www.wilshire-park.com - Yamaguchi Partners Global Head Office
- 16F Seiroka Tower 8-1, Akashi-cho, Chuo-ku, 104-6591 Tokyo, Japan,
Tel: +81-3-6369-3995 / FAX: +81-3-6369-3997
http://www.yamaguchipartners.com - Yamato & Associates
- koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
http://www.yamatoandassociates.com - Yoshida, Wells & Associates
- 29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: +81-3-4496-4430
http://yoshidawells.com - Yutaka Commodities,Inc
- Higashishinbashi 1-chome Minato-ku Tokyo 105-0021
TEL: +81-3-4520-9234 / FAX: +81-3-4496-4685
http://www.yutakacommodities.com/
Non-authorized regulators and securities/financial exchanges
- Asian Carbon Trade Exchange
- Level 9, Edobori Center Building, 2-1-1, Edobori, Nishi-Ku, Osaka 550-0002 Japan
TEL: +81-6-6225-1319
http://www.asiancarbontrade.com - Central Exchange Bureau
- Level 16, Yebisu Garden Place Tower, 4-8-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-4580-1629
http://cexb.org - Central Registration Department
- HSBC Building 11-1, Nihonbashi3-choume, Chuo-ku, Tokyo 103-0027
- Commodities Futures Trade Board
- http://www.cftb.jp
- Cross Border Acquisition Commission
- Level 22, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4578-9579
http://www.cba-commission.org - Eastern Equity Division
- Level 9, Ariake Frontier Bldg. Tower B, 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4520-9242 / FAX: +81-3-6385-7636
http://www.easterned.org - Equity Management Bureau
- Intercity Tower A, Level 18, Shinagawa, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-4520-9427 / FAX: +81-3-6385-7542
http://www.eqmb.org - Equity Trading International Commission (ETIC)
- 35F, Sunshine 50, 2-1-1, Higashi Ikebukuro, Toshima-ku, Tokyo 170-6045 Japan
TEL: +81-3-4578-9022
http://www.etic.org
http://www.eqtic.org - Financial Exchange Authority
- Level16, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Minato-ku, Tokyo 107-0061
TEL: +81-3-4550-0684 / FAX: +81-3-6730-9726
http://www.financialxa.org - Financial Trading Commission
- Level 20, 1-3-3 Kaigan, Tokyo 105-0022 Japan
TEL: +81-3-4588-8710
http://www.fintco.org - International Acquisition Authority
- Level 4, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4578-9693
http://interaa.org - International Association of Securites Varification
- 4-9-7 Roppongi Minato-ku Tokyo,106-0032
TEL: +81-3-4588-8764 / FAX: +81-3-4580-7166 - International Equities Administrators
- 2-12-4 Toranomon, Minato-ku Tokyo,105-0001
TEL: +81-3-4550-0335 / FAX: +81-3-4496-4455 - International Equity Authority
- 14 Flr Shinjuku Maynds Tower, 2-1-1 Yoyogi, Shibuya Ward, Tokyo 100-0004
- International Equity Regulation Department
- 12/F, Tokyo Bankers Club Building, 1-2-1, Marunouchi, Chiyoda-ku, Tokyo 100-0005 Japan
http://interd.org - International Exchange Regulatory Agency
- Yokohama Business Park 134 Godo-Cho, Kanagawa, Tokyo, Japan
TEL: +81-3-4520-9560 / FAX:+81-3-6385-7549
http://www.intexra.org - International Mergers & Aquisitions Administration
- 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514 - International Mergers & Acquisitions Authority
-
1) 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-95142) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL; +81 3 4578-0625 / FAX: +81-3-6745-8657 - Intercontinental Mergers & Acquisitions Agency
- 9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
http://www.interconma.org/ - International Securities Commission
- Siodome Sumitomo Building 14th Floor 1-9-2 Higashi-Shimbashi Minato-ku Tokyo 105-0021
TEL: +81-3-4590-3164 / FAX: +81-3-4496-6333
http://www.intersc.org - International Stock Regulators Board
- Marunouchi Bidg. 23G, 3-2-4 Marunouchi, Chiyoda-ku, Tokyo 100-6323
TEL: +81-3-4550-0331
http://www.intsrb.org - International Trade Advisory Committee
- Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
http://intl-tradeac.com - International Trading Bureau
- Izumi Garden Tower 18th Floor 1-6-1 Roppongi, Minato-ku, Tokyo 106-6018
TEL: +81-3-4588-8763 - Japan Futures Trading Board
- http://www.jftb.org/eng
- KMEX Kyoto Merchantile Exchange
- 67 Kusakawa-cho, Nanzenji, Sakyo-Ku, Kyoto 606-8437, Kyoto Prefecture, Japan
- Mergers and Acquisitions Financial Administration
- 11th Floor Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, Tokyo, 108-0014
Tel: +008-134-578-0376 Fax: +008-136-745-4952
regulation@mafinad.org
- Mergers & Acquisitions Regulatory Commission (MAREGCOM)
- Level 14, Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003
TEL: +81-3-4580-2174
http://www.maregcom.org - Mergers & Acquisitions Supervison & Administration Commission(MASAC)
- 15th Flr., Fujino Building 11-8, Nihonbashi Kodenma-cho Chuo-ku, Tokyo 103-0001
TEL: +81-3-4579-00370 / FAX: +81-3-6745-2891
http://www.masac.org/ - Nikkei Securities Exchange Group
- 15th Fl. Tokyo Exchange Bldg Nihonbashi Kabutocho, Chuo-ku, Tokyo, Japan
TEL: +81-3-9588-5988 / FAX: +81-3-9588-2989
http://www.nikkei-securities.jp - Osaka Futures and Options Exchange
- Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
http://www.ofox.jp - The Financial Services Regulatory Authority
- http://fsra.jp
- The Tokyo Futures and Options Exchange
- 166-0002 Koenji-Kita, Suginami-Ku, Tokyo 166-0002
http://www.tfox.jp - Tokyo Board Options Exchange
- 14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
http://www.tboex.com - Tokyo Commodities Futures Exchange
- 3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
http://www.tcfx.jp - Tokyo Commodities Trading Authority
- Dai-ichi Tekko Building, Chiyoda-ku, Tokyo 100-0005 Japan
http://hkhoster.com/tocomta.org/jp/ - Tokyo Futures Trading Board
- Level 16 & 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-ku, Tokyo 105-6016 (Level 16) 105-6027 (Level 27) Japan
http://www.toftb.com - Tokyo World Future Exchange
- http://www.twfex.com
- World Securities Authority
- Level7, Nittochi Nishi-Shinjuku Building, 6-10-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo
TEL: +81-3-4550-0685 / FAX: +81-3-6730-9627 - Yokohama Mercantile Exchange (YKMEX)
- Naka-ku Tower, Nogecho 3-13-7, Yokohama, Kanagawa Prefecture,231-0064 Japan
http://www.ykmex.org
Investors Alert by the IOSCO
- In February, 2002, the International Organization of Securities Commissions (IOSCO) released a statement of “Investors Alert on cold calling,” of which points are as follows:
- Generally speaking, an entity is required to have some form of authorization by the regulators in the country where the investors that it would solicit reside, in order to conduct financial/securities business. There is a possibility that cold callers do not have such authorization and they are involved in illegal activities by which investors lose their money.
- Therefore, investors should not make an investment solely on the basis of “cold calls.” Before making an investment decision and paying money, investors should, at the very least, check whether the entities are given registration and/or authorization as securities dealers, investment advisers, etc., by the regulators in the jurisdictions where the investors reside and the entities claim to operate. Investors also should make serious inquiries into the legitimacy of the entity if the entity promises spectacular returns or “guaranteed” profits.
- The IOSCO Asian Pacific Regional Committee (APRC) also announced a press release in February, 2002. The APRC members, including the FSA, expressed their intension to enhance cooperation, mutual assistance and information-sharing to detect illegal activities, as well as to publicize the names of unlicensed/unregistered entities, in order to prevent investors from becoming victims by fraudulent activities.
Public Alert: List of Fictitious Governmental Agencies and International Organizations associated with Soliciting Entities
copied from the SEC website
resource link:http://www.sec.gov/investor/oiepauselistfake.htm
———————————————————————————————————————————–
Public Alert: Unregistered Soliciting Entities (PAUSE)
List of Fictitious Governmental Agencies and International Organizations Associated with Soliciting Entities
The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities claiming to offer investments endorsed, approved, or otherwise supported by governmental agencies, including the SEC, or international organizations. The SEC does not “approve” or “endorse” any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal. The SEC’s Office of Investor Education and Advocacy has issued a number of Investor Alerts, available here, on the topic of bogus regulators and SEC impersonators. In many cases, SEC investigation reveals that the so-called governmental agencies or international organizations claimed to have lent support to these solicitations do not exist. In an effort to warn the public about these entities, the SEC is posting the list below. The SEC will regularly update this list.
Additional PAUSE Lists
In addition to the fictitious regulators listed below, the SEC also receives complaints about unregistered soliciting entities and entities impersonating genuine US registered securities firms. You can view a list of these entities by following the separate links listed below.
- Unregistered Soliciting Entities
- .
