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Onderwerp

 
 

Deze waarschuwingslijst bevat actuele waarschuwingen die de AFM heeft overgenomen van buitenlandse toezichthouders.

Deelonderwerpen

 
 
  • Pacific Alliance Mergers & Acquisitions Limited 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Pacific Alliance Mergers & Acquisitions Limited
    Tower A
    223 Wai Yip Street
    Kwun Tong
    Hong Kong
    Tel.: +85230199407
    Fax: +85230101230
    www.pacificalliancema.com
    info@pacificalliancema.com


    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).


    The FSA believes that this organisation may be targeting UK consumers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:


    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml


    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    Publicatie datum: 02-02-2012
  • Pacific Capital Management 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Pacific Capital Management
    1000 Wilshire Blvd #850
    Los Angeles
    California 90017
    United States of America
    Tel: 001-213-289-3734
    Website: www.pacificcapitalmgmt.com
    Email addresses: info@pacificcapitalmgmt.com
    h.barnes@pacificcapitalmgmt.com
    t.hawke@pacificcapitalmgmt.com
    r.harris@pacificcapitalmgmt.com
    Previous website: www.pacificcm.us

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 28-01-2013
  • Pacific Global Advisors Co., Limited 

    De Hong Kong Securities and Futures Commission (SFC) waarschuwt het publiek tegen de activiteiten van Pacific Global Advisors Co., Limited.
     
    Lees hieronder het originele persbericht:

    Name: Pacific Global Advisors Co., Limited 
    Type of Scam: Unlicensed Entities
    Address(es): 27/F Bank of America Tower,
    12 Harcourt Road, Central, Hong Kong
    Website: www.pacificglobaladvisors.com
    Remarks: The company gives the above address but is not located there.
    Add Date: 11 March 2010
     
    Note: Unlicensed entities often use names similar to legitimate companies to confuse investors.

    Publicatie datum: 11-11-2010
  • Pacific Tycoon 

    The Autorité des Marchés Financiers (The AMF) and Institut d’Emission d’Outre-Mer warn the public against the activities of the company PACIFIC TYCOON

    The Autorité des Marchés Financiers (AMF) and Institut d’Emission d’Outre-Mer (IEOM) hereby draw the attention of the public to the activities of the company PACIFIC TYCOON, headquartered at the following address: Level 10, World Wide House, 19 Des Vœux Road Central, Hong Kong.

    This company advertises, notably in New Caledonia, for the acquisition of maritime containers to be rented out. PACIFIC TYCOON proposes two types of lease, one promising a guaranteed yield of 12% and the other, described as “aggressive” and offering a “high yield”.

    In the light of the information at the disposal of the AMF and the IEOM, it would appear that PACIFIC TYCOON is proposing investments that fall within the scope of intermediation in miscellaneous assets.

    The AMF and IEOM hereby warn you that the company PACIFIC TYCOON has not been authorised to propose investments in “miscellaneous assets”. Therefore, the information documents and “standard” contracts handed out to investors have not been examined by the AMF(1).

    The AMF and IEOM therefore urge investors not to respond to the investment offers made by this company and not to pass them on to third parties in any form whatsoever.

    As a general rule, before making an investment you should always check to make sure that the financial product being offered is authorised for distribution on French territory and that the financial intermediary offering you an investment of a financial nature is on at least one of the lists of the financial institutions authorised to do business in Metropolitan France or in overseas departments or territories:

    • list of investment services providers (website:https:/www.regafi.fr/spip.php?rubrique3
    • list of banking or financial direct marketers (website: www.demarcheurs-financiers.fr)
    • list of financial investment advisors (FIA) and advisors of financial products (website: www.amf- france.org)
    If the product or the intermediary in question is not on one of these lists, we strongly advise you not to respond to its offers, since it is in breach of the applicable legislation and is not required to comply with the basic rules of investor protection, due disclosure and claims handling.

    (1) In addition to its remit of protecting savings invested in financial instruments, the AMF also regulates “intermediaries in miscellaneous assets” (see Article L 550-1 of the Monetary and Financial Code), meaning “1- any person who, (...) on a usual basis invites third parties to subscribe to life annuities or to acquire rights to movable or immovable assets when the purchasers do not perform the management thereof themselves or when the contract offers a buy-back or exchange option with revaluation of the capital invested; 2- any person who collects funds for this purpose; 3- any person responsible for the management of such assets”. By the terms of Article 550-3 of the Monetary and Financial Code, intermediaries in miscellaneous assets are required to draw up a “document to provide all information that might be useful to the public about the proposed operation, the person taking the initiative of the operation and the manager”.

    Contacts: AMF: AMF Communication Directorate – Tel.: +33 (0)1 5345 6039 or +33 (0)1 5345 6028 IEOM Nouméa – Tel. (687) 27 58 22 – Fax (687) 27 65 53 – Email: mailto:agence@ieom.nc

    The AMF and IEOM also recommend that you apply vigilance rules before making any investments. These rules are valid for financial products and all the more so for any products that do not fall within the scope of regulation:

    • Whatever the sales pitch, never forget that there is no such thing as high yield without high risk. Any product claiming to offer yields exceeding money market rates (investors may use the rate of the Livret A as a reference) entails a significant risk;
    • The information provided by your intermediary must be clear and easily understandable. The saying “Only invest in what you understand” will save you many disappointments;
    • Make sure you get at least some basic information about the companies or intermediaries offering the product (corporate identity, home country, civil liability, organisation rules, etc.);
    • Ask yourself how and by whom the valuation (purchase or sale price) of the product on offer was performed.
    Finally, as non-financial products are not listed on a regulated market, the risk of there being no liquidity on resale of the product can be very high. It is essential that investors obtain precise information on the rules and mechanisms for resale of the product.

    Publicatie datum: 11-07-2012
  • Pacific Ventures Consultancy 

    The Financial Conduct Authority (“FCA”) of the United Kingdom would like to alert all recipients that:

    Pacific Ventures Consultancy
    Address: 385 Greenwich Street
    New York
    NY 10013
    USA
    Tel: +1 914 517 2748
    Fax: +1 917 398 1535
    Website: www.pacificventuresinc.com
    Email: admin@pacificventuresinc.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FCA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fca.org.uk, or alternatively by telephone on 0800 111 6768. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 10-05-2013
  • Palatine Financial  

    De Sloveense toezichthouder Slovene Securities Market Agency waarschuwt het publiek tegen de activiteiten van Palatine Financial.

    Lees hieronder het originele persbericht:

    P U B L I C   W A R N I N G
    against company Palatine Financial
    Slovene Securities Market Agency is warning investors about activities of the company  Palatine Financial, Head Office Via Attilio Regolo 19, 00192 Roma, Italy, and Asian Headquarters Unit 1700, 12/B, Asia Orient Tower, 33 Lockhart Road, Wanchai, Hong Kong , which is operating through internet site URL: http://www.palatinefinancial.com/.

