Tagged: economy

*UK* 2014 FCA UNAUTHORIZED BROKER AND FIRM LIST

This list was obtained from the official FCA website. 

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

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

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

__________________________________________________________

SEPTEMBER 2014

Loan Machine Limited (clone)

Published: Today   Last Modified : Today


InvestPoint (UK) Ltd

Published: Today   Last Modified : Today


RT Owens & Associates LLC

Published: Today   Last Modified : Today


WB Global Strategic Asset Management

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


Martin Kessler (clone)

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


Brooke Point Limited/ Broke Point Limited

Published: 17/09/2014   Last Modified : Yesterday


Hirsche Private Asset Management Ltd

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


Watts Corporate Services LLC

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


Kames Capital in association with Dean Foster Associates (clone)

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


Capital Gearing Portfolio Fund (Clone)

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


Griffin Advisors Limited

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


Cenkos Global Securities (clone)

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


Hudson Coe & Associates LLC

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


Commodities Link

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


Belfius Commercial Finance Limited (clone)

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


GE Shaw Management Group

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


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

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


China Merchant Securities Limited (clone)

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


The Right Loan 4 U (clone)

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


Redbrook Motor Company

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


Drummonds Initiatives

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


LEM Spreads / LE Management Ltd

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


GBL Financial Services Ltd (clone)

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


Cash Direct UK

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


Smith and Stanley Corporate Consultants

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


Brookmore Partners/ Brookemore Partners/ Brookmoore Partners/ Brookmore Associates

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


Jacob Johnson Consultancy

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


Williamson Advisors Ltd

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


Bauer and Associates / Bauer Consultants

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


Carrington Group LLC

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


Jacobs Buchanan Investment Advisors / Jacobs Buchanan Partnership

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


PlusFN Ltd / +FN / Equity Sky Capital Marketing Limited

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


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

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


BAM Capital / BAM Forex (clone)

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


Springer Asset Management

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

Quick Finance

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


Mitsubishi UFJ Financial Group Inc (Clone)

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


Marcus KPO Services LLC

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


City Equities Ltd (Clone)

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


Goldman Shaks (PVT) Ltd

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


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



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Jan-Sept 2014 CFTC law suits (enforcement actions)

the following information was copied off the official CFTC website.

___________________________________

CFTC  TRADE COMMISSION

U.S. Commodity Futures Trading Commission
Date

Enforcement Press Releases

See Also:

OpenGov Logo

CFTC’s Commitment to Open Government

Media Contacts in Office of Public Affairs

  • Steven Adamske
  • 202-418-5080
Orange CFTC Banner

Press Room Email Subscriptions

TRADING SUSPENSIONS 2014: US Securities and Exchange Commission: Jan-Sep

Trading Suspensions

This page lists recent SEC trading suspensions. The federal securities laws allow the SEC to suspend trading in any stock for up to ten trading days when the SEC determines that a trading suspension is required in the public interest and for the protection of investors. You’ll find answers to many of your questions about trading suspensions — including how they differ from trading halts — in Fast Answers.

As of February 20, 2007, the staff of the Commission will send copies of a Commission Order of Suspension of Trading pursuant to Section 12(k) of the Securities Exchange Act of 1934 solely to parties (the issuer), the Depository Trust Corporation, and National Securities Clearing Corporation.