- Impersonators of Genuine Firms
You should be aware that these lists do not include all unregistered entities, impersonators of genuine firms, fake regulators, or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on these lists does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities. You can view the official SEC release describing and providing more details about this list. If you have information, questions or comments about the entities on this list, please contact oiea@sec.gov or call 202-551-6551.
| Name | Comment |
|---|
A |
|
| American Financial Group Ten G Street NE, 6th Floor Washington, DC 20002 Website: http://amfigroup.com/ |
|
C |
|
| Chicago Trading Regulatory Board 901-905 North Michigan, Suite 565 Chicago, IL 60611 Website: http://ctrb.us/ |
|
| Center for Securities Investigation Department 324 W. Main St. Brighton, MI 48116 Phone: 810-852-1701 Fax: 810-852-1702 |
|
| Central Stock Regulators 3200 West End Avenue Nashville, TN 37203 Phone: 615-349-9977 Fax: 615-250-4897 |
|
| Commission on International Trade and Economics (COITE) Phone: 205-258-3060 Fax: 888-846-8271 E-mail: coite@revenue.com |
|
D |
|
| Department of Law and Public Safety Office of the Public Defenders Hughes Justice Complex, 1st Floor, N-Wing 25 Market Street, P.O. Box 850 Trenton, NJ 08625 Phone: 609–284–9603 Fax: 609–228–5356 |
|
| Department of Securities Trading 745 19th Street Northwest Washington, DC 20431 Website: http://gov.depst.org/, http://depst.us |
|
| Division of Securities for the District of Columbia (DOSDC) Phone: 202-596-3591 Fax: 202-330-5156 E-mail: hotline@dosdc.org No website or address provided in documents. |
|
E |
|
| Equities Trading Commission 1800 K Street Northwest, #530 Washington, DC 20006 Phone: 202-249-7490 Fax: 202-318-8716 Website: http://gov.eqtc.us/ and 842 Vermont Avenue |
|
F |
|
| Federal Division Of Securities, NY 176 Pearl Street New York, NY 10005 Phone: 212-542-8755 Fax: 212-409-8391 Website: http://fdsus.org/ |
|
| Federal Recapitalization Fund 77 Water Street New York, NY 10005 Phone: 212-381-1810 Website: http://www.fedrecap-gov.us/ |
|
| Federal Securities and Investments Regulatory Commission (FSIRC) 915 Second Avenue, Suite 2110 Seattle, WA Website: http://www.fsirc.org/ (The website is no longer accessible.) |
|
| Federal Securities Commission 78 State Street Albany, NY 12207-2002 Phone: 518-618-1020 Fax: 518-677-1836 Website: http://us-fsc.org/ |
|
| Federal Securities Regulatory Agency Henry M. Jackson Federal Building, 27th Floor 915 2nd Avenue Seattle, WA 98104 Phone: 202-747-7823 Fax: 202-478-1738 Website: http://fsraonline.org/ and http://fsra-protect.org/ (The websites are no longer accessible.) |
|
| Financial Securities and Equities Bureau (FSEB) 2nd Street, SW and D Street, SW Washington, DC 20024 Phone: 202-461-3251 Website: http://www.fsaeb.us/ |
|
G |
|
| Global Compliance Agency 201 S. College St. Charlotte, NC 28244 Phone: 704-817-0614 Fax: 704-817-0615 |
|
| Global Investments Compliance Center 5005 Rockside Road Independence, OH 44131 Phone: 216-220-1600 Fax: 216-220-1601 |
|
| Global Securities Protection Agency 41 Marietta Street Atlanta, GA 30303 Phone: 678-954-0522 Fax: 678-954-0523 |
|
I |
|
| International Association of Transfer Agents 30 Wall Street New York, NY 10005 |
|
| International Board of Mergers & Acquisitions 433 North 6th Street Philadelphia, PA 19123 Phone: 215-475-5894 Fax: 215-701-2491 Website: http://gov.ibma.us/ |
|
| International Commission of Securities 600 Superior Avenue East Fifth Third Building Suite 1300 Cleveland, OH 44114 Phone: 440-869-9952 Fax: 440-848-2305 |
|
| International Equities Administrators 5865 Ridgeway Center Parkway, Suite 350 Memphis, TN 38120 Phone: 901-896-0327 Fax: 901-339-0522 |
|
| International Exchange Commission 190 High Street Boston, MA 02110 Phone: 617-861-4470 Fax: 617-861-4458 Website: http://iecnet.org/ |
|
| International Exchange Commission 545 8th Avenue, Suite 501 New York, NY 10018 Phone: 212-330-0995 Fax: 212-465-3392 Website: http://www.iecommission.org/ |
|
| International Financial Trading Commission 1091 Vermont Avenue, NW Washington, DC 20005 Phone: 202-595-2867, 202-534-3926 Fax: 202-403-3289 Website: http://gov.intftc.org/ |
|
| International Fraud Alert Phone: 202-455-0973 Washington D.C. Website: http://www.internationalfraudalert.org |
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| International Information Exchange 775 15th St. NW, Suite 500 Washington, DC 20005 Phone: 202-263-1950 Fax: 202-263-1951 Website: http://theiie.net/ |
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| International Investor Protection Coalition, a.k.a. IIP Coalition Lexington Avenue and E. 54th Street New York, NY 10010 Phone: 212-542-9171 Website: http://iipcoalition.org |
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| International Organization of Registrar and Clearing Agents (IORACA) One Post Street, Suite 1830 San Francisco, CA 94104 Website: http://www.ioraca-gov.org/ |
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| International Securities Accreditation Authority 30 E. Broadway Salt Lake City, UT 84111 Phone: 801-618-2100 Fax: 801-618-2119 |
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| International Securities Administrators 312 Walnut Street, Suite 1500 Cincinnati, OH 45202 Phone: 513-297-1593 Fax: 513-672-2308 |
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| International Securities Authority 622 Pennsylvania Avenue Northwest Washington, DC Phone: 202-360-4613 Fax: 202-403-3289 Website: http://gov.intseca.org/ |
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| International Securities and Equities Board 1441 L Street N.W Washington, D.C. 20005 Phone: 202-552-1506 Fax: 202-315-3628 Website: http://gov.iseb.us/ |
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| International Shareholders Compliance Department 500 N. Michigan Ave., Suite 320 Chicago, Il 60611 Phone: 312-281-0329 Fax: 312-276-4752 |
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| International Stock Transfer Administration (ISTA) 8025 Corporate Drive Nottingham, MD 21236 Phone: 443-320-1009 Fax: 410-630-3545 Website: http://gov.stocktransfer.org/ |
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N |
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| New York Securities Division Federal Office Building 205 Varick Street New York, NY 10014 Website: http://us-nysd.org/ |
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O |
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| Offshore Securities Commission 295 Greenwich Street (Wall Street) New York, NY 10007 Phone: 212-918-8572 Website: http://www.offshoresecuritiescommission-gov.us |
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| Pennsylvania Division of Securities 1 South Broad Street, #552-A Philadelphia, PA 19107 Phone: 484-748-0028 Fax: 484-223-3044 Website: http://dospa.org/ |
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| Securities Administration 605 University Street Seattle, WA 98101-4112 Phone: 206-395-2023 Fax: 206-299-9916 Website: http://www.stocktransfers.us (The website is no longer accessible.) |
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| Securities and Financial Commission (SFC) 735 3rd Avenue Seattle, WA 98104-1802 Phone: 206-801-3381 Fax: 206-299-9494 Website: http://gov.secfc.com |
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| Securities and Investments Disputes Agency 2 Prudential Plaza 180 Stetson Avenue Chicago, Illinois Phone: 312-465-1131 Website: http://www.SIDAinternational.org |
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| Securities Regulation, Protection and Litigation Agency 101 Madison Avenue New York, NY 10016 Phone: 646-918-5136 Fax: 206-299-3723 Website: http://srpla.org/ |
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| Securities Trading Board 842 Vermont Avenue NW Washington, DC 20005 Phone: 202-688-5985 Fax: 202-403-3289 Website: http://gov.sectb.org/ |
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| Securities Trading Commission 1110 Connecticut Avenue NW Washington, DC 20036 Phone: 202-204-2310 Fax: 202-330-5349 Website: http://gov.sectco.us/ |
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| State Securities Commission 1300 Connecticut Avenue, NW, #520 Washington, DC 20036-1709 Phone: 202-600-2944 Fax: 202-315-3692, 206-238-6266 Website: http://statesec.org/ |
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| U.S. District Court of Arbitration Federal Office Building 90 Church Street New York, NY 10007 Phone: 917-546-7307 Fax: 917-591-8309 E-mail: helpdesk@dcoany.us |
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| U.S. International Bureau for Trading 1101 30th Street, NW, Suite 500 Washington, DC 20007 Phone: 202-470-4047 Website: http://www.usibtrading.org/ |
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| U.S. Regulatory Securities Agency 1025 Connecticut Avenue, NW, Suite 1000 Washington, DC 20036 Phone: 202-470-5470 Website: http://www.usregsec.org |
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| US Shareholders Registry Department 240 Woodrow Street Chester, PA 19013 Phone: 484-694-9433 Fax: 484-694-9433 Website: http://www.us-srd.us/ |
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| United States Federal Court of Arbitration Federal Office Building 201 Varick Street New York, NY 10014 Phone: 646-616-7551 Fax: 646-514-0670 Website: http://fcoaus.org/ |
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| United States Investment Dealers Organization (USIDO) 1644 Murfreesboro Nashville, TN 37217 Phone/Fax: 615-528-7875 Email: info@usidealers.org and United States Investment Dealers |
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| United States Regulators and Administration Commission 72 Mt. Vernon Street Boston, MA and 160 Cambridge Street |
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| United States Securities and Acquisitions Administration 1120-1152 20th Street, NW, 38B, 3rd Floor Washington, DC 20036 Phone: 202-618-9054 Fax: 202-318-8613 Website: http://www.gov.ussaa.us |
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| United States Securities and Investments Commission Website: http://www.ussicommission.org |
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| United States Securities Regulatory Commision (sic) 2001 L Street NW Washington, DC 20036 Website: http://gov.ussrc.us/ |
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| United States Settlement and Claims Commission a.k.a. Settlement Claims Commission (SCC) 125 North Madison Street Stockton, CA 95201-9005 Phone: 209-751-4458 Fax: 209-751-4501 Website: http://www.scc-us.org/ (The former website http://scc-gov.org/ is no longer accessible. However, the current website is accessible.) |
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To view the SEC’s Data Quality Guidelines, click [http://www.sec.gov/about/dataqualityguide.htm].