    Palatine Financial, Head Office Via Attilio Regolo 19, 00192 Roma, Italy, and Asian Headquarters Unit 1700, 12/B, Asia Orient Tower, 33 Lockhart Road, Wanchai, Hong Kong    (hereinafter Palatine Financial) has not obtained the Agency’s authorization according to Market in Financial Instruments Act (Official Gazette of the Republic of Slovenia Nos. 67/2007, 100/2007, 69/2008 and 40/2009) or any other securities law to carry out services in the financial instruments field in Slovenia and by the date of this warning the Agency has not received any documentation proving that the authorization is sought in order to acquire that authorization. Company Palatine Financial is not authorized under the MiFID directive to provide direct investment services and deals related to financial instruments on the territory of the Republic of Slovenia.

    The list of the entities with the Agency's authorization is available on the Agency's website www.a-tvp.si

    The Agency strongly urges investors considering dealing with company Palatine Financial to exercise the greatest possible caution before proceeding, bearing in mind the contents of this public notice.

    Publicatie datum: 23-08-2010
  • Pan Am Advisory 

    De Deense toezichthouder Danish Financial Supervisory Authority (DFSA) waarschuwt het publiek tegen de activiteiten van Pan-AM Advisory. Lees hier het originele persbericht:

    Warning against Pan-Am Advisory

    The Danish Financial Supervisory Authority has been informed that Pan-Am Advisory unsolicited has offered to carry out financial services. The company's address is Suite 300, 1055 W. Hastings St. Vancouver B.C., Canada V6E 2E9 and the company's homepage is http://www.panamadvisory.com/index.php.

    Pan-Am Advisory does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

    The company has not been notified in Denmark from any foreign Financial Supervisory Authority.

    Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/sw1296.asp).

    Contact person: Natascha Ottsen
    Direct phone no.: +45 33 55 83 79

    Publicatie datum: 01-10-2010
  • Pan Asia Brokers & Consultants Ltd 

    De Cypriotische toezichthouder The Cyprus Securities and Exchange Commission (CYSEC) waarschuwt het publiek tegen de activiteiten van Pan Asia Brokers & Consultants Ltd. 

    Het originele Cypriotische persbericht vind je hieronder:

    The Cyprus Securities and Exchange Commission (‘the Commission’) wishes to inform the investors that the company ‘Pan Asia Brokers & Consultants Ltd’, (http://www.panasiabrokers.com):

    1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities and Regulated Markets Law, as:
    i. It has never been authorized by the Commission.
    ii. Ιt is not a bank or a cooperative firm, established in the Republic and authorised to provide such services.
    iii. No notification has been received by a competent authority of another Member State, pursuant to sections 77 and 80 of the above mentioned Law.

    2. Is not regulated by the Commission.

    The Commission urges investors, before conducting business with Investment Firms, to consult its Web Site (http://www.cysec.gov.cy/default_en.aspx) to confirm the entities that are authorised to provide investment services in the Republic.

    Publicatie datum: 15-02-2011
  • Panmure Gordon & Co 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Panmure Gordon & Co
    Tote House
    8-12 New Bridge Street
    London EC4V 6AL

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). They purport to be based in the UK, however this is false. We believe they are based overseas.

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at: www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    The following FSA authorised firm have no association whatsoever with the organisation discussed above identifying itself as Panmure Gordon & Co: www.panmure.com

    • Panmure Gordon (UK) Limited (FSA authorisation: 403721, Companies House No: IC000323) Moorgate Hall, 155 Moorgate, London, EC2M 6XB. Trading Name: Panmure Gordon & Co

    What does this mean for you? If you are an investor, you should be aware that the Financial Ombudsman Service and the

    Financial Services Compensation Scheme are not available if you deal with anunauthorised company or individual.

    How can you check whether a firm is authorised? To find out whether a company or individual is authorised, go to the FSA Register Check Service at http://www.fsa.gov.uk/Pages/register/ 
    Date: 09/06/2011

    Note: For an up-to-date list of unauthorised firms issued, please visit: www.fsa.gov.uk/Pages/Doing/Regulated/Law/Alerts/index.shtml

    For further information on unauthorised firms targeting UK investors see the press release issued on 6 June 2006 at: www.fsa.gov.uk/pages/Library/Communication/PR/2006/053.shtml 
    For more details about the tactics that are commonly adopted by unauthorised firms targeting UK investors see the warning issued in April 2005 available at: www.fsa.gov.uk/pages/Library/Communication/PR/2005/039.shtml 
    The Shares Investments Scam leaflet updated in October 2010 available at: http://www.fsa.gov.uk/pubs/other/scams_leaflet.pdf

    Publicatie datum: 03-06-2011
  • P.A.N. Securities LP - Mergers and Acquisitions (Clone of US broker dealer) 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    P.A.N. SECURITIES LP - MERGERS AND ACQUISITIONS (Clone of US broker dealer)

    Tel: 001 212 359 1615
    Fax: 001 212 658 9297
    Website: www.pansecuritieslpmanda.com
    Email: info@pansecuritieslpmanda.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms operating in the United Kingdom. This list can be found at:

    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    This entity is using the name, address and registration details of a broker-dealer firm registered with the US Securities and Exchange Commission (SEC) and the US Financial Industry Regulatory Authority (FINRA). The following firm has no association whatsoever with the organisation discussed above that is identifying itself as P.A.N. Securities LP - Mergers and Acquisitions:

    • P. A. N. Securities, LP
      FINRA CRD Number: 104823
      US SEC Number: 8-52964
      Business telephone number: +1 646 292 9801

    If you have any further questions on this matter please email our Consumer Contact Centre at
    consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 05-10-2012
  • Paragon International 

    De Hong Kong Securities and Futures Commission (SFC) en de Britse toezichthouder Financial Services Authority (FSA) waarschuwen het publiek tegen de activiteiten van Paragon International.

    Lees hieronder het persbericht van de SFC:

    Name:
    Paragon International  
    Type of Scam: Unlicensed Entities
    Address(es):
    18/F, One International Financial Centre
    1 Harbour View Street, Central, Hong Kong

    25/F, Unit 2501, Exchange Tower
    388 Sukhumvit Road, Klong Toey, Bangkok

    Website: www.paragon-international.com
    Remarks: The company offers equity fund instruments, corporate advice and equity distribution and management. It uses a bank account in Hong Kong in the name of Paragon Global Limited for settlement. The company gives the above address in Hong Kong but is not located there.
    Add Date: 27 October 2009
     
    Note: Unlicensed entities often use names similar to legitimate companies to confuse investors. 


    Lees hieronder het persbericht van de FSA:


    The Financial Services Authority (“FSA”) of the United Kingdom would like to
    alert all recipients that:

    PARAGON INTERNATIONAL
    ONE INTERNATIONAL FINANCE CENTRE
    33RD FLOOR
    1 HARBOUR VIEW STREET
    CENTRAL
    HONG KONG

    AND

    25TH FLOOR, UNIT 2501
    EXCHANGE TOWER
    388 SUKHUMVIT ROAD
    KLONG TOEY
    BANGKOK
    THAILAND

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:

    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    We note that the firm also has a website, www.paragon-international.com.