Third Quarter | Second Quarter | First Quarter

Additional Trading Suspensions available

RSS Feed  SEC Trading Suspensions RSS Feed

Release No. Date Entity
Third Quarter
34-73136 Sep. 18, 2014 Gepco, Ltd.
See also Order
34-73134 Sep. 18, 2014 AGR Tools, Inc., et al.
See also Order
34-73090 Sep. 15, 2014 Asian Dragon Group, Inc., et al.
See also Order
34-73088 Sep. 15, 2014 Adarna Energy Corporation, et al.
See also Order
34-72980 Sep. 4, 2014 Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings, Inc.), et al.
See also Order
34-72978 Sep. 4, 2014 Asia Cork, Inc., et al.
See also Order
34-72939 Aug. 28, 2014 QSGI Inc.
See also Order
34-72930 Aug. 27, 2014 Clavis Technologies International Co., Ltd.
See also Order
34-72928 Aug. 27, 2014 Gold Horse International, Inc.
See also Order
34-72926 Aug. 27, 2014 Xinde Technology Company
See also Order
34-72924 Aug. 27, 2014 China Wood, Inc.
See also Order
34-72871 Aug. 20, 2014 ATP Oil & Gas Corp., et al.
See also Order
34-72869 Aug. 20, 2014 International Building Technologies Group, Inc., et al.
See also Order
34-72862 Aug. 19, 2014 Balaton Power, Inc. and Flying Eagle PU Technical Corp. (f/k/a Sooner Holdings, Inc.)
See also Order
34-72842 Aug. 14, 2014 Black Hawk Exploration, et al.
See also Order
34-72773 Aug. 6, 2014 Datascension, Inc., et al.
See also Order
34-72771 Aug. 6, 2014 Conquest Petroleum Inc. and Nexaira Wireless Inc.
See also Order
34-72769 Aug. 6, 2014 Amico Games Corp., et al.
See also Order
34-72758 Aug. 5, 2014 Green and Hill Industries, Inc.
See also Order
34-72725 Jul. 31, 2014 Accredited Business Consolidators Corp., et al.
See also Order
34-72640 Jul. 18, 2014 mBeach Software, Inc.
See also Order
34-72634 Jul. 17, 2014 Cubed, Inc.
See also Order
34-72615 Jul. 16, 2014 Natural Blue Resources, Inc.
See also Order
34-72611 Jul. 16, 2014 Alaska Gold Corp., et al.
See also Order
34-72594 Jul. 11, 2014 Cynk Technology Corp.
See also Order
34-72580 Jul. 10, 2014 ErgoBilt, Inc., et al.
See also Order
Second Quarter
34-72462 Jun. 25, 2014 Medient Studios, Inc.
See also Order
34-72450 Jun. 24, 2014 BioMedical Technology Solutions Holdings, Inc., et al.
See also Order
34-72416 Jun. 18, 2014 AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
See also Order
34-72402 Jun. 17, 2014 Applied NeuroSolutions, Inc.
See also Order
34-72400 Jun. 17, 2014 Crescent Banking Co., et al.
See also Order
34-72366 Jun. 11, 2014 LifeHealthCare, Inc., et al.
See also Order
34-72364 Jun. 11, 2014 The Bank Holdings, et al.
See also Order
34-72338 Jun. 6, 2014 Prospect Ventures, Inc.
See also Order
34-72337 Jun. 6, 2014 Alternative Energy, Inc. and SK3 Group, Inc.
See also Order
34-72323 Jun. 5, 2014 WebXU, Inc.
See also Order
34-72321 Jun. 5, 2014 China Power Technology, Inc.
See also Order
34-72319 Jun. 5, 2014 Zhidali Radio and Television Network, Inc.
See also Order
34-72317 Jun. 5, 2014 China Digital Animation Development, Inc.
See also Order
34-72315 Jun. 5, 2014 FLM Minerals, Inc.
See also Order
34-72286 Jun. 2, 2014 Cloudeeva, Inc.
See also Order
34-72263 May 28, 2014 Asia Global Holdings Corp.
See also Order
34-72236 May 23, 2014 Pro-Tech Industries, Inc. et al.
See also Order
34-72234 May 23, 2014 OCTuS, Inc. et al.
See also Order
34-72232 May 23, 2014 Fortitude Group, Inc.
See also Order