http://www.sec.gov/investor/oiepauselistfake.htm
Investor Alerts and Bulletins by Date (Main Page)/(Topical)
Understanding Margin Accounts (August 2013)
Ponzi Schemes Using Virtual Currencies (July 2013)
Interest Rate Risk — When Interest Rates Go Up, Prices of Fixed-Rate Bonds Fall (June 2013)
Beware Investment Offers Implying SEC Endorsement (June 2013)
Don’t Trade on Pump-And-Dump Stock Emails (June 2013)
Binary Options and Fraud (June 2013)
What Are High-yield Corporate Bonds? (June 2013)
What Are Corporate Bonds? (June 2013)
SEC Warns of Bogus Securities Regulators Soliciting Investors (May 2013)
Pension or Settlement Income Streams (May 2013)
Private Oil and Gas Offerings (May 2013)
SEC Warns of Government Impersonators (Updated) (April 2013)
How to Read a Mutual Fund Shareholder Report (April 2013)
Custody of Your Investment Assets (March 2013)
Insider Transactions and Forms 3, 4, and 5 (February 2013)
Investing in an IPO (February 2013)
Municipal Bonds – Understanding Credit Risk (December 2012)
13 Things Everyone Should Know About Investing (December 2012)
Year-End Investment Considerations for Individual Investors (December 2012)
Be on the Lookout for Investment Scams Related to Hurricane Sandy (November 2012)
Hedge Funds (October 2012)
How to Read Confirmation Statements (September 2012)
Lost and Stolen Securities (September 2012)
Affinity Fraud (September 2012)
Top Tips for Selecting a Financial Professional (September 2012)
American Depositary Receipts (August 2012)
ETFs (August 2012)
International Investing (July 2012)
New Measures to Address Market Volatility (July 2012)
Municipal Bonds (June 2012)
DTC Chills and Freezes (May 2012)
How to Read an 8-K (May 2012)
Trading Suspensions (Updated) (May 2012)
Social Media and Investing-Tips for Seniors (May 2012)
CMKM Diamonds Investors (April 2012 – Updated)
Pre-IPO Investment Scams (April 2012)
Voting in Annual Shareholder Meetings – What’s New in 2012 (March 2012)
SEC Warns of Government Impersonators (February 2012)
Social Media and Investing – Avoiding Fraud (January 2012)
Social Media and Investing – Understanding Your Accounts (January 2012)
12 Saving and Investing Tips for 2012 (December 2011)
Transition of Mid-Sized Investment Advisers from Federal to State Registration (December 2011)
Real Estate Investment Trusts (REITs) (December 2011)
Investment Seminars – Trading Seminar Fraud (October 2011)
The Foreign Corrupt Practices Act – Prohibition of the Payment of Bribes to Foreign Officials (October 2011)
How to Read a 10-K (September 2011)
Self-Directed IRAs and the Risk of Fraud (September 2011)
Investor Warning Regarding Possible Advance Fee Fraud Targeting Deaf Investors (August 2011 – Updated)
New Stock-by-Stock Circuit Breakers (August 2011 – Updated)
Foreign Currency Exchange (Forex) Trading for Individual Investors (July 2011)
Auction Rate Securities (July 2011 – Updated)
Cobell Indian Trust Settlement Payout Recipients – Be on the Lookout for Investment Scams (July 2011)
Early Retirement Seminars: Smart Tips for Spotting Retirement Scams (June 2011)
Structured Notes with Principal Protection: Note the Terms of Your Investment (June 2011)
Reverse Mergers (June 2011)
Indexed Annuities (April 2011)
Information for Stanford Investors (June 2011 – Updated)
Spotlight on Proxy Matters (June 2011 – Updated)
Trading Suspensions (June 2011)
After-Hours Trading (May 2011)
Say on Pay and Golden Parachute Votes (March 2011)
Trading Basics (March 2011)
Pre-IPO Investment Scams (March 2011)
Margin Rules for Day Trading (February 2011)
New Rules Give Customers Option of All Public Arbitration Panels (February 2011)
Money Market Funds: Staff Responses to Questions about Information Filed on Form N-MFP (January 2011)
Trading in Cash Accounts (January 2011)
Life Settlements (January 2011)
Top 11 Tips for 2011 (January 2011)
Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors (October 2010)
BP Payout Recipients: Be on the Lookout for Investment Scams (October 2010)
Investors Beware of Government Impersonators (October 2010)
Focus on Municipal Bonds (September 2010)
Trading in Stock After an SEC Trading Suspension — Be Aware of the Risks (August 2010)
Analyzing Analyst Recommendations (August 2010)
Amendments to Form ADV – New Disclosure Requirements for Investment Advisers (July 2010)
New Rule to Curb “Pay to Play” Practices (July 2010)
New Rules Improving Municipal Disclosure (June 2010)
Oil Spill Stock Scams—Don’t Get Cleaned Out by False Cleanup Claims (May 2010)
Investors Beware of Entity Calling Itself “U.S. Securities and Equities Administration” (May 2010)
Target Date Retirement Funds (May 2010)
Investor Warning Relating to Eric V. Bartoli, Enrico Orlandini, and DT Analysis a/k/a and Dow Theory Analysis SAC (April 2010)
Focus on Money Market Funds (April 2010)
Keeping Track of Your Investments – New Rules on Custody (April 2010)
SEC Investor Alert on Phony SIPC “Look-Alike” Website Targeting Madoff Victims (March 2010)
Information for Reserve Primary Fund Investors (January 2010 – Updated)
Information Concerning Malaysian Restitution Fund for SwissCash Investors (December 2009)
SIPC Exposes Phony “Look-Alike” Web Site (December 2009)
SEC-FINRA Investor Alert on Leveraged and Inverse ETFs (August 2009)
Prime Bank Fraud Information Center (June 2009)
Investor Alert for Stanford Investors (April 2009)
Financial Navigating in the Current Economy (December 2008)
Hedge Funds: Investor Alert from FINRA (October 2008)
Subordination Agreements — Understand the Risks (FINRA Alert) (October 2008)
Affinity Fraud: How To Avoid Investment Scams That Target Groups (September 2006)
August 22, 2013 CFTC Files to Revoke Registration of Prestige Capital Advisors, LLC, ordered to pay $6.9M in penalties, $4.1M restitution.
copied from cftc website
resource link:http://www.cftc.gov/PressRoom/PressReleases/pr6671-13
August 22, 2013
CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC
Washington, DC– The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registration of Prestige Capital Advisors, LLC (Prestige) of Charlotte, North Carolina, as a Commodity Trading Advisor (CTA).
The CFTC Notice alleges that Prestige is subject to statutory disqualification from CFTC registration based on an Order of default judgment and permanent injunction entered against Prestige in the U.S. District Court for the Western District of North Carolina on January 25, 2013 (see CFTC Press Release 6615-13). The Order finds that Prestige fraudulently solicited and accepted more than $4.7 million from multiple pool participants for investment in one or more commodity pools that traded among other things, commodities and futures contracts. The Order also finds that Prestige misappropriated pool participant funds, posted false trading returns on a website called BarclayHedge (where fund managers could post unverified historical returns for prospective clients to view), sent false trading results to at least one Prestige pool participant, and issued false account statements. As a result, Prestige was ordered to pay approximately $6.9 million in civil monetary penalties and restitution of over $4.1 million.
CFTC Division of Enforcement staff members responsible for this case are Eugenia Vroustouris, Daniel Jordan, Michael Loconte, Erica Bodin, Rick Glaser, and Richard Wagner.
Last Updated: August 22, 2013
8/19/13 FXCM chart scale differences for each pair deludes people: proof
Ever opened a contract with an auto limit in place and it showed up close with one pair but far away for another- and wondered why- its all part of the game. People are visual. FXCM knows – if it looks the same people will think its the same and confidently place an order. Before you place a big order- place one for a single tiny contract to verify how far away 12 pips really is. The closer 12 pips appears to the position- the more money you will make.
proof: I opened positions in 8 pairs and this shows where the limit showed up in the same screen view for all 8.
click on chart picture twice to see full size in a new screen
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8, 13, 2013,civil injunction filed against Worth Group Inc, Andrew Wilshire, Eugenia Mildner, who took more than 73 million. Defrauded precious metals customers.,
copied from the cftc website
resource link: http://www.cftc.gov/PressRoom/PressReleases/pr6666-13
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August 13, 2013
CFTC Charges Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, in Multi-Million Dollar Fraudulent Precious Metals Scheme
CFTC alleges that Defendants, who took in more than $73 million, defrauded customers in connection with precious metals transactions and engaged in illegal off-exchange commodity transactions
Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on August 13, 2013, it filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Worth Group Inc. (Worth), as well as its owner, Andrew Wilshire, and its sole officer and director, Eugenia Mildner, all of Jupiter, Florida. The CFTC’s Complaint charges that Defendants defrauded retail precious metals customers and engaged in illegal, off-exchange retail commodity transactions from July 16, 2011, through the present.
