Tagged: currency trading

Jan-Sept 2014 CFTC law suits (enforcement actions)

the following information was copied off the official CFTC website.



U.S. Commodity Futures Trading Commission

Enforcement Press Releases

See Also:

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  • Steven Adamske
  • 202-418-5080
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copied from the fca website

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


Project Finance Bank

Published: 27/09/2013

Vickers Equities & Research

Published: 27/09/2013

Hayes Capital Management

Published: 26/09/2013

Hamilton International Group

Published: 26/09/2013

ApplianceFix Ltd

Published: 24/09/2013

Epiq Systems (cloned firm)

Published: 20/09/2013

Venta KPO Services LLC

Published: 20/09/2013

ICMarkets (cloned firm)

Published: 18/09/2013

Waterman Wealth Management

Published: 16/09/2013

Objective Returns (Cloned firm)

Published: 16/09/2013

DT Group Business Solutions

Published: 16/09/2013

Direct Mergers & Acquisitions Inc

Published: 13/09/2013

Grand Meridian Private Equity Ltd

Published: 11/09/2013

JP Sterling Associates

Published: 11/09/2013

Goldstein Brokers Limited

Published: 11/09/2013

Sachs Trust

Published: 11/09/2013

Alliance Capital Securities Ltd

Published: 09/09/2013


Published: 06/09/2013

Byrd Fleming and Associates

Published: 06/09/2013

Pacific Blu L.P.

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

Mallary & Company

Published: 03/09/2013

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
www.gmo-global.netopen new window

(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.comopen new window

(3) Sovereign Wealth Capital
Ochanomizu Center Building 3-2-12 Hongo, Bunkyo-ku, Tokyo, 113-0033, Japan
Tel: +81367012498
Fax: +81367309716
http://sovereignwealthcapital.com/open new window

(4) Takeshi Venture Capital
Chiyoda ku Tower Marunouchi Tokyo, 100-0005
Telephone: +81 3 4520 9510
Fax: +81 3 4578 1610
www.takeshiventurecapital.comopen new window




Abramson International
1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
http://www.Abramsoninternational.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
Blue Sky Solutions Inc.
7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
http://www.blueskysolutionsinc.comopen new window
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.comopen new window
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.phpopen new window
* 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.comopen new window
Brunswick Knight
TEL: 03-4800-400771
http://www.brunswick-knight.comopen new window
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.htmlopen new window
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.htmlopen new window
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.comopen new window
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.comopen new window

Carlton First Capital
Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku, Tokyo 141-0021 Japan
http://www.carltonfirstcapital.com/index.htmlopen new window
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.htmopen new window
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.bizopen new window
* 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.htmopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
Crosby Capital Partners
3rd Floor, 4-3-14 Toranomon, Minoto-ku, Tokyo 105-0001
http://crosbycp.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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/open new window
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.htmopen new window
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
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.comopen new window
First Prime Group
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4580-1998
http://www.firstprimegroup.comopen new window
First Prime International Ltd from Tokyo
6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4550-0476
http://www.firstprimegroup.netopen new window
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.comopen new window
Fujiwata Capital Group
1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka 532-0004 Japan
http://www.fujicapgrp.comopen new window
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.comopen new window
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.phpopen new window
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/open new window
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.htmlopen new window
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.htmlopen new window
Greenfield & Mato
Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo 112-0004 Japan
TEL: +81-3-4550-6882
http://www.greenfieldmato.comopen new window
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.phpopen new window
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/open new window
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/open new window
Ideal Merger Group
Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
http://www.idealmergergroup.com./open new window
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.comopen new window
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.comopen new window
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.comopen new window