34-72221 May 22, 2014 International Development and Environmental Holdings
See also Order
34-72220 May 22, 2014 First Power & Light, Inc. n/k/a Volt Solar Systems, Inc.
See also Order
34-72218 May 22, 2014 Angel Acquisition Corp. n/k/a BioGeron, Inc.
See also Order
34-72200 May 21, 2014 China Green Lighting Limited, et al.
See also Order
34-72183 May 19, 2014 Andalusian Resorts and Spas, Inc.
See also Order
34-72177 May 16, 2014 FusionPharm, Inc.
See also Order
34-72176 May 16, 2014 Global Stevia Corp.
See also Order
34-72165 May 15, 2014 Cybermesh International Corporation, et al.
See also Order
34-72162 May 14, 2014 Pingify International, Inc.
See also Order
34-72120 May 8, 2014 Imaging Diagnostic Systems, Inc.
See also Order
34-72113 May 7, 2014 Cannabusiness Group, Inc.
See also Order
34-72109 May 7, 2014 Clear Skies Solar, Inc., et al.
See also Order
34-72092 May 5, 2014 GeNOsys, Inc.
See also Order
34-71973 Apr. 21, 2014 Valley Forge Composite Technologies, Inc.
See also Order
34-71924 Apr. 10, 2014 GrowLife, Inc.
See also Order
34-71835 Apr. 1, 2014 Aclor International, Inc., et al.
See also Order
First Quarter
34-71815 Mar. 27, 2014 Hendrx Corp., et al.
See also Order
34-71814 Mar. 27, 2014 Advanced Cannabis Solutions, Inc.
See also Order
34-71802 Mar. 26, 2014 China Shen Zhou Mining & Resources, Inc., et al.
See also Order
34-71762 Mar. 21, 2014 Citadel EFT, Inc.
See also Order
34-71756 Mar. 20, 2014 Network Dealer Services Holding Corp., et al.
See also Order
34-71754 Mar. 20, 2014 IVI Communications, Inc., et al.
See also Order
34-71723 Mar. 14, 2014 Petrotech Oil and Gas, Inc.
See also Order
34-71683 Mar. 11, 2014 George Foreman Enterprises, Inc., MacKay Life Sciences, Inc., Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.), Tire International Environmental Solutions, Inc., WatchIt Technologies, Inc., Weststar Financial Services Corporation, and WorldSpace, Inc.
See also Order
34-71681 Mar. 11, 2014 Newnan Coweta Bancshares, Inc., Proper Power and Energy Inc., uVuMobile, Inc., WGNB Corp., and YouBlast Global, Inc
See also Order
34-71661 Mar. 7, 2014 Suburban Minerals Corp.
See also Order
34-71660 Mar. 7, 2014 Global Earth Energy, Inc.
See also Order
34-71659 Mar. 7, 2014 Broadcast Live Digital Corp.
See also Order
34-71647 Mar. 5, 2014 Aventura Equities, Inc.
See also Order
34-71633 Feb. 28, 2014 Trilliant Exploration Corp.
See also Order
34-71580 Feb. 20, 2014 Ads In Motion, Inc., et al.
See also Order
34-71578 Feb. 20, 2014 Tweeter Home Entertainment Group, Inc. (a/k/a TWTR, Inc.), et al.
See also Order
34-71568 Feb. 19, 2014 Imogo Mobile Technologies, Corp.
See also Order
34-71517 Feb. 11, 2014 Centor Energy, Inc.
See also Order
34-71514 Feb. 10, 2014 Amogear Inc.
See also Order
34-71465 Feb. 3, 2014 Able Energy, Inc., et al.
See also Order
34-71397 Jan. 27, 2014 Olie, Inc. and Hi Score Corp.
See also Order
34-71385 Jan. 24, 2014 Advanced Pipe Fitting Technologies Inc.
See also Order
34-71383 Jan. 24, 2014 Jinhao Motor Company
See also Order
34-71381 Jan. 24, 2014 New Dragon Asia Corp.
See also Order
34-71307 Jan. 15, 2014 Power Air Corporation, et al.
See also Order
34-71305 Jan. 15, 2014 Lumonall, Inc., et al.
See also Order
34-71244 Jan. 7, 2014 Matech Corp., et al.
See also Order
34-71242 Jan. 7, 2014 Environmental Energy Services, Inc., et al.
See also Order