According to the Complaint, Worth purported to sell physical metal, including gold, silver, platinum, and palladium, on a fully-paid basis, as well as on a financed basis, to hundreds of retail customers located throughout the United States. The Complaint alleges that Worth falsely represented to customers that, within 28 days of a customer’s purchase, Worth would deliver metal either to the customers directly or to a depository that would hold the metal for the customer. The Complaint alleges that pursuant to the scheme, Worth took in over $73 million in customer funds between July 18, 2011, and December 31, 2012.
As alleged, in connection with fully-paid transactions, customers paid the full purchase price to Worth for metals, having been told that Worth would deliver metal in return. The Complaint alleges that from at least August 15, 2011, through November 8, 2012, however, Worth did not actually deliver metal to most customers. Instead, rather than deliver actual metal, Worth’s typical practice after receiving customer money was to purchase metals derivatives in accounts owned by Worth. These derivatives purportedly “covered” customer transactions, but, contrary to Worth’s representations to customers, did not involve the purchase, transfer, or physical delivery of precious metals to Worth, let alone to its retail customers.
Retail customers engaging in financed transactions with Worth were told that they were borrowing money to purchase precious metals. Under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank), a financed transaction such as that conducted by Worth is an illegal off-exchange transaction unless it results in actual delivery of metal within 28 days. The Complaint alleges that Worth often failed to make such delivery on a timely basis. Worth thus defrauded its customers and subjected them to undisclosed exposure to Worth’s credit, as they were left with only Worth’s commitment to deliver metal rather than the promised metal itself.
The Complaint further alleges that as persons controlling Worth’s precious metals operations, Wilshire and Mildner are liable for Worth’s violations of the Commodity Exchange Act and a CFTC Regulation.
In its continuing litigation against Defendants, the CFTC seeks preliminary and permanent civil injunctions in addition to other remedial relief, including restitution, civil monetary penalties, and disgorgement of ill-gotten gains.
This is the third action the CFTC has brought against entities and individuals who purport to buy precious metals and transfer ownership of those metals to customers, when insufficient metal, or no metal at all, is in fact purchased and delivered (see CFTC Press Releases 6447-12 and 6655-13).
David Meister, the CFTC’s Enforcement Director, stated: “The rules of the new Dodd-Frank law are simple: Companies and individuals who purport to sell precious metals to the retail public, and who say they are supplying real metal, must actually deliver real metal. As today’s case shows, along with previously filed Complaints against Hunter Wise Commodities, LLC and AmeriFirst Management, LLC, we will not hesitate to pursue wrongdoers who say they are providing investments in real precious metals to the American public when in fact they are providing nothing of the sort.”
The CFTC thanks the U.K. Financial Conduct Authority for its assistance in this matter.
The CFTC Division of Enforcement staff members responsible for this matter are Theodore Z. Polley III, Melissa Glasbrenner, William P. Janulis, Scott Williamson, Rosemary Hollinger, and Richard B. Wagner.
CFTC’s Precious Metals Fraud Advisory
In January 2012, the CFTC issued a Precious Metals Consumer Fraud Advisory to alert customers to precious metals fraud. The Advisory states that the CFTC had seen an increase in the number of companies offering customers the opportunity to buy or invest in precious metals. The CFTC’s Advisory specifically warns that companies often fail to purchase any physical metals for their customers, instead simply keeping the customer’s funds. The Advisory further cautions customers that leveraged commodity transactions are unlawful unless executed on a regulated exchange.
Last Updated: August 13, 2013
7/13 “Cold Calling” – Investors Alert: List of non-registered or non-authorized entities with the FSAF. FSA reports Japan is claimed location of callers.
copied from the JFSA website
resource link: http://www.fsa.go.jp/en/refer/cold/
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“Cold Calling” – Investors Alert
- Today, so-called “Cold Calling,” a fraudulent practice aimed at soliciting investors, is conducted all over the world. “Cold-calling” is a practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. Typically, a “cold caller” makes unsolicited calls to potential investors, cajoles them into deciding to purchase certain securities, and then, becomes unavailable for contact after the investor sends the money for that purchase. As a result, the investors cannot obtain the securities although they made the payment, and they also cannot get back the money they paid. Investors need to be more careful and vigilant, as cold callers have been using more varied and more sophisticated tactics. (For example, some cold callers execute transactions properly and make profits for investors at first. Then, they solicit bigger transaction and make the investors transfer the money for it. After that, the cold callers disappear.)
- In most countries, a person is required to be registered with or licensed by the national regulatory body before conducting solicitation of securities transactions. However, cold-callers do not have such registration or licenses. One of the characteristics of cold callers is that it is extremely difficult to discover their whereabouts. Many cold callers indicate their office locations on their websites (or documents sent to investors), but they rarely operate at that location. Apparently, cold callers intentionally hide their whereabouts, so that they can avoid being visited by the investors they approach. Notably, it is very typical that cold callers claim that they are located in a country that is different from the location of the prospective victim. For example, there are many cases in which cold callers that have approached American or European investors claims that to have an office located in Japan (at a building in Tokyo, for instance.)
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The FSA has received extensive information from overseas investors and foreign regulators with regard to cold callers who claim to be located in Japan. The FSA has made a list of entities which are not registered with or authorized by the FSA under the Financial Instrument and Exchange Act of Japan. Investors should be very careful and vigilant about conducting business with these entities, potentially opting against conducting any transactions via these entities.
- Recognizing the need for cooperation among securities regulators in order to combat cold calling, the International Organization of Securities Commissions (IOSCO) – the international body consisted of securities regulators around the world – publicized a statement for investors alert on cold calling in February 2002 (see attachment). In the context of such international cooperation, the FSA brings attention and warning to investors by putting the list of suspected cold-callers below. Likewise, foreign regulators publicize the same kind of list and issue warnings to investors on their own websites. When you are solicited by an entity to invest in certain securities, it is very important for you to check the list below as well as other regulators’ websites in advance of making decisions.
- It has been noted that the entities listed below do not cover all exiting cold callers in the world. Other cold callers may exist. Therefore, it is recommended that investors check not only the list below, but also the “List of licensed (registered) Financial Institutions” and confirm whether the entity is registered with the FSA. If not registered, sufficient caution is necessary, such as not having a business with such entities.
List of non-registered or non-authorized entities with the FSA
Below is the list of non-registered or non-authorized entities with the FSA, based on information received from investors. Investors should be aware that the solicitations of investment by these listed entities have a possibility of cold calling. Please be reminded that other suspected cold callers may exist and additional entities may be listed. Please also be advised that there have been cases where different companies were located in addresses indicated in the list below. The fact that the address is put in the list below does not mean that such companies have any connection to the listed entities.
******* Latest Update (Posted on July 2013) *******
- (1) Capitol Trade
- Holland Hills Mori Tower Floor 9 5-11-1 Toranomon Tokyo
Phone: 81 3 4520 6362
FAX: 81 3 4496 4366
http://www.capitoltrade.com - (2) MTR Global
- 12/F Tokyo Banker’s Club Build, 1-7-2 Maruouchi, Chiyoda-ku, Tokyo 100-0005. Japan
Phone: 81 3 6388 0372
FAX: 81 3 6388 0373
http://www.mtrglobal.com - (3) New Gold Capital
- Hibiya Central Building 1-2-9 Nishi-Shinbashi Minato-ku Tokyo 105-0003 Japan
Phone: 81 3 6745 8443
FAX: 81 3 6745 9396
http://www.newgoldcapital.com - (4)Solomon Layb
- Roppongi Tower 7-10-2 Chiyoda Business Park 2-5-4 Kojimachi Chiyoda-ku Tokyo 102-0083 Japan
http://www.solomon-layb.com - (5)Stockbridge Partners
- Yasuda Seimei Building Floor 18 3-3-20 Umeda, Osaka, Japan
Phone: 81 6 4560 4039
FAX: 81 6 7635 4783
http://stockbridgepartners.com/index.php - (6)WB Global
- Azabu East Court, 2-22-5 Higashi Azabu Minato-ku, Tokyo, 106-0044 Japan
Telephone:+81 3 4588 8725
www.wbglobal.net
(fictitious regulators and securities/financial exchanges)
- (7)Yokohama Mercantile Exchange (YKMEX)
- Naka-ku Tower Nogecho 3-13-7 Yokohama Kanagawa Prefecture,231-0064 Japan
http://www.ykmex.org
********************************************
- Abramson International
- 1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
http://www.Abramsoninternational.com - Alderman Associates Ltd
- Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo 130-0031 Japan
TEL: +81-3-4520-9536 / FAX: +81-3-6385-7599
http://www.aldermanassociatesltd.com - Anderson Munro
- Nihonbashi Mitsui Tower 39th Floor, 2-1-1 Nihonbashi-Muromachi, Chuo-ku, Tokyo 163-1030 Japan
TEL: +81-3-5456-5074 / FAX: +81-3-4496-4380
http://andersonmunro.com - Aozora Alliance
- World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya-ku, Tokyo 150-0042,JAPAN
+81-3-4496-6021 / FAX+81-3-4496-6031
http://www.aozoraalliance.com - Apex Trading Group
- 18th Floor, Tokyo Sankei Building, 1-7-2 Ohtemachi, Chiyoda-ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4940 / FAX: +81-3-4496-4941
http://www.apex-tg.com - Asia Pacific Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0446 / FAX: +81-3-4496-5042
http://asiapacificgroup.com - Asset Brokerage Network
- Level 14 Shibarikyu Shiodome, 5-3 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-4580-0937, +81-3-4550-6882, +81-3-4590-3121 / FAX: +81-3-4496-4045
http://www.abn-group.com - Atlantic Administration
- Cerulean Tower, 26-1 Sakuragaoko-Cho, Shibuya-Ku, Tokyo 150-8512 Japan.