    The following FSA authorised firms have no association whatsoever with the organisation discussed above identifying itself as Paragon International:

    • Paragon International Insurance Brokers Limited (FSA Authorisation: 310157, Companies House No: 03215272) 140-142 Leadenhall Street, London, EC3V 4QT
    • Paragon International Freight Services Ltd (FSA registration: 426293, Companies House No: 04485202) Suite 113, 266/290 Wincolmlee, Hull, HU2 0PZ

    If you have any further questions on this matter please email our Consumer Contact
    Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606
    1234. Overseas callers can contact us on (+44) 20 7066 1000.


     

    Publicatie datum: 26-08-2011
  • Paramount Financial Group 

    Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Paramount Financial Group.

    Finanstilsynet has been informed that Paramount Financial Group (address: Lindengasse 48 1070, Vienna, Austria) has approached Norwegian investors offering investment services. The company also offers services from a website http://paramountfg.com/.

    Finanstilsynet wishes to make it clear that Paramount Financial Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Paramount Financial Group.

    Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).

    Publicatie datum: 15-02-2011
  • Park Avenue Mergers Acquisitions 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PARK AVENUE MERGERS & ACQUISITIONS
    77 PARK AVENUE
    MANHATTAN
    NY 10016
    NEW YORK
    USA

    Tel: 001 646 666 6085
    Website: http://parkavenuema.com
    E-mail: info@parkavenuema.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our lists of unauthorised firms operating in the United Kingdom. These lists can be found at:

    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    Publicatie datum: 18-10-2011
  • Park East Capital 

    The Financial Services and Markets Authority (FSMA) warns the public against the activities of Park East Capital, a company that claims to offer investment services.

    Park East Capital is not an authorized investment firm in Belgium. It is therefore not allowed to provide investment services in or from Belgium.

    The FSMA therefore advises against responding to any offers of financial services made by Park East Capital and against transferring money to any account number they might mention.

    Park East Capital claims to be established in Japan, at Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003.

    Park East Capital could have a connection with Legacy Global Wealth, a firm about which the CBFA published a warning on 9 March 2009.

    If you would like to enquire more generally as to the regularity of a transaction being proposed, please consult the "Consumers" page of the FSMA website (www.fsma.be). You may also contact the 'Relations with Consumers of Financial Services' department by email (peri@fsma.be) or by phone (+32 2 220 59 10).

    Publicatie datum: 27-12-2012
  • Parker & Boyd Ltd. 

    De Oostenrijkse FMA, de Zweedse Finansinspektionen (Fi) en de Belgische Commissie voor het Bank- Financie- en Assurantiewezen (CBFA) waarschuwen het publiek tegen de activiteiten van Parker & Boyd Ltd.

    Pursuant to Article 92 para. 11 first sentence of the 2007 Wertpapieraufsichtsgesetz (WAG 2007; Securities Supervision Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person is not entitled to carry out certain investment services (Article 3 para. 2 nos. 1 to 4 WAG 2007), provided that said person has given cause for such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

    By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 29 March 2011, the FMA informs that

    Parker & Boyd
    AIG Building, 12th Floor
    1-1-3 Marunouchi, Chiyoda-ku
    Tokyo 100-1255
    Japan
    Tel: +81-3-4520-9621; + 81-3- 4578-0145
    Fax: +81-3-6385-7602
    www.parkerboyd.com
    info@parkerboyd.com

    is not entitled to provide investment services in Austria requiring a licence. The provider is therefore neither entitled to provide investment advice in relation to financial instruments pursuant to Article 3 para. 2 no. 1 WAG 2007 nor to provide the reception and transmission of orders in relation to one or more financial instruments pursuant to Article 3 para. 2 no. 3 WAG 2007.


    CBFA
    The Banking, Finance and Insurance Commission (CBFA) warns the public against the activities of Parker & Boyd (www.parkerboyd.com), which is contacting Belgian investors with a view to offering investment services.
    Parker & Boyd claims to be a firm with its registered office in Japan at 1-1-3 Marunouchi, AIG Building, 12th floor, Chiyoda-ku, Tokyo 100-1255. It does not have the authorization in Belgium necessary to offer investment services in or from within Belgium.

    The CBFA thus advises the public against responding to any offers of investment services made in the name of Parker & Boyd and against transferring money to any account number they might mention.

    Anyone wishing more generally to enquire as to the regularity of any transaction proposed can find further information on the "Consumer Protection" page of the CBFA web site (www.cbfa.be) or by contacting the “Protection of Consumers of Financial Services” Department (telephone: +32 2 220 59 10; email address: peri@cbfa.be).

    17/09/2009


     
    Finansinspektionen
    Parker & Boyd Ltd. is not authorised by Finansinspektionen (the Swedish Financial Supervisory Authority) and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from another EES country.

    Parker & Boyd Ltd. has a website (www.parkerboyd.com) and using the following address: AIG Building, 12th Floor, 1-1-3 Marunouchi, Chiyoda-ku, Tokyo 100-1255, Japan.

    Information from Davis Mayer Group suggests that Parker & Boyd Ltd. takes over the operation of Davis Mayer Group. Please see warning against Davis Mayer Group issued 17 July 2008 by the CBFA. For further information please call + 46 8 787 80 00, Finansinspektionen, Sweden or see www.fi.se/warning.


    Publicatie datum: 29-03-2011
  • Parker Forrester 

    De Ierse Financial Services Regulatory Authority waarschuwt het publiek tegen de activiteiten van Parker Forrester (China, USA & Brazil).

    Lees hier het originele persbericht:

    Pursuant to Regulation 163 (1) of the EC (Markets in Financial Instruments) Regulations 2007, the Irish Financial Services Regulatory Authority (Financial Regulator) hereby advises that:

    Parker Forrester (China, USA & Brazil) is not authorised to provide investment services in Ireland.

    Any person with information about the above firms or who wishes to make enquiries about any other investment firm, whether authorised or not, should contact the Financial Regulator enquiry line at: Locall 1890 200 469

    A list of warning notices issued to date by the Financial Regulator is available on the following website: www.financialregulator.ie
    21st April 2010

    Publicatie datum: 21-04-2010
  • Parker & Master LLC 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Parker & Master LLC
    281 5th Avenue, New York, NY 10016 USA
    Tel: 0018009478195
    Fax: 0016468392727
    Website: www.pandmllc.com
    Email: legal@pandbllc.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 09-01-2013
  • Parker & Masters LLC 

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unau-thorised firms. Parker & Masters LLC is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Parker & Masters LLC has a website (www.pandmllc.com) using the following address: 281 5th Ave. New York, NY, 10016 USA.

    Parker & Masters LLC's representatives contact investors in Sweden through unsolicited telephone calls.

    To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".

    Publicatie datum: 22-03-2012
  • PayPay Inc 

    De Oostenrijkse toezichthouder, FMA, waarschuwt het publiek tegen de activiteiten van PayPay Inc.

    Lees hieronder het volledige bericht.