http://www.sec.gov/litigation/suspensions.shtml


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….

CFTC makes $463 MILLION in 5 mos in fines while VICTIMS only get partial restitution.

The CFTC is a private agency that acts as industry regulators. They file actions against violators and collect money for the following 5 purposes-

  • restitution
  • loan payoff
  • civil penalties
  • fines
  • sanctions

Restitution and loan payoffs get paid out

The penalties, fines, and sanctions are kept by them.  I added up how much of this category of money they collected from Jan , 2013 to May 31, 2013 – a total of 5 months.

TOTAL MONEY COLLECTED FOR FINES  $462,907,959.00

THAT’S JUST SHY OF $463 MILLION in 5 months!  (can you imagine their pay checks!)

463 million that means they gross over 1 BILLION a year. Operating costs can’t justify this level of GREED.

At the same time- victims are getting shorted in restitution. The shortage is being taken by the CFTC. They often pay themselves equal to the victims-

This isn’t like collecting insurance money from an accident! Its acceptable for the lawyers to keep half because the money is being paid for suffering- it’s not a repayment of money lost. The CFTC is acting like its ok to short people of money that was stolen from them! This isn’t ok.

PROOF:  

Over and over cases read like this:

_______________________________________________________________________________________________

  • funds involving at least $22.5 million.
  • pay restitution of $11,437,573 to defrauded customers.
  • civil monetary penalty of over $11.4 million

Customers lost 22.5 million but get back only half!  WHY? Because the CFTC TOOK THE OTHER 11.4 million for themselves! This is just wrong!!!

(http://www.cftc.gov/PressRoom/PressReleases/pr6590-13)

______________________________________________________________________________________________

  • accepted more than $4.7 million from retail public customers
  • restitution of approximately $3.2 million to defrauded customers
  • a $1.5 million civil monetary penalty.

So why do the victims get shorted by 1.5 million ? Why does the CFTC get to take the 1.5 million that would have paid them back in full?  This is unjust!

(http://www.cftc.gov/PressRoom/PressReleases/pr6653-13)

_____________________________________________________________________________________

  • solicited more than $1.3 million
  • pay $1,146,000 in restitution to their defrauded customers
  • and a $1,337,000 civil monetary penalty

That means customers were shorted by 154k while the CFTC kept 1.3 million. How is this acceptable? case link  (http://www.cftc.gov/PressRoom/PressReleases/pr6690-13)

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

copied from the fca website

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

________________________________________________________________________________

Project Finance Bank

Published: 27/09/2013


Vickers Equities & Research

Published: 27/09/2013


Hayes Capital Management

Published: 26/09/2013


Hamilton International Group

Published: 26/09/2013


ApplianceFix Ltd

Published: 24/09/2013


Epiq Systems (cloned firm)

Published: 20/09/2013


Venta KPO Services LLC

Published: 20/09/2013


ICMarkets (cloned firm)

Published: 18/09/2013




Waterman Wealth Management

Published: 16/09/2013


Objective Returns (Cloned firm)

Published: 16/09/2013


DT Group Business Solutions

Published: 16/09/2013


Direct Mergers & Acquisitions Inc

Published: 13/09/2013


Grand Meridian Private Equity Ltd

Published: 11/09/2013


JP Sterling Associates

Published: 11/09/2013


Goldstein Brokers Limited

Published: 11/09/2013



Sachs Trust

Published: 11/09/2013



Alliance Capital Securities Ltd

Published: 09/09/2013



FxEthos

Published: 06/09/2013


Byrd Fleming and Associates

Published: 06/09/2013


Pacific Blu L.P.

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


Mallary & Company

Published: 03/09/2013



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.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
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.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
TEL:+81-3-4520-6367
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
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.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
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.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


 

[Attachment]

 

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.