- Axis Corporate Finance
- Level5 Shinsaibashi Plaza Building Shinkan 3-12-21 Minami-Senba, Chuo-ku Osaka 542-0081
TEL: +81-3-4520-8929 / FAX: +81-6-6537-1926
http://www.axiscf.com - Barlow & Ramsey
- Sanno Park Tower Bldg. 2-11-1 Nagata-Cho, Chiyoda-ku, Tokyo 100-6113 Japan
TEL: +81-3-4496-5211 / FAX: +81-3-4496-5212 - Beacon Global Advisors
- 15th Floor, Cerulean Tower, 26-1 Sakuragaoka-cho, Shibuya-Ku, Tokyo 150-8512 Japan
TEL: +81-3-5456-5037 / FAX: +81-3-4496-4047
http://www.beacon-global.com - Blue Sky Solutions Inc.
- 7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
http://www.blueskysolutionsinc.com - Bowden Ventures
- 2-1 Nihombashi Kabuto-cho, Chuo-ku, Tokyo 103-8220 Japan
TEL: +81-3-4580-1727 / FAX: +81-3-4496-4011 - Brentwood Group Ltd.
- Level 15, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4580-1760, +81-3-6688-4521 / FAX: +81-3-4496-6228
http://www.brentwoodgpinter.com - Bridgestone Trading Ltd
- Level 28, Shinagawa Intercity Tower A, 2-15-1 Konan,Sumida-ku, Tokyo 108-6028
TEL: +81-3-6717-4200 / FAX: +81-3-6717-4201
http://bridgestonetrading.com/company.php
* Bridgestone Corporation has no association whatsoever with the organization. - Brookdale West Capital Management
- 15th Floor Gate City Ohsaki-West Tower, 11-1, Osaki 1-chome, Shinagawa-ku, Tokyo 141-0032
TEL: +81-345-209-677
http://brookdalewest.com - Brunswick Knight
- TEL: 03-4800-400771
http://www.brunswick-knight.com - Cahill & Audleman
- 502 Hillside Kagurazaka, 3-6-10 Kagurazaka, Shinjyuku-Ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4790 / FAX: +81-3-4496-4791 - Calderton Capital Partners
- Nihonbashi 1-chome Building, 1-4-1 Nihonbashi Chuo-ku, Tokyo 103-0027 Japan
TEL: +81-3-4588-4048
http://www.caldertoncp.com/index.html - Cambridge Capital
- Yebisu Garden Place Tower 18 Fl. 4-20-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-5148-8730 / FAX: +81-3-3779-5022
http://www.cambridge-capital.com/index.html - Campbell & Co. Ltd.
- Suite 401, Hanahara Bldg.5, 7-8-17 Nishinakajima, Yodogawa-ku, Osaka 532-0011 Japan
TEL: +81-06-6101-0356 / FAX: +81-06-6101-0357
http://www.campbellasia.com - Capital Plus Group
- 14F Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2121 / FAX: +81-3-4496-4904 - Carlton First Capital
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku, Tokyo 141-0021 Japan
http://www.carltonfirstcapital.com/index.html - Carnegie Advisors Ltd.
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Carter Sinclair Ltd
- 31F Osaka Kokusai, 2-3-13 Azuchi-machi, Chuo-ku, Osaka 541-0052 Japan
TEL: +81-6-4964-2616 / FAX: +81-6-4964-2628
http://www.carter-sinclair.com/contact.htm - Charles Fleming Co.
- Sanno Park Tower Bldg., 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo 100-6172 Japan
TEL: +81-3-5456-5026 / FAX: +81-3-4496-4464 - Citadel Group International
- Level 8 Pacific Century Place 1-1-11 Marunouchi, Chiyoda-ku Tokyo 100-6208 Japan
- Citigroup Global Funds Incorporated
- 2-17-5 Shibuya Shibuya-ku, Tokyo 150-0002
TEL / FAX: +81-3-4496-4342
http://www.cgfi.biz
* The Citigroup companies in Japan have no association whatsoever with the organization. - Colony Capital and Associates
- 20th Floor Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-6332 Japan
TEL: +81-3-4520-9323 / FAX: +81-3-4496-4202
http://colonycapitalassociates.net/contact-us.htm - Commercial First Group
- Level3 Tokyo Bankers Club Building, 1-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-6293
http://comfirstgroup.com - Conquest Mergers
- Cerulean Tower, 36-1, Sakuragaokacho, Shibuya-ku, Tokyo, Japan
TEL: +81-3-4550-0330. - Cook Capital Partners
- 4-9-7 Roppongi, Minato-ku, Tokyo 106-0032 Japan
TEL: +81-3-4550-0325 / FAX: +81-3-4496-5013
http://www.cookcp.com - Cooper & Daniels Company
- 24F Osaka Ekimae dai 3 bldg, Umeda, Kita-ku, Osaka 1-1-3-500 Japan
TEL: +81-6-4560-4011
http://www.cooperdaniels.com - Cornerstone Worldwide
- Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-ku, Tokyo 105-0003 Japan
TEL: +81-3-4520-9241 / FAX: +81-3-4496-4170
http://www.cornerstoneworldwide.com - Crosby Capital Partners
- 3rd Floor, 4-3-14 Toranomon, Minoto-ku, Tokyo 105-0001
http://crosbycp.com - Crown Point Mergers and Acquisitions Limited
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-1030 Japan,
http://www.crownmergers.com - Dai-ichi Securities
- 15th floor, KDDI Otemachi building, 1-8-1 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4201 / FAX: +81-3-4496-4202
http://www.dai-ichi-securities.com - Daine Financial Trust Management
- Level 29, Shinjuku Nomura Building, 1-26-2 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-0532 Japan
TEL: +81-3-4550-6877
http://www.dainefinancialtm.com - Dawson & Fielding Inc.
- 8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: 81-3-4578-9266 / FAX+81-3-4496-6155
http://www.dawsonfielding.com - DES Options
- AIG Umeda Bldg, 1-27 Chayamachi, Kita-ku, Ohsaka-shi, Osaka 530-0013 Japan
TEL: +81-6-4560-4004 / FAX: +81-3-6537-1712
http://www.desoptions.com - De Verre Lloyd & Co.,Ltd.
- TEL: +81-3-5456-5369
- Direct Mergers & Acquisitions Inc.
- 17th Flr., Resona Maruha Bildg., 1-2 Otemachi 1-chome, Chiyoda-ku, Tokyo Japan 100-0004
Tel: +81-3-4579-0599 / FAX: +81-3-6369-3657
http://www.directmergersacq.com - Dragon Securities
- 502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku-ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4800 / FAX: +81-3-4496-4801 - Drake Merger Management
- 8th flr., Kanematsu Bidg., 14-1, Kyobashi 2-chome, Chuo-ku, Tokyo, Japan 104-0031
TEL: +81-3-4578-0424 / FAX: +81-3-6745-1142
http://www.drakemerger.com/ - Dreyfus Securities Ltd.
- TEL: +81-3-5404-3826
- Drexel Asset Management
- TEL: +81-3-5325-3043, +81-3-5219-1509
- Dulton Group
- 2-14-10 Kanda Jinbo-cho, Chiyoda-ku, Tokyo, Japan
- Dunbar Mckenzie Financial Group
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo 141-0021
TEL: +81-3-4233-6000 / FAX:+81-3-4233-7000
http://dunbarmckenzie.com/index_files/page0015.htm - Dunleavy Investment Limited
- Level 14 Kamiyacho MT Bldg. 4-3-20, Toramonon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4360-5534 / FAX: +81-3-4360-5535
http://www.dunleavyinvestment.com
Suite B1 AIG Building 1-1-3 Marunouchi, Chiyoda-ku Tokyo 100-0005 Japan
TEL: +81-3-5288-5940 / FAX: +81-5288-5941 - e.go trade incorporated
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
- Equi Asia Group Ltd
- Level 28, Shinagawa Intercity Building, Tower A, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-6717-4321 / FAX: +81-3-6717-4341 - First Equis Ltd.
- Shibuya Mark City West 22F 1-12-1 Dogenzaka, Shibuya-Ku, Tokyo 150-0043 Japan
http://www.firstequis.com - First Prime Group
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4580-1998
http://www.firstprimegroup.com - First Prime International Ltd from Tokyo
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4550-0476
http://www.firstprimegroup.net - Fox Paine Partners Inc.
- Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4578-9002 / FAX: +81-3-6385-7639
http://www.foxpainepartnersinc.com - Fujiwata Capital Group
- 1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka 532-0004 Japan
http://www.fujicapgrp.com - Fukumoto, Toshihiro and Partners Futures Trading
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-3-4520-6363 / FAX: +81-3-6385-7561
http://www.ftpfutures.com - Global International Trading
- Level 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-Ku, Tokyo 105-6027 Japan
TEL: +81-50-5809-3362 / FAX: +81-3-4496-6328
http://globalinternationaltrading.com/index.php - Global Strategic Management
- Daitobo Building, Level 6, 20-1 Nihonbashi Hakozakicho, Tokyo, Japan
TEL: +81-3-4520-6364 Fax: +81-3-6745-8961
http://www.globalstrategicmanagement.com/ - Gotthard Capital Partners
- Kasumigaseki Building 28th Floor 2-5, Kasumigaseki 3-Chome, Chiyoda-ku, Tokyo 100-6028
TEL:03-4550-0327 / FAX:03-4496-4849
http://www.gotthardcp.com/index.html - Graham Walker
- 8th floor, Shinjuku Mitsui Building, 2-1 Nishishinjuku, 6-24-1, Shinjuku-ku, Tokyo
TEL: +81-3-4578-9712 / FAX: +81-3-4578-9714
http://www.grahamwalker.com/contactus.html - Greenfield & Mato
- Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo 112-0004 Japan
TEL: +81-3-4550-6882
http://www.greenfieldmato.com - Greenfield Consulting
- 2-4-203 Ogikubo, Suginami-Ku, Tokyo, Japan
TEL: +813-5288-5444 / FAX: +813-4496-4922 - Guardian Asset Management
- Atago Green Hills Mori Tower 40F, 2-5-1 Atago, Minato-Ku, Tokyo 105-6240 Japan
TEL: +81-3-4580-1725
http://www.guardian-am.com/contactus.php - Hannan Corporation
Harbor Trading - Roppongi Hills Mori Tower, Level14 6-10-1, Roppongi, Minato-Ku, Tokyo
TEL: +81-3-4578-0191 / FAX: +81-3-6730-9477
http://www.harbortrading.com/ - Hawkins & Doyle
- 18F JT Bldg. 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2168 / FAX: +81-3-4496-5000 - Heritage Mergers and Acquisition
- Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-5404-3560 / FAX: +81-3-4496-4930 - Huber Acquisition Group* previously known as Castle Rock Finance and Hitomi Acquisitions
- 22nd Flr., Atago Green Hills MORI Tower5-1, Atago 2-chome, Minato-ku, Tokyo, Japan, 105-6228
TEL: +81-3-4578-0425 / FAX: +81-3-6745-9383
http://www.huberacqgroup.com/ - Ideal Merger Group
- Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
http://www.idealmergergroup.com./ - Jacob & Burns
- Koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
TEL: +81-3-4496-4857 / FAX: +81-3-4496-4320 - Jam Capital Corporation
- Shin Marunouchi Bldg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590 Japan
http://www.jam-capital.com - Kaikatsu Group Limited
- Tokyo Ginko Kyokai Building 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4496-5255 / FAX: +81-3-4496-5256, +81-3-4496-5257 - Kearns Investments Inc.
- TEL: +81-3-5288-5414
- Keldione International
- Shinjuku Park Tower N30, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-030 Japan
FAX: +813-4496-6277
http://keldioneint.com - Kendall Morgan Partners Tokyo
- Akihabara Dai building 76 Sotokanda 1 Chiyoda-ku Tokyo 1001-0021
Tel +81-3-6740-6076 Fax +81-3-6740-8379
www.kendallmorganpartners.com - Kensington International Group Ltd.
- TEL: +81-3-5326-3125
- Keystone Consulting Inc.
- 2-4-1 Toranomon, Minato-Ku, Tokyo 105-6016 Japan
TEL: +81-3-5403-4652 / FAX: +81-3-4496-6060
http://www.keystoneconsultinc.com - Kimura Financial
- 63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun, Aomori 039-2402 Japan
TEL: +81-3-4496-4064 / FAX: +81-3-4496-4074
http://www.kimurafinancial.com - Kirayaka International
- Head Office 17th Fl., Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011. Japan
TEL: +81 3 6740 9975, / FAX: +81 3 6740 9976
http://www.kirayakainternational.com/ - Kiyo Financial
- 13-3, Nihonbashi 3-chome, Chuo-Ku, Tokyo 103-0027 Japan
TEL: +81-3-4580-1748 / FAX: +81-3-4496-4243
http://kiyofinancial.com - Lee Hamilton & Associates
- 4th Floor, Palaceside Bldg. 1-1 Hitotsubashi 1-chome, Chiyoda-ku, Tokyo 100-0003 Japan
http://leehamiltonassoc.com - Liberty Securities
- 39th Floor, Shinjuku Nomura Building, Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-50-5809-8850 / FAX: +81-3-4496-6098
http://www.libertysecurities.org/index.php - Linden Ventures
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1030 Japan
TEL: +81-3-4580-2174, +81-3-4580-0927 / FAX: +81-3-4496-4259 - Link Merger & Acquisitions
- 21 Ichiban-Cho, Chiyoda-Ku, Tokyo 102-0082 Japan
TEL: +81-3-4580-2144 / FAX: +81-3-4496-4333 - Maganura Mergers & Acquisitions
- 25-32-408 Sakuragaoka-Cho, Shibuya-ku, Tokyo 150-0031
TEL:+81-3-4520-6367
http://www.maganura-ma.org - Manhattan Fujiwara International
- Arca Central Building 14F, 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4496-6277
http://www.manhattanfuji.jp - Mann International
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4550-0334 / FAX: +81-3-4496-4096
http://www.manninternational.com - Masahiro International
- 25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL: +81-3-4580-1656
http://www.masahirointernational.com - Masaru and Associate
- 1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420 Japan
http://masaruassociates.com - Masters Financial Corporation
- 3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
http://www.mastersfinancialcorp.com - Merit Corporate Finance
- 24F Hankyu Grand Building, 8-47 Kakuda-cho, Kita-ku, Osaka 530-0017 Japan
TEL: +81-6-4560-4006
http://www.meritcorpfinance.com - Milton Hayward Ltd
- Yurakucho Ekimae Building Level 12, Yurakucho 2-7-1, Chiyoda-ku Tokyo 541-0052 Japan
TEL: +81-3-5456-5049 / FAX: +81-3-4496-4021
http://www.miltonhayward.com - Mitsui Asset Management
- Level 12, Edobori Center Building, 2-1-1 Edobori, Nishi-ku, Osaka 550-0002 Japan
TEL: 81-6-4560-4010 / FAX: 81-6-6573-1689
http://www.mitsuiassetmgmt.com
* Sumitomo Mitsui Asset Management Company, Limited and Chuo Mitsui Asset Management Company, Limited have no association whatsoever with the organization - Mitsui Financial
- TEL: +81-50-5534-5315
http://www.mitsuifinancial.com - Mitsui, Lane & Associates
- Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4496-4464
http://www.mitsuilaneandassociates.com - Momentum Consultants Limited
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Morgan Financial Advisors
- Nishishinjuku-1, Suite 104 Shinjuku, Skyscraper District, Shinjuku-ku, Tokyo Japan
TEL: +81-3-4550-6896 / FAX: +1-646-3679519, +1-866-3641457
http://www.morgan-advisors.com - Morley Thompson
- 24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-Ku, Tokyo 100-6324 Japan
TEL: +81-3-4580-0920 / FAX: +81-3-4496-5015
http://www.morleythompson.com - New Asia Business Consultants
- 32Floor St. Lukes Tower, 8-1 Akashi-cho, Chou-ku, Tokyo 104-8518 Japan
TEL: +81-3-4520-6303 / FAX: +81-3-4496-6049
http://www.now.asia-consult.com - New England Worldwide Services
- Level 15, Hilton Plaza West Office Tower, 20202 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4008
http://www.newenglandwwservices.com - New Market Corporation
- Yurakucho 2-7-1, Chiyoda-ku, Tokyo, Japan
TEL: +81-3-4580-2171 / FAX: +81-3-4580-2197
http://www.newmarketcorp.com - NEXT Futures Co. Ltd.