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.comopen new window
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.comopen new window
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/open new window
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.comopen new window
Lee Hamilton & Associates
4th Floor, Palaceside Bldg. 1-1 Hitotsubashi 1-chome, Chiyoda-ku, Tokyo 100-0003 Japan
http://leehamiltonassoc.comopen new window
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.phpopen new window
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
http://www.maganura-ma.orgopen new window
Manhattan Fujiwara International
Arca Central Building 14F, 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4496-6277
http://www.manhattanfuji.jpopen new window
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.comopen new window
Masahiro International
25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL: +81-3-4580-1656
http://www.masahirointernational.comopen new window
Masaru and Associate
1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420 Japan
http://masaruassociates.comopen new window
Masters Financial Corporation
3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
http://www.mastersfinancialcorp.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
* 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.comopen new window
Mitsui, Lane & Associates
Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4496-4464
http://www.mitsuilaneandassociates.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
New Market Corporation
Yurakucho 2-7-1, Chiyoda-ku, Tokyo, Japan
TEL: +81-3-4580-2171 / FAX: +81-3-4580-2197
http://www.newmarketcorp.comopen new window
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/open new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
Pollack and Quinn
Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
http://www.pollackquinn.comopen new window
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.comopen new window
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
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.comopen new window
Sachiko International
5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047 Japan
http://www.sachint.netopen new window
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.comopen new window
Sakuma Group
105 Kowa Shiba Park Bldg, 3F 1-1-11 Shiba Park, Minato-ku, Tokyo 105-0011
http://www.sakumagroup.comopen new window
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.comopen new window
Scott Fitzgerald Group
Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL: +81-3-4580-1689
http://www.scottfitzgeraldgroup.comopen new window
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.jpopen new window
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.comopen new window
Shintomi Trading
12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
http://www.shintomitrading.com/open new window
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.comopen new window
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.comopen new window
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.comopen new window
Solomon Layb
Roppongi Tower 7-10-2, Chiyoda Business Park, 2-5-4 Kojimachi, Chiyoda-ku Tokyo 102-0083 Japan
http://www.solomon-layb.comopen new window
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.htmlopen new window
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.comopen new window
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.phpopen new window
Sukumo Group
TEL: +81-3-5219-1528
Sun Worldwide
TEL: +81-3-4550-0325 / FAX: +81-3-4496-6375
http://www.sunworldwide.comopen new window
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.comopen new window
Takahashi Nakamura Associate
1-11-1 Marunouchi, Chiyoda-ku, Tokyo 100-6208 Japan
TEL: +81-3-4550-0322
http://www.takahashinakamura.comopen new window
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/contactopen new window
Takeshi Financial
6-2-4 Akasaka, Minato-Ku, Tokyo 107-6245 Japan
FAX: +81-3-4496-4347
http://www.takeshifinance.comopen new window
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.comopen new window
Tanaka Securities
1-40-4 Kamiosaki, Minato-Ku, Tokyo 105-0011 Japan
http://www.tanasecure.comopen new window
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.comopen new window
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.comopen new window
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.bizopen new window
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.comopen new window
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.jpopen new window
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.comopen new window
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.comopen new window
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.netopen new window
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.comopen new window
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.comopen new window
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.comopen new window
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.comopen new window
Yamato & Associates
koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
http://www.yamatoandassociates.comopen new window
Yoshida, Wells & Associates
29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: +81-3-4496-4430
http://yoshidawells.comopen new window
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/ open new window


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.comopen new window
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.orgopen new window
Central Registration Department
HSBC Building 11-1, Nihonbashi3-choume, Chuo-ku, Tokyo 103-0027
Commodities Futures Trade Board
http://www.cftb.jpopen new window
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.orgopen new window
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.orgopen new window
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.orgopen new window
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.orgopen new window
http://www.eqtic.orgopen new window
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.orgopen new window
Financial Trading Commission
Level 20, 1-3-3 Kaigan, Tokyo 105-0022 Japan
TEL: +81-3-4588-8710
http://www.fintco.orgopen new window
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.orgopen new window
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.orgopen new window
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.orgopen new window
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 6745-9514

2) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL; +81 3 4578-0625 / FAX: +81-3-6745-8657

http://www.imcqa.org/open new window

Intercontinental Mergers & Acquisitions Agency
9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
http://www.interconma.org/open new window
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.orgopen new window
International Stock Regulators Board
Marunouchi Bidg. 23G, 3-2-4 Marunouchi, Chiyoda-ku, Tokyo 100-6323
TEL: +81-3-4550-0331
http://www.intsrb.orgopen new window
International Trade Advisory Committee
Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
http://intl-tradeac.comopen new window
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/engopen new window
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.orgopen new window

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.orgopen new window
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/open new window
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.jpopen new window
Osaka Futures and Options Exchange
Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
http://www.ofox.jpopen new window
The Financial Services Regulatory Authority
http://fsra.jpopen new window
The Tokyo Futures and Options Exchange
166-0002 Koenji-Kita, Suginami-Ku, Tokyo 166-0002
http://www.tfox.jpopen new window
Tokyo Board Options Exchange
14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
http://www.tboex.comopen new window
Tokyo Commodities Futures Exchange
3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
http://www.tcfx.jpopen new window
Tokyo Commodities Trading Authority
Dai-ichi Tekko Building, Chiyoda-ku, Tokyo 100-0005 Japan
http://hkhoster.com/tocomta.org/jp/open new window
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.comopen new window
Tokyo World Future Exchange
http://www.twfex.comopen new window
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.orgopen new window




Investors Alert by the IOSCO


  1. 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.
  2. 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


U.S. Securities and Exchange Commission

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

This is a list of entities that claim to be registered, licensed and/or located in the United States when in fact they are not registered in the United States


  • Impersonators of Genuine Firms

This is a list of entities that use a name that is the same as, or similar to, the name of a US registered securities firm, notwithstanding the fact that the soliciting persons are not affiliated with a US registered securities firm.

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


American Financial Group
Ten G Street NE, 6th Floor
Washington, DC 20002
Website: http://amfigroup.com/


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


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.
  1. The Division of Securities for the District of Columbia (DOSDC) is impersonating the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) located at 810 First Street, N.E., Suite 622, Washington, DC 20002. The impersonator has NO connection with, and is not to be confused with, the genuine Securities Bureau of the Department of Insurance, Securities & Banking (DISB) of the District of Columbia.