    Pursuant to Article 4 para. 7 first sentence of the Bankwesengesetz (BWG; Banking Act) resp. Article 64 para. 9 first sentence of the Zahlungsdienstegesetz (ZaDiG, Payment Services Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person (person) is not entitled to carry out certain banking transactions resp. payment services, provided that said person has given cause for such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

    By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 1 June 2010, the FMA informs, that

    PayPay Inc.
    1230 Avenue of the Americas
    Rockefeller Center
    New York
    NY 10020
    USA

    1230 Avenue of the Americas Rockefeller CenterNew YorkNY 10020USA

    Phone: (917) 338-6359; (917) 338-3659
    http://www.paypayinc.com
    info@paypayinc.com; customerservice@paypayinc.com

    is not authorised to carry out certain banking transactions or payment services requiring a licence in Austria. The commercial acceptance of funds from other parties for the purpose of administration or as deposits (deposit business) pursuant to Article 1 para. 1 no. 1 BWG is therefore not allowed, neither the provision of non-cash payment transactions, clearing services and current-account services for other parties (current account business) pursuant to Article 1 para. 1 no. 2 BWG nor the issuance of electronic money (e-money business) pursuant to Article 1 para. 1 no. 20 BWG or the commercial transaction of bank transfers including standing orders pursuant to Article 1 para. 2 no. 2 lit c ZaDiG.

    Publicatie datum: 16-06-2010
  • PayPay S.à r.l. 

    De Luxemburgse Commission de surveillance du secteur financier (CSSF) en de Oostenrijkse FMA waarschuwen het publiek tegen de activiteiten van PayPay S.à r.l.

    Het originele persbericht uit Luxemburg:
    The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of a company named PayPay S.à r.l., located at 26, boulevard Royal, L-2449 Luxembourg.

    According to the information available to the CSSF, this company which indicates in its articles of incorporation that its corporate purpose is the management of a company performing financial activities on the internet offers payment services in several countries.

    The CSSF informs the public that PayPay S.à r.l. has not been granted the required authorisation to offer such services in or from Luxembourg.

    In order to avoid any confusion due to similarities in the names and addresses, the CSSF would like to point out that PayPay S.à r.l. has no connection with the company PayPal (Europe) S.à r.l. & Cie, S.C.A. which is duly authorised as a credit institution in Luxembourg.

    Het originele persbericht uit Oostenrijk:
    I N V E S T O R W A R N I N G
    (Vienna, 1 June 2010)
    Pursuant to Article 4 para. 7 first sentence of the Bankwesengesetz (BWG; Banking Act) resp. Article 64 para. 9 first sentence of the Zahlungsdienstegesetz (ZaDiG, Payment Services Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person (person) is not entitled to carry out certain banking transactions resp. payment services, provided that said person has given cause for
    such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

    By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 1 June 2010, the FMA informs, that
    PayPay S.à.r.l.
    26 Rue Royale
    2449 Luxemburg
    Luxemburg
    http://www.paypayinc.com
    info@paypayinc.com

    is not authorised to carry out certain banking transactions or payment services requiring a licence in Austria. The commercial acceptance of funds from other parties for the purpose of administration or as deposits (deposit business) pursuant to Article 1 para. 1 no. 1 BWG is therefore not allowed, neither the provision of non-cash payment transactions, clearing services and current-account services for other parties (current account business) pursuant to Article 1 para. 1 no. 2 BWG nor the issuance of electronic money (e-money business) pursuant to Article 1 para. 1 no. 20 BWG or the commercial transaction of bank transfers including standing orders pursuant to Article 1 para. 2 no. 2 lit c ZaDiG.

    Publicatie datum: 16-06-2010
  • Peak Power Direct 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Peak Power Direct
    12F CHONG HING
    FINANCE CENTRE
    288, NANJING WEST ROAD,
    SHANGHGAI
    CHINA
    200003

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    They purport to be based in the UK, however this is false. We believe they are based overseas.

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml 

    We note that the firm also has a website, www.peakpowerdirect.com 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 26-07-2011
  • Pearce & Clarke 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Pearce & Clarke
    1 Canada Square
    Canary Wharf
    London
    E14 5AB
    Tel: +44 (0)203 137 6994
    0845 528 0029

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    They purport to be based in the UK, however this is false. We believe they are based overseas.

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:

    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    Publicatie datum: 21-03-2012
  • Pearlgate International Limited 

    De Hong Kong Securities and Futures Commission (SFC) waarschuwt het publiek tegen de activiteiten van Pearlgate International Limited.

    Name:  Pearlgate International Limited
    Type of Scam:  Unlicensed Entities
    Remarks:  Macmillan Frasier, another entity on Alert List, uses this company's bank account in Hong Kong for settlement.
    Add Date:  3 February 2010
      
    Note: Unlicensed entities often use names similar to legitimate companies to confuse investors.

    Publicatie datum: 11-02-2010
  • Pelican Trading Group 

    De Noorse en Zweedse toezichthouders waarschuwen tegen de activiteiten van Pelican Trading Group.

    Lees hier het Noorse bericht (18/4/2012):

    Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Pelican Trading Group.

    Finanstilsynet has been informed that Pelican Trading (address: 299 Broadway, 13F Manhattan, NY 10007) has approached Norwegian investors offering investment services. The company also offers services from a website http://pelican-tg.com/

    Finanstilsynet wishes to make it clear that Pelican Trading Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Pelican Trading Group.

    Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).

    Lees hier het Zweedse bericht (24/4/2012):

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Pelican Trading Group is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Pelican Trading Group has a website (www.pelican-tg.com) and using the following address: 299 Broadway, 13F Manhattan, NY 10007.

    Pelican Trading Group's representatives contact investors through unsolicited telephone calls and offer to buy their holdings of shares in an American OTC company. However, the investor must first pay a fee in advance ("Stock Leg-end Registration per Share"). This is an advance fee fraud scheme.

    All regulated business in Sweden are listed at Finansinspektionen's website at www.fi.se and Authorisation.

    Publicatie datum: 24-04-2012
  • Pell Futures 

    De Noorse Kredittilsynet (The Financial Supervisory Authority of Norway) en de Belgische Commissie voor het Bank- Financie- en Assurantiewezen (CBFA) waarschuwen tegen de activiteiten van Pell Futures.

    Lees hieronder het originele Noorse persbericht van december 2009:

    Investor warning
    Kredittilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Pell Futures

    Kredittilsynet has been informed that Pell Futures (address: Central Plaza Building 18 Harbour Road, Wan Chai, Hong Kong) has approached Norwegian investors offering investment services. The company also offers services from a website www.pell-futures.com.

    Kredittilsynet wishes to make it clear that Pell Futures is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Kredittilsynet’s supervisory oversight, nor has Kredittilsynet approved the services offered by the company. Kredittilsynet therefore recommends investors not to enter into agreements with or transfer assets to Pell Futures.

    Kredittilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Kredittilsynet's website.

    Lees hieronder het originele Belgische persbericht van april 2010:

    The Banking, Finance and Insurance Commission (CBFA) warns the public against the activities of Pell Futures (www.pell-futures.com), which is contacting Belgian investors with a view to offering investment services.

    Pell Futures claims to be a company with registered office in Hong Kong at Central Plaza Building, Harbour Road 18, Wan Chai. It does not have the authorization in Belgium necessary to offer investment services in or from Belgium.