- 2-4-7 Sugamo Toshima-ku, Tokyo 170-0002 Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-4085
http://www.nextfutures.com/contact/ - Nikkei Financial
- 36th Floor, Dentsu Honsha Building, 1-10-2 Higashi-Shinbashi, Shiodome SIO-SITE, Minato-ku, Tokyo, Japan
TEL: +81-3-4520-9438 / FAX: +81-3-4496-4029
http://www.nikkei-financial.com - Nishimura Mergers and Acquisition
- 2F Tokyo World Trade Center Bldg. 1-7-8 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-5456-5059 - Norbert Associates
- 9F AIG Bldg. 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +813-4496-4850 / FAX: +813-4496-4851 - Okamura Asset Management
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-1030 Japan
TEL: +813-4580-2168 / FAX: +813-4496-6417
http://www.okamuraam.com - Okuma Group
- Marunouchi Trust Tower Main 16th Floor, 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045 Japan
TEL: +81-3-4496-4733 / FAX: +81-3-4496-4734
http://www.okumagroup.com - Oppenheimer Lloyd
- 1-11-3 Marunouchi, Chiyoda-Ku, Tokyo 100-6208 Japan
TEL: +81-3-4578-9054 / FAX: +81-3-4578-9245
http://www.oppenheimerlloyd.com - Oracle Equity Management
- 2-2-8 Nanko-Kita, Suminoe-Ku, Osaka, Japan
TEL: +81-6-4560-4033 / FAX: +81-6-6537-1696 or +81-6-6537-1633
http://www.oracleem.com - Palmer Brown Management Inc
- 5Floor, ThinkPark Tower, 2-1-1 Osaki, Shinagawa-ku, Tokyo 141-6005 Japan
TEL: +81-3-6688-7109 / FAX: +81-3-6688-7089
http://www.palmer-brown.com - Paragon Options Management
- Level 9, Ariake Frontier Bldg. Tower B 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4570-7616 / FAX: +81-3-4570-7616
http://paragonoptionsmanagement.com - Park East Capital
- Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003 Japan
TEL: +81-3-4496-4250 / FAX: +81-3-4496-4251
http://www.parkeastcapital.com - Pendleton and Associates
- Hanako Building, 34 F 11th Floor, 6-14-17, Showa Dori, Ginza District, Tokyo 104-0061 Japan
TEL: +81-3-3242-6165 / FAX. +81-3-6385-7698
http://www.pendletonandassociates.com - Penn Capital management Ltd
- 1-4-27 Shiromi, Chuo-ku, Osaka 540-8560 Japan
TEL: +81-6-4560-4030 / FAX: +81-6-6537-1768
http://www.penncm.com - Pollack and Quinn
- Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
http://www.pollackquinn.com - Power Point Capital
- 1-5-1 Marounichi, Chiyoda-Ku, Tokyo 100-6520 Japan
TEL: +81-3-4520-9329 / FAX: +81-3-4496-4989
http://www.powerpointcapital.com - Premium Alliance Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +813-5325-3223 / FAX: +813-5325-3131 - Profidex
- Levels 9-11, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005
TEL: +81-3-5288-5296 / FAX: +81-3-4496-4835 - Rothman Global
- Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150-0043, Japan
http://rothmanglobal.com - Sachiko International
- 5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047 Japan
http://www.sachint.net - Saitou Consulting Financial Solutions
- 2-2-2 Uchi-saiwai-cho Chiyoda-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-9303 / FAX: +81-3-4496-4221
http://saitoucon.com - Sakuma Group
- 105 Kowa Shiba Park Bldg, 3F 1-1-11 Shiba Park, Minato-ku, Tokyo 105-0011
http://www.sakumagroup.com - Sakura Financial Group
- Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan
TEL: +81-3-4496-4348 / FAX: +81-3-4496-4349
http://www.sakurafinancialgroup.com - Scott Fitzgerald Group
- Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL: +81-3-4580-1689
http://www.scottfitzgeraldgroup.com - Securities Intermediary Brokers (SIB)
- Level 27, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4550-6946
http://securitiesintermediarybrokers.jp - Select Capital Management
- 9F AIG Bldg. 2-18-6 Nihonbashi, Chiyoda-Ku, Tokyo 103-0027 Japan
- Shinsei Associates
- 7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Minato-ku, Tokyo 105-0001 Japan
Tel: +81 3 4496 6021 / FAX: +81 3 4496 6031
https://www.shinseiassociates.com - Shintomi Trading
- 12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
http://www.shintomitrading.com/ - Smart Trade Group
- Level 28 Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0340 / FAX: +81-3-4496-4 271
http://www.smarttradegroup.com - Smith and White Transfer Agents LTD.
- 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.com - Source One International
- Level 11, Aoyama Palacio Tower 3-6-7 Kita-Aoyama, Minato-Ku, Tokyo 107-0061 Japan
TEL: +81-3-4520-6306 / FAX: +81-3449-64129
http://www.sourceoneinternational.com/index.html - Sovereign Global Trading
- Level 21, Shiodome Shibarikyu Building, 1-2-3, Kaigan, Shiodome, Minato-ku, Tokyo 105-0022 Japan
TEL: +813-5403-6368
http://www.sovtrading.com - Sukumo Group
- TEL: +81-3-5219-1528
- Sun Worldwide
- TEL: +81-3-4550-0325 / FAX: +81-3-4496-6375
http://www.sunworldwide.com - Taiyo Financial
- Toyo-cho, Shinei Bldg.12F 4-chome 3-1 Toyo, Koto-ku, Tokyo 135-0016
TEL: +81-3-4550-0458 / FAX: +81-3-4496-4494
http://www.taiyofinancial.com - Takahashi Nakamura Associate
- 1-11-1 Marunouchi, Chiyoda-ku, Tokyo 100-6208 Japan
TEL: +81-3-4550-0322
http://www.takahashinakamura.com - Takeda Financial Co.Ltd
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022
TEL: +81-3-4520-9327 / FAX: +81-3-4496-4332
http://www.takedafinancial.com/contact - Takeshi Financial
- 6-2-4 Akasaka, Minato-Ku, Tokyo 107-6245 Japan
FAX: +81-3-4496-4347
http://www.takeshifinance.com - Talbot and Reese, Inc
- Shinjuku Monolith, 16th Floor, 2-3-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-0916 Japan
TEL: +81-3-4580-2055 / FAX: +81-3-4496-5096
http://www.talbotreese.com - Tanaka Securities
- 1-40-4 Kamiosaki, Minato-Ku, Tokyo 105-0011 Japan
http://www.tanasecure.com - Tech-Link International Limited
Teikoku Commodities - Shin-Marunouchi Bidg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590
TEL: +81-3-4520-9237
http://www.teikokucommodities.com - The Stockton Group
- 502 Ohashi-Building, 1-16, Kanda-Sakumacho, Chiyoda-ku, Tokyo 101-0025 Japan
TEL: +81-3-4496-5110 / FAX: +81-3-4496-5111 , +81-3-4496-5112 - Thomas Castle Management
- 8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Chiyoda-Ku, Tokyo 100-6010 Japan
TEL: +81-3-4580-1758 / FAX: +81-3-4496-4046
http://www.thomas-castle.com - Thomas Moore
- Fukoku Seimei Bldg, 2-2-2, Uchisaiwai-cho, Chiyoda-ku, Tokyo 100-0011 Japan
TEL: +81-3-4520-9682 / FAX: +81-3-4496-6466
http://www.thomasmoore.biz - Trinity Ventures
- 502 Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjuku-Ku, Tokyo 162-0825 Japan
TEL: +813-4496-5041 / FAX: +813-4496-5042
http://www.trinity-ventures.com - Vantage Pro Asset Management
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-6202-2913 / FAX: +81-3-6202-2912
http://www.vantagepro.jp - Venture Associates
- 34 F Yamashiku Building, 5-9-4 Otemachi, Chiyoda, Tokyo, Japan 100-0006
TEL: + 813-4578-9500 / FAX: + 813-4496-4360
http://www.ventureassoc.com - Waldon McLean Associates
- Toranomon Yatsuka Building, 1-1-11 Atago, Minato-Ku, Tokyo 105-0002 Japan
TEL: +81-3-4580-1656 / FAX: +81-3-4580-1721
http://www.waldonmclean.com - Warren and Baker
- TEL: +81-3-5219-1531
- Webb Capital Partners
- Atago Green Hills MORI Tower 37F, 2-5-1 Atago Minato-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-8985 / FAX: +81-3-4496-4825 - Western Pacific Advisor, Inc
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
TEL: 81-3-4520-9775 / FAX: 81-3-4520-9776
http://www.westpacificadvisors.com - Westernfield Holding
- Shinjuku Park Tower S 20/F, 3-7-1, Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1035 Japan
TEL: +81-3-4520-9532 / FAX: +81-3-4496-6474
http://www.western-field.com - Wilshire-Park
- Sumitomo Fudosan Mita Twin Building, West Wing, 6F, Mita 3-chome, Minato-ku, Tokyo,
TEL: +81-3-4578-9381 / FAX: +81-3-4578-9382
http://www.wilshire-park.com - Yamaguchi Partners Global Head Office
- 16F Seiroka Tower 8-1, Akashi-cho, Chuo-ku, 104-6591 Tokyo, Japan,
Tel: +81-3-6369-3995 / FAX: +81-3-6369-3997
http://www.yamaguchipartners.com - Yamato & Associates
- koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
http://www.yamatoandassociates.com - Yoshida, Wells & Associates
- 29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: +81-3-4496-4430
http://yoshidawells.com - Yutaka Commodities,Inc
- Higashishinbashi 1-chome Minato-ku Tokyo 105-0021
TEL: +81-3-4520-9234 / FAX: +81-3-4496-4685
http://www.yutakacommodities.com/
Non-authorized regulators and securities/financial exchanges
- Asian Carbon Trade Exchange
- Level 9, Edobori Center Building, 2-1-1, Edobori, Nishi-Ku, Osaka 550-0002 Japan
TEL: +81-6-6225-1319
http://www.asiancarbontrade.com - Central Exchange Bureau
- Level 16, Yebisu Garden Place Tower, 4-8-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-4580-1629
http://cexb.org - Central Registration Department
- HSBC Building 11-1, Nihonbashi3-choume, Chuo-ku, Tokyo 103-0027
- Commodities Futures Trade Board
- http://www.cftb.jp
- Cross Border Acquisition Commission
- Level 22, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4578-9579
http://www.cba-commission.org - Eastern Equity Division
- Level 9, Ariake Frontier Bldg. Tower B, 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4520-9242 / FAX: +81-3-6385-7636
http://www.easterned.org - Equity Management Bureau
- Intercity Tower A, Level 18, Shinagawa, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-4520-9427 / FAX: +81-3-6385-7542
http://www.eqmb.org - Equity Trading International Commission (ETIC)
- 35F, Sunshine 50, 2-1-1, Higashi Ikebukuro, Toshima-ku, Tokyo 170-6045 Japan
TEL: +81-3-4578-9022
http://www.etic.org
http://www.eqtic.org - Financial Exchange Authority
- Level16, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Minato-ku, Tokyo 107-0061