Equities Trading Commission
1800 K Street Northwest, #530
Washington, DC 20006
Phone: 202-249-7490
Fax: 202-318-8716
Website: http://gov.eqtc.us/


842 Vermont Avenue
Northwest, Washington, DC
Phone: 202-688-5985
Fax: 202-403-3289


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/


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


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
  1. Onsite inspections conducted over the past year by the Ohio Division of Securities found that no regulatory agency was located at the address given for this entity.
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
International Information Exchange
775 15th St. NW, Suite 500
Washington, DC 20005
Phone: 202-263-1950
Fax: 202-263-1951
Website: http://theiie.net/
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
International Organization of Registrar and Clearing Agents (IORACA)
One Post Street, Suite 1830
San Francisco, CA 94104
Website: http://www.ioraca-gov.org/
International Securities Accreditation Authority
30 E. Broadway
Salt Lake City, UT 84111
Phone: 801-618-2100
Fax: 801-618-2119
International Securities Administrators
312 Walnut Street, Suite 1500
Cincinnati, OH 45202
Phone: 513-297-1593
Fax: 513-672-2308
International Securities Authority
622 Pennsylvania Avenue Northwest
Washington, DC
Phone: 202-360-4613
Fax: 202-403-3289
Website: http://gov.intseca.org/
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/
International Shareholders Compliance Department
500 N. Michigan Ave., Suite 320
Chicago, Il 60611
Phone: 312-281-0329
Fax: 312-276-4752
International Stock Transfer Administration (ISTA)
8025 Corporate Drive
Nottingham, MD 21236
Phone: 443-320-1009
Fax: 410-630-3545
Website: http://gov.stocktransfer.org/


New York Securities Division
Federal Office Building
205 Varick Street
New York, NY 10014
Website: http://us-nysd.org/


Offshore Securities Commission
295 Greenwich Street (Wall Street)
New York, NY 10007
Phone: 212-918-8572
Website: http://www.offshoresecuritiescommission-gov.us


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/


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.)
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
Securities and Investments Disputes Agency
2 Prudential Plaza
180 Stetson Avenue
Chicago, Illinois
Phone: 312-465-1131
Website: http://www.SIDAinternational.org
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/
Securities Trading Board
842 Vermont Avenue NW
Washington, DC 20005
Phone: 202-688-5985
Fax: 202-403-3289
Website: http://gov.sectb.org/
Securities Trading Commission
1110 Connecticut Avenue NW
Washington, DC 20036
Phone: 202-204-2310
Fax: 202-330-5349
Website: http://gov.sectco.us/
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/


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
U.S. International Bureau for Trading
1101 30th Street, NW, Suite 500
Washington, DC 20007
Phone: 202-470-4047
Website: http://www.usibtrading.org/
U.S. Regulatory Securities Agency
1025 Connecticut Avenue, NW, Suite 1000
Washington, DC 20036
Phone: 202-470-5470
Website: http://www.usregsec.org
US Shareholders Registry Department
240 Woodrow Street
Chester, PA 19013
Phone: 484-694-9433
Fax: 484-694-9433
Website: http://www.us-srd.us/
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/
United States Investment Dealers Organization (USIDO)
1644 Murfreesboro
Nashville, TN 37217
Phone/Fax: 615-528-7875
Email: info@usidealers.org


United States Investment Dealers
1311 S. Burnside Avenue
Gonzales, LA 70737
Phone/Fax: 225-410-9219
Website: http://usidealers.org/

United States Regulators and Administration Commission
72 Mt. Vernon Street
Boston, MA


160 Cambridge Street
Boston, MA
Fax: 617-830-8864
Website: http://gov.therac.us/

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
United States Securities and Investments Commission
Website: http://www.ussicommission.org
United States Securities Regulatory Commision (sic)
2001 L Street NW
Washington, DC 20036
Website: http://gov.ussrc.us/
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.)

To view the SEC’s Data Quality Guidelines, click [http://www.sec.gov/about/dataqualityguide.htm].



Investor Alerts and Bulletins by Date (Main Page)/(Topical)


2013  2012  2011  2010  2006-2009


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)


8/19/2013 FCA UNAUTHORIZED FIRMS ADDED AUGUST 1-19, 2013: MKR Global, Accer, Eclipse Options(clone) and more

copied from the FCA website

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

the names were duplicated several times in their list- pardon if I missed deleting all the duplicates!


Shawz Online Brook (Clone of FCA Authorised Firm)

Published: 16/08/2013

MKR Global Services LLC

Published: 15/08/2013

Accer Mergers & Acquisitions

Published: 15/08/2013

Pensions-UK 123 Ltd

Published: 13/08/2013

CV Global Corp LLC

Published: 09/08/2013

Cramer Private Group

Published: 07/08/2013

Lexington International Group Inc

Published: 07/08/2013

Managed Savings Company Limited

Published: 07/08/2013

AJAJ Group

Published: 07/08/2013

RSI Bank Plc

Published: 05/08/2013

The Pension Help Desk Limited

Published: 02/08/2013

KKR (Clone of FCA Authorised Firm)

Published: 02/08/2013

Braun and Brandt Consulting Firm

Published: 01/08/2013

Solstrand Limited

Published: 31/07/2013

Release My Pension

Published: 31/07/2013