    The CBFA thus advises the public against responding to any offers of investment services made in the name of Pell Futures and against transferring money to any account number they might mention.

    Anyone wishing more generally to enquire as to the regularity of any transaction proposed can find further information on the "Consumer Protection" page of the CBFA web site (www.cbfa.be) or by contacting the “Protection of Consumers of Financial Services” Department (telephone: +32 2 220 59 10; e‑mail address: peri@cbfa.be).

    Publicatie datum: 10-02-2010
  • Pendleton and associates 

    De Engelse Financial Services Authority (FSA) waarschuwt het publiek tegen de activiteiten van PENDLETON AND ASSOCIATES.

    Lees hieronder het originele persbericht

    The Financial Services Authority ("FSA") of the United Kingdom would like to alert all recipients that:
     
    PENDLETON AND ASSOCIATES
    HANAKO BUILDING,
    34F 11TH FLOOR,
    6-14-17,
    SHOWA DORI,
    GINZA DISTRICT,
    TOKYO,
    104-0061,
    JAPAN
     
    is not authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers. We note that the firm also has a website, www.pendletonandassociates.com
     
    If you have any further questions on this matter please email ENF-BRFORMS@fsa.gov.uk

    Publicatie datum: 09-07-2010
  • Pendulum Capital Markets Inc. (USA) 

    Central Bank of Ireland Issues Warning on Investment Firm

    The Central Bank of Ireland (“Central Bank”) today (1 February 2013) published the name of an unauthorised investment firm.

    Pendulum Capital Markets Inc. (USA)

    has been offering investment services to members of the Irish public and is not authorised as an investment firm in Ireland.

    A list of unauthorised firms published to date is available on the Central Bank website.
    It is a criminal offence for an investment firm to operate in Ireland unless it has an authorisation from the Central Bank. Consumers should be aware that, if they deal with an investment firm which is not authorised, they are not eligible for compensation from the Investor Compensation Scheme.

    Any person wishing to contact the Central Bank with information regarding such firms may telephone (01) 224 4000. This line is also available to the public to check if an investment firm is authorised. Since obtaining the necessary legal powers in August 1998, the names of 201 unauthorised firms have been published by the Central Bank.

    Publicatie datum: 04-02-2013
  • Penfold & Partners Ltd. 

    De Zweedse Finansinspektionen waarschuwt het publiek tegen de activiteiten van Penfold & Partners Ltd. Lees hieronder het originele persbericht:

    8 November 2010
    Warning against Penfold & Partners Ltd.

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Penfold & Partners Ltd. is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Penfold & Partners Ltd. has a website (www.penfoldpartners.com) using the following address: Mánesova 36/18, 120 00 Praha 2-Vinohrady, Prague, Czech Republic.

    Penfold & Partners Ltd.’s representatives contact investors in Sweden through unsolicited telephone calls.

    To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".

     

    Publicatie datum: 08-11-2010
  • Peregrine International Consulting Group 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PEREGRINE INTERNATIONAL CONSULTING GROUP
    276-D EAST 41ST STREET
    NEW YORK
    NEW YORK 10017-6702
    USA

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    We note that the firm also has a website at www.peregrineintlgroup.com.

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 05-07-2011
  • Perpetual Strategic Investments 

    FINMA, de Swiss Financial Market Supervisory Authority heeft het onderstaande bedrijf op haar waarschuwingslijst van ongeauthoriseerde bedrijven geplaatst.

    Perpetual Strategic Investments   
    Leutschenbachstrasse 95, 8050 Zürich 
    www.perpetualstrategicinvestments.com

    Publicatie datum: 30-04-2013
  • Perrin, Holden & Davenport Capital Corporation 

    De Engelse Financial Services Authority (FSA) waarschuwt het publiek tegen de activiteiten van Perrin, Holden & Davenport Capital Corporation.

     

    Meer informatie vind je op de website van de FSA.

     

    Publicatie datum: 14-02-2011
  • Persist Global Wealth Management (1) (Clone of authorised EEA Firm) 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Persist Global Wealth Management/PGWM Ltd (Clone of FSA EEA authorised firm)
    26th Floor, Tower 42, 25 Old Broad Street, City of London, EC2N 1HQ
    Tel: 02035141171
    Fax: 02035141172
    Website: www.pg-wm.com
    www.gwmplondon.com
    www.wmplondon.com
    Email Address: info@pg-wm.com 

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    The following FSA authorised firms has no association whatsoever with the organisation discussed above identifying itself as Persist Global Wealth Management: 

    • Persist Global Wealth Management B.V (FSA authorisation; 490847)
      Van Heuven Goehartlaan 935B, Amsterdam, 1181 LD

    The FSA are also aware that the firm is using details of genuine individuals registered with the FSA at other firms.

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Geplaatst op 22/01/2013 met update op 28/03/2013

    Publicatie datum: 28-03-2013
  • Persist Global Wealth Management (2) (Clone of FSA EEA authorised firm) 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Persist Global Wealth Management (Clone of FSA EEA authorised firm)
    PBC Pfeiffer Businesscenter GmbH
    Beethovenplatz 1-3
    60325 Frankfurt am Main
    Tel: 020881339056
    Fax: 02081962246
    Website- www.persistglobal.com
    Email: admin@persistglobal.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The following FSA EEA authorised firm has no association whatsoever with the organisation discussed above identifying itself as Persist Global Wealth Management: 

    • Persist Global Wealth Management B.V (FSA EEA authorisation: 490847)
      Van Heuven Goehartlaan 935B, Amsterdam, 1181 LD

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 28-03-2013
  • Pertinax 2010, S.L. 

    Pursuant to the second paragraph of Article 13 of the Law 24/1988, July 28th the Securities Markets Act, the Comisión Nacional del Mercado de Valores, warns that:

    PERTINAX 2010, S.L.
    Avenida Andalucía, s/n, Módulos 14 - 15
    “Edificio CIE Diputación”
    18014 Granada

    Is not authorised to provide the investment services detailed in paragraph 1 and in letters a), b), d), f) and g) of paragraph 2 of Article 63 of the Spanish Securities Market Act, in relation to the financial instruments detailed in article 2 of the said Act, including, to such effects, transactions on foreign currency.

    For any query, please contact the Comisión Nacional del Mercado de Valores
    enquiry line at 902 149 200 or visit the CNMV’s web site (www.cnmv.es)

    Publicatie datum: 14-11-2011
  • Peter Daly 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PETER DALY (Clone of FSA Approved Individual)
    Address: 83 Princes Street
    Edinburgh
    Scotland
    EH2 2ER
    Tel: 0131 516 7444
    Email: peter.daly.isc@gmail.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms operating in the United Kingdom. This list can be found at:

    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    The FSA authorised firms of Bank of Scotland Plc and Lloyds TSB Bank plc would like to inform the public that the following employee has no association whatsoever with the individual discussed above identifying himself as Peter Daly:

    • Peter Daniel DALY
      FSA Individual Registration Number: PDD01038

      Current status:

      Controlled functions         Firm name                    Start date
      CF30 Customer                    Bank of Scotland plc         02/10/2009
      CF30 Customer                    Lloyds TSB Bank Plc          01/11/2007


    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 09-05-2012
  • Peterson Advisors Limited 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PETERSON ADVISORS LIMITED
    1250 ADAM CLAYTON POWELL JR BLVD
    NEW YORK
    NY 10030-3006
    UNITED STATES
    Tel: 0016464611459
    Fax: 0016466194663
    E-Mail: info@petersonconsultancy.com
    Website: www.petersonconsultancy.com, http://petersonconsultancy.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our lists of unauthorised firms operating in the United Kingdom. These lists can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 15-09-2011
  • Pex Global Inc 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PEX GLOBAL INC
    Address: 415 Madison Avenue
    New York
    NY 10017
    USA
    Tel: 001 212 461 1776
    Fax: 001 866 590 3034
    Website: www.pexglobalinc.com
    Email: hr@pexglobalinc.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    This entity is using the name of a firm registered with the US Financial Industry Regulatory Authority, Inc (FINRA).

    The FSA believes that this organisation may be targeting UK customers and may be acting as a “recovery room”. Therefore, we have added this firm to our list of unauthorised firms which can be found at:
    www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 14-08-2012
  • Pharma Holdings 

    FSA ALERT – Pharma Holdings

    The Financial Services Authority (FSA) would like to alert ESMA that:

    Pharma Holdings
    Selling stock/shares in Pharma Holdings Inc
    725 North Highway 1A
    Suite E-103
    Jupiter
    Florida, 33477
    USA
    Tel: 001 561 747 0623 - 001 561 746 6868
    Website: www.pharmaholdingsinc.com
     
    is not authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).
     
    The US Securities and Exchange Commission (SEC) has issued final judgements against the above firm and its directors. Please see the FSA Foreign Alerts page for further information.  

    www.fsa.gov.uk

    Publicatie datum: 06-07-2012
  • Phoenix Cooper Financial 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PHOENIX COOPER FINANCIAL
    C/O TREUHAND VON FLUE AG
    BAARERSTRASSE 95
    6301 ZUG
    SWITERLAND
    www.phoenixcooperfinancial.com
    TEL: 0800 098 8736

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 30-08-2011
  • Phoenix Investments AG 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PHOENIX INVESTMENTS AG
    TEL.: 0800 048 8592 OR/AND 0800 048 8529
    TEL.: 0041 41 500 0378
    FAX: 0041 41 588 0157
    EMAIL: info@phoenixinvestmentsag.com
    EMAIL: admin@phoenixinvestmentsag.com
    WEBSITE: www.phoenixinvestmentsag.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 16-05-2012
  • Phoenix Mergers and Acquisitions 

    De Noorse Kredittilsynet (The Financial Supervisory Authority of Norway) waarschuwt het publiek tegen de activiteiten van Phoenix Mergers and Acquisitions.
     
    Lees hieronder het originele persbericht:

    Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Phoenix Mergers and Acquisitions.

    Finanstilsynet has been informed that Phoenix Mergers and Acquisitions (address: unknown) has approached Norwegian investors offering investment services. The company has also offered services from a website www.phoenixmerge.com.

    Finanstilsynet wishes to make it clear that Phoenix Mergers and Acquisitions is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Phoenix Mergers and Acquisitions.

    Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).

    Publicatie datum: 11-11-2010
  • Pierce Morgan Capital Management 

    De Britse toezichthouder FSA en de Zweedse toezichthouder Finansinspektionen waarschuwen het publiek tegen de activiteiten van Pierce Morgan Capital Management LLC. 

    Lees hier het bericht van de FSA (10/02/2012):

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PIERCE MORGAN CAPITAL MANAGEMENT LLC
    108 FULTON STREET
    BOSTON
    MASSACHUSETTS
    02109
    USA
    Phone: +16175173094
    Fax: +16172492126
    Email: info@piercemorgan.us and legal@piercemorgan.us

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK consumers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.


    Lees hier het bericht van Finansinspektionen (08/02/2012):

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Pierce Morgan Capital Management is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Pierce Morgan Capital Management has a website (http://piercemorgan.us) using the following address: 108 Fulton Street, Boston, MA 02109.

    Pierce Morgan Capital Management's representatives contact investors through unsolicited telephone calls and offer to buy their holdings of shares in an American OTC company. However, the investor must first pay a fee in advance, (De-Restriction Reg-S 144). This is an advance fee fraud scheme.

    All regulated business in Sweden are listed at Finansinspektionen's website
    at www.fi.se and Authorisation.

    Publicatie datum: 10-02-2012
  • Pioneer Global Investments 

    The Financial Services Authority (FSA) of the United Kingdom would like to alert all recipients that:

    Pioneer Global Investments (Clone of FSA EEA authorised firm) Tel: 0203 627 9335 - Website: www.pgilondon.com

    is NOT authorised under the Financial Services and Markets Act 2000 (FSMA) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The following FSA EEA authorised firm has no association whatsoever with the organisation discussed above identifying itself as Pioneer Global Investments:

    • Pioneer Global Investments Limited (FSA EEA Authorisation; 230922, Companies House No: BR008505 and FC026360) Portland House, 8th Floor, Bressenden Place, London, SWE 5BH

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at: www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 11-07-2012
  • PK Consultants USA, Inc. 

    De Griekse Hellenic Capital Market Commission (HCMC) waarschuwt het publiek voor de activiteiten van PK CONSULTANTS USA, Inc.

    Lees hieronder het originele persbericht

    PUBLIC WARNING

    The Hellenic Capital Market Commission informs investors for the following:

    PK CONSULTANTS USA, Inc. with headquarters in 110 Wall Street, 11th Floor, New York, USA and website www.pkconsultantsusa.com, is not authorised or supervised by the Hellenic Capital Market Commission and therefore is not authorised to provide investment services in Greece.

    It is noted that according to article 6 of Law 3606/2007, the provision of investment services without prior authorisation from the competent authorities is not permitted and constitutes a criminal offense, which is subject to criminal and administrative sanctions.


     

    Publicatie datum: 09-07-2010
  • Platform Group Legal Services, PGLS 

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unau-thorised firms. Platform Group Legal Services, PGLS is not authorised by Fi-nansinspektionen and is therefore not entitled to provide financial services. Fi-nansinspektionen has not received any notification of cross-border activities from other EES countries.
    Platform Group Legal Services, PGLS has a website (www.pgls.biz) and using the following addresses:

    • 140 Broadway, 46th floor, New York, NY. 10005, U.S.A.
    • Exchange Square Block 3, Central 8 Connaught Place, Hong Kong, China.


    Platform Group Legal Services, PGLS' representatives contact investors through unsolicited telephone calls and offer to buy their holdings of shares in an OTC company. However, the investor must first pay a fee in advance ("Vendor's Insurance Indemnity Escrow Fund @ 5%"). This is an advance fee fraud scheme.

    All regulated business in Sweden are listed at Finansinspektionen's website at www.fi.se and Authorisation.

    Publicatie datum: 19-04-2012
  • Platinum Account Group 

    De Deense toezichthouder Finanstilsynet en de Noorse toezichthouder Finanstilsynet waarschuwen het publiek tegen de activiteiten van Platinum Account Group.


    Lees hier het bericht van de Deense toezichthouder (08/12/2012):

    The Danish Financial Supervisory Authority has been informed that Platinum Account Group unsolicited has offered to carry out financial services. The company's homepage is www.platinumaccountgroup.com and the company is using the following address: 2 Bloor Street West, Toronto ON Canada, M4W 3E2.

    Platinum Account Group does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.

    The company has not been notified in Denmark from any foreign Financial Supervisory Authority.

    Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/Tal-og-fakta/Virksomheder-under-tilsyn/VUT.aspx?sc_lang=en).

     

    Lees hier het bericht van de Noorse toezichthouder (08/12/2012):

    Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Platinum Account Group

    Finanstilsynet has been informed that Platinum Account Group (address: 2 Bloor Street West, Toronto ON Canada, M4W 3E2) has approached Norwegian investors offering investment services. The company also offers services from a website http://platinumaccountgroup.com/.

    Finanstilsynet wishes to make it clear that Platinum Account Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Platinum Account Group.

    Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).

     

    Publicatie datum: 08-02-2012
  • Platinum Funds Management 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PLATINUM FUNDS MANAGEMENT
    DUBAI INTERNATIONAL FINANCIAL CENTRE
    SHEIKH ZAYED ROAD
    P.O BOX 502385
    DUBAI
    UNITED ARAB EMIRATES

    Tel: +44 (0) 870 974 8839
    Fax: +44 (0) 870 288 9674

    E-mail: info@platinumfundsmanagement.com
    Website: http://platinumfundsmanagement.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our lists of unauthorised firms. These lists can be found at:

    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    Publicatie datum: 05-12-2011
  • Platinum House Financial 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PLATINUM HOUSE FINANCIAL (Clone of previously FSA registered firm)

    Address:

    51A THE BROADWAY
    LONDON W5 5JN
    UNITED KINGDOM

    Tel: 0203 287 8850
    Fax: 0207 060 4370

    Website: www.platinumhousefinancial.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The entity named above is using the name, address and FSA registration number of a previously FSA registered firm Platinum House Financial Services. The firm Platinum House Financial Services, which appears on the FSA register under the Firm Registration Number 461234, ceased to be FSA registered as at 03 October 2008.

    The FSA believes that the organisation identifying itself as Platinum House Financial may be targeting UK customers. Therefore, we have added this firm to our lists of unauthorised firms which can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 21-12-2011
  • Plaza-Capital Ltd 

    The Cyprus Securities and Exchange Commission (‘the Commission’) wishes to inform the investors that the company ‘Plaza-Capital Ltd, (www.plaza-capital.com):

      1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities and Regulated Markets Law, as:
        i. It has never been authorized by the Commission.
        ii. Ιt is not a bank or a cooperative firm, established in the Republic and authorised to provide such services.
        iii. No notification has been received by a competent authority of another Member State, pursuant to sections 77 and 80 of the above mentioned Law.
    1. Is not regulated by the Commission.

    The Commission urges investors, before conducting business with Investment Firms, to consult its Web Site (www.cysec.gov.cy/default_en.aspx) to confirm the entities that are authorised to provide investment services in the Republic.
    Nicosia, 10 June 2011

    Publicatie datum: 10-06-2011
  • PLUS 500 UK  

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PLUS 500 UK (Attempt to clone FSA authorised firm’s name and details)

    Individuals identifying themselves as Mr Paul Mason and Mr Patrick Beaumont and others are involved in an unauthorised attempt to pass themselves off as employees and directors of Plus500UK Ltd using the following email and contact details:

    Telephone: 0044 7778 477590
    Fax: 0872 352 0805
    Email: plus500@consultant.com

    These individuals are NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that these individuals may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals operating in the United Kingdom. This list can be found at:

    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    These individuals are using the name of Plus500UK Ltd, an FSA authorised firm (Firm Reference Number 509909). This firm has no association whatsoever with the individuals named above.

    The authorised firm Plus500UK Ltd advises that it communicates with customers by email only from support@plus500.com. Plus500UK Ltd do not contact or solicit customers by telephone and have issued a notice on their website (www.plus500.com/Help/AboutUs.aspx) regarding communications and unsolicited
    approaches.

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 10-05-2012
  • Polaris Capital Management 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    POLARIS CAPITAL MANAGEMENT
    BAHNOFSTRASSE 52
    ZURICH CH 8001
    SWITERLAND

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml 

    We note that the firm also has a website, www.polariscapman.com.

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 19-08-2011
  • Powerhouse Corporate Finance 

    The Financial Services Authority (“FSA”) would like to alert ESMA that:

    Powerhouse Corporate Finance
    7th Floor Chiyoda building bekkan,
    6-1-2 Nishitemma Kita – Ku
    5300047
    Osaka
    Japan

    And

    9th Floor Yokokawa bldg,
    17-27 Shinkawa 1 Chome Chuoku
    Tokyo
    1040033
    Japan
    www.powerhousecorpfinance.com

    is not authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers.

    Publicatie datum: 12-08-2011
  • Power Point Capital 

    Power Point Capital

    De Hong Kong Securities and Futures Commission (SFC) waarschuwt het publiek tegen de activiteiten van Power Point Capital.

    Lees hieronder het originele bericht

    Name:

    Power Point Capital (New)

    Type of Scam:

    Unlicensed Entities

    Address(es):

    1-5-1 Marunouchi Chiyoda-ku
    Tokyo 100-6520
    Japan

    Website:

    www.powerpointcapital.com

    Remarks:

    The Financial Services Agency of Japan has verified that the above office is no longer in use. The company used a bank account in Hong Kong for settlement.

    Add Date:

    30 April 2010

    Name:

    Power Point Capital (New)

    Publicatie datum: 30-04-2010
  • Power Point International Ltd 

    Power Point International Ltd

    De Hong Kong Securities and Futures Commission (SFC) waarschuwt het publiek tegen de activiteiten van Power Point International Ltd.

    Lees hieronder het originele bericht

    Name:

    Power Point International Ltd (New)

    Type of Scam:

    Unlicensed Entities

    Address(es):

    1-5-1 Marunouchi Chiyoda-ku
    Tokyo 100-6520
    Japan

    Remarks:

    The company belongs to Power Point Capital, another unlicensed entity on the Alert List.

    Add Date:

    30 April 2010

    Name:

    Power Point International Ltd (New)

    Type of Scam:

    Unlicensed Entities

     

    Publicatie datum: 30-04-2010
  • Pratt International KPO, LLC 

    De Financial Services Authority (“FSA”) en de Central Bank of Ireland waarschuwen tegen Pratt International KPO, LLC (USA).

    Financial Services Authority (“FSA”) 16 May 2012

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Pratt International KPO LLC
    500 Union Street
    Seattle WA 98101
    USA
    Tel: 0012064625130
    Fax 0012066918359
    Website: www.prattintl.com
    Email: admin@prattintl.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised.shtml 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Central Bank of Ireland 3 April 2012

    Pursuant to Regulation 163(1) of the EC (Markets in Financial Instruments) Regulations 2007, the Central Bank of Ireland hereby advises that:

    Pratt International KPO, LLC (USA)

    is not authorised to provide investment services in Ireland.

    Any person with information about the above firm or who wishes to make enquiries about any other investment firm, whether authorised or not, should contact the Central Bank of Ireland on:
    01 224 4000

    A list of warning notices issued to date by the Central Bank of Ireland is available on the following website: www.centralbank.ie

    Publicatie datum: 16-05-2012
  • Premier Partners 

    The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of an entity named Premier Partners, which claims to be located at Tour la Porte I, Place de l’Europe, Plateau de Kirchberg in Luxembourg, (website: www.premier-partners.com).

    According to the information available to the CSSF, this entity proposes investment services and investment advice to the persons contacted.

    The CSSF informs the public that Premier Partners has not been granted the required authorisation to offer financial services in or from Luxembourg.

    Publicatie datum: 07-12-2011
  • Prentice Management Corp 

    De Noorse Kredittilsynet (The Financial Supervisory Authority of Norway) waarschuwt het publiek tegen de activiteiten van Prentice Management Corp.

    Lees hieronder het originele persbericht:

    Investor warning
    Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Prentice Management Corp.

    Finanstilsynet has been informed that Prentice Management Corp. (address: 18th Floor Ark Mori Building, 1-12-32 Akasaka, Minato-ku, Tokyo 107-6011) has approached Norwegian investors offering investment services. The company also offers services from a website www.prenticecorp.com.

    Finanstilsynet wishes to make it clear that Prentice Management Corp. is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to
    enter into agreements with or transfer assets to Prentice Management Corp.

    Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.

    Publicatie datum: 20-08-2010
  • Prestige Property Portfolio 

    The Financial Services and Markets Authority (FSMA)
    Warns the public against the activities of Prestige Property Portfolio, which claims to offer investment funds from premises at Wethouderstraat /rue du Magistrat 29, 1050 Brussels.

    Prestige Property Portfolio does not have the authorization necessary to offer investment funds in or from Belgium. Moreover, it is not situated at the address provided.

    The FSMA thus advises the public against responding to any offers of investment services made in the name of Prestige Property Portfolio and against transferring money to any account number they might mention.

    Anyone wishing more generally to enquire as to the regularity of any transaction proposed can find further information on the “Consumers” page of the FSMA website (www.fsma.be) or by contacting the competent department (telephone: +32 2 220 59 10; email address: peri@fsma.be).
    Brussels, 10 June 2011

    Publicatie datum: 10-06-2011
  • Price and Stone Mergers and Acquisitions 

    De Engelse Financial Services Authority (FSA) waarschuwt het publiek tegen de activiteiten van Price and Stone Mergers and Acquisitions.

    Lees hier het originele persbericht:

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Price and Stone Mergers and Acquisitions
    61/F Two International Finance Centre
    8 Finance Street
    Central Hong Kong
    www.priceandstonema.com 

    is not authorised under the Financial Services and Markets Act 2000 (FSMA) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that these organisations may be targeting UK customers.

    Publicatie datum: 14-07-2010
  • Price Webb Associates 

    De Engelse Financial Services Authority (FSA) waarschuwt het publiek tegen de activiteiten van Price Webb Associates.

    Lees hieronder het originele Engelse persbericht:

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PRICE WEBB ASSOCIATES
    RUE DES BAINS 42-63
    GENEVA
    SWITZERLAND

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    We note that the firm also has a website, www.pricewebbassociates.com

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 16-03-2011
  • Prime Acquisitions Group, Inc. 

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Prime Acquisitions Group, Inc. is not authorised by Finansin-spektionen and is therefore not entitled to provide financial services.

    Finansinspektionen has not received any notification of crossborder activities from other EES countries.

    Prime Acquisitions Group, Inc. has a website (www.prime-agi.com) using the following address: 26 W. Washington St., Suite 2500, Chicago, Illinois 60602.

    Prime Acquisitions Group, Inc.'s representatives contact investors in Sweden through unsolicited telephone calls.

    To find out whether a company or individual is authorised, check Finans-inspektionen's website at: www.fi.se under "Authorisation".

    Publicatie datum: 18-03-2011
  • Prime Group of Companies 

    De Zweedse toezichthouder Finansinspektionen waarschuwt het publiek tegen de activiteiten van Prime Group of Companies.

    Het originele Zweedse persbericht vind je hieronder:

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Prime Group of Companies is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Prime Group of Companies has a website (www.primegroupofcompanies.com) using the following address: 125 Westchester Ave. White Plains, NY 10601.

    Prime Group of Companies’ representatives contact investors through unsolicited telephone calls and offer to buy their holdings of shares in an American OTC company. However, the investor must first pay a fee in advance, “De-restriction (10%)”. This is an advance fee fraud scheme.

    To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".

    Publicatie datum: 11-11-2010
  • Prime International Trading 

    De Hong Kong Securities and Futures Commission (SFC) waarschuwt het publiek tegen de activiteiten van Prime International Trading Ltd.

    Lees hieronder het originele bericht

    Name:

    Prime International Trading Ltd (New)

    Type of Scam:

    Unlicensed Entities

    Address(es):

    John Hancock Center
    875 N. Michigan Ave
    Chicago, IL 60611
    USA

    Website:

    www.prime-commodities.com

    Remarks:

    The company uses the bank account of Chatex Ltd, another unlicensed entities on the Alert List, for settlement.

    Add Date:

    27 April 2010

    Name:

    Prime International Trading Ltd (New)

     

    Publicatie datum: 27-04-2010
  • Prime Management 

    FSA ALERT – PRIME MANAGEMENT

    The Financial Services Authority (FSA) would like to alert ESMA that:

    Prime Management
    Tel- +44(0)2071937328
    Fax- +44(0)8715283698
    www.primemanagementfinancial.com

    is not authorised under the Financial Services and Markets Act 2000 (FSMA) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers.

    The following FSA authorised firms has no association whatsoever with the organisation discussed above identifying itself as Prime Management:

    • Federated Prime Rate Capital Management LLP (FSA authorisation; 469674, Companies House No: OC327292) One Vine Street, London, W1J OAH. Telephone Number-+44(0)2032067262. Fax Number-+44(0)2032067010

    What does this mean for you?
    If you are an investor, you should be aware that the Financial Ombudsman Service and the Financial Services Compensation Scheme are not available if you deal with an unauthorised company or individual.
    How can you check whether a firm is authorised?
    To find out whether a company or individual is authorised, go to the FSA Register Check Service at http://www.fsa.gov.uk/Pages/register/

    Note: For an up-to-date list of unauthorised firms issued, please visit: www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    For further information on unauthorised firms targeting UK investors see the press release issued on 17 April 2012 at: www.fsa.gov.uk/library/communication/pr/2012/038.shtml

    For more details about the tactics that are commonly adopted by unauthorised firms targeting UK investors see the “Stay Safe from Scams” page available at: www.fsa.gov.uk/consumerinformation