TEL: +81-3-4550-0684 / FAX: +81-3-6730-9726
http://www.financialxa.org - Financial Trading Commission
- Level 20, 1-3-3 Kaigan, Tokyo 105-0022 Japan
TEL: +81-3-4588-8710
http://www.fintco.org - International Acquisition Authority
- Level 4, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4578-9693
http://interaa.org - International Association of Securites Varification
- 4-9-7 Roppongi Minato-ku Tokyo,106-0032
TEL: +81-3-4588-8764 / FAX: +81-3-4580-7166 - International Equities Administrators
- 2-12-4 Toranomon, Minato-ku Tokyo,105-0001
TEL: +81-3-4550-0335 / FAX: +81-3-4496-4455 - International Equity Authority
- 14 Flr Shinjuku Maynds Tower, 2-1-1 Yoyogi, Shibuya Ward, Tokyo 100-0004
- International Equity Regulation Department
- 12/F, Tokyo Bankers Club Building, 1-2-1, Marunouchi, Chiyoda-ku, Tokyo 100-0005 Japan
http://interd.org - International Exchange Regulatory Agency
- Yokohama Business Park 134 Godo-Cho, Kanagawa, Tokyo, Japan
TEL: +81-3-4520-9560 / FAX:+81-3-6385-7549
http://www.intexra.org - International Mergers & Aquisitions Administration
- 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514 - International Mergers & Acquisitions Authority
-
1) 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-95142) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL; +81 3 4578-0625 / FAX: +81-3-6745-8657 - Intercontinental Mergers & Acquisitions Agency
- 9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
http://www.interconma.org/ - International Securities Commission
- Siodome Sumitomo Building 14th Floor 1-9-2 Higashi-Shimbashi Minato-ku Tokyo 105-0021
TEL: +81-3-4590-3164 / FAX: +81-3-4496-6333
http://www.intersc.org - International Stock Regulators Board
- Marunouchi Bidg. 23G, 3-2-4 Marunouchi, Chiyoda-ku, Tokyo 100-6323
TEL: +81-3-4550-0331
http://www.intsrb.org - International Trade Advisory Committee
- Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
http://intl-tradeac.com - International Trading Bureau
- Izumi Garden Tower 18th Floor 1-6-1 Roppongi, Minato-ku, Tokyo 106-6018
TEL: +81-3-4588-8763 - Japan Futures Trading Board
- http://www.jftb.org/eng
- KMEX Kyoto Merchantile Exchange
- 67 Kusakawa-cho, Nanzenji, Sakyo-Ku, Kyoto 606-8437, Kyoto Prefecture, Japan
- Mergers and Acquisitions Financial Administration
- 11th Floor Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, Tokyo, 108-0014
Tel: +008-134-578-0376 Fax: +008-136-745-4952
regulation@mafinad.org - Mergers & Acquisitions Regulatory Commission (MAREGCOM)
- Level 14, Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003
TEL: +81-3-4580-2174
http://www.maregcom.org - Mergers & Acquisitions Supervison & Administration Commission(MASAC)
- 15th Flr., Fujino Building 11-8, Nihonbashi Kodenma-cho Chuo-ku, Tokyo 103-0001
TEL: +81-3-4579-00370 / FAX: +81-3-6745-2891
http://www.masac.org/ - Nikkei Securities Exchange Group
- 15th Fl. Tokyo Exchange Bldg Nihonbashi Kabutocho, Chuo-ku, Tokyo, Japan
TEL: +81-3-9588-5988 / FAX: +81-3-9588-2989
http://www.nikkei-securities.jp - Osaka Futures and Options Exchange
- Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
http://www.ofox.jp - The Financial Services Regulatory Authority
- http://fsra.jp
- The Tokyo Futures and Options Exchange
- 166-0002 Koenji-Kita, Suginami-Ku, Tokyo 166-0002
http://www.tfox.jp - Tokyo Board Options Exchange
- 14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
http://www.tboex.com - Tokyo Commodities Futures Exchange
- 3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
http://www.tcfx.jp - Tokyo Commodities Trading Authority
- Dai-ichi Tekko Building, Chiyoda-ku, Tokyo 100-0005 Japan
http://hkhoster.com/tocomta.org/jp/ - Tokyo Futures Trading Board
- Level 16 & 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-ku, Tokyo 105-6016 (Level 16) 105-6027 (Level 27) Japan
http://www.toftb.com - Tokyo World Future Exchange
- http://www.twfex.com
- World Securities Authority
- Level7, Nittochi Nishi-Shinjuku Building, 6-10-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo
TEL: +81-3-4550-0685 / FAX: +81-3-6730-9627
Investors Alert by the IOSCO
- In February, 2002, the International Organization of Securities Commissions (IOSCO) released a statement of “Investors Alert on cold calling,” of which points are as follows:
- Generally speaking, an entity is required to have some form of authorization by the regulators in the country where the investors that it would solicit reside, in order to conduct financial/securities business. There is a possibility that cold callers do not have such authorization and they are involved in illegal activities by which investors lose their money.
- Therefore, investors should not make an investment solely on the basis of “cold calls.” Before making an investment decision and paying money, investors should, at the very least, check whether the entities are given registration and/or authorization as securities dealers, investment advisers, etc., by the regulators in the jurisdictions where the investors reside and the entities claim to operate. Investors also should make serious inquiries into the legitimacy of the entity if the entity promises spectacular returns or “guaranteed” profits.
- The IOSCO Asian Pacific Regional Committee (APRC) also announced a press release in February, 2002. The APRC members, including the FSA, expressed their intension to enhance cooperation, mutual assistance and information-sharing to detect illegal activities, as well as to publicize the names of unlicensed/unregistered entities, in order to prevent investors from becoming victims by fraudulent activities.
22 July 2013: FCA fines US trader Michael Coscia £600,000 for for deliberate manipulation of commodities markets.
resource link: http://www.moneymarketing.co.uk/regulation/fca-fines-us-trader-600000-for-market-manipulation/1074740.article
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FCA fines US trader £600,000 for market manipulation
The Financial Conduct Authority has fined US based high frequency trader Michael Coscia £600,000 for deliberate manipulation of commodities markets.
The fine marks the first time the regulator has taken action against a high frequency trader.
The FCA found between September and October 2011 Coscia used a self-designed algorithmic programme to abuse markets through a “layering” strategy.
Coscia placed thousands of false orders for Brent Crude, Gas Oil and Western Texas Intermediate futures from the US on the ICE Futures Europe exchange in the UK.
Coscia made profits of $280,000 by taking advantage of price movements through his layering strategy at the expense of other traders.
FCA director of enforcement and financial crime Tracey McDermott says: “Mr Coscia was cheating the market and other participants. High Frequency Trading and the use of algorithms are an important and commonplace part of the markets nowadays but in this case these techniques were deliberately designed to abuse the market, undermining its integrity. This is unacceptable, which is why we have taken tough action to punish Coscia and deprive him of any benefit he acquired.”
The US regulator has imposed a similar fine on Coscia for manipulation of American markets.
July 19, 2013 NFA permanently bars Sacramento, California commodity trading advisor ABL Traders Trading Group, sanctions principal, Abdul Latona
copied from the NFA website
resource link: https://www.nfa.futures.org/news/newsRel.asp?ArticleID=4261
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For Immediate Release
July 19, 2013
For more information contact:
Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org
Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org
NFA permanently bars Sacramento, California commodity trading advisor ABL Traders Trading Group and sanctions its principal, Abdul Latona
July 19, Chicago – National Futures Association (NFA) has permanently barred ABL Traders Trading Group (ABL), a commodity trading advisor Member of NFA located in Sacramento, California, from NFA membership. NFA has also permanently barred ABL’s principal, Abdul Latona (Latona) from acting as a commodity trading advisor and from managing or directing any customer accounts. In addition, Latona is suspended from NFA membership, associate membership and from acting as a principal of an NFA Member for a period of seven years. The Decision, issued by a designated panel (Panel) of NFA’s Hearing Committee, is based on a Complaint filed against ABL and Latona on November 6, 2012, and a hearing held on March 20, 2013.
The Panel found that ABL and Latona provided false and misleading information to NFA. In particular, the Panel found that Latona included untrue information in the disclosure documents he submitted to NFA on behalf of ABL; misrepresented the truth to NFA when he told NFA staff that he never held any powers of attorney over customer trading accounts; and misrepresented the truth to NFA when he told NFA staff that he did not have any other proprietary trading accounts other than the one identified in ABL’s disclosure document.
If, after the conclusion of Latona’s seven-year suspension, Latona applies for NFA membership or to be a principal of an NFA Member firm, then he must pay a fine of $40,000 within 30 days of the date on which he is granted NFA membership or principal status.
ABL and Latona may appeal the Panel’s Decision to NFA’s Appeals Committee by filing a written notice of appeal within 15 days of the date of the Decision.
The complete text of the Complaint and Decision can be viewed on NFA’s website (www.nfa.futures.org).
The Forex Trading Scam Exposed:Facts, Proof, Names, legal actions: NFA created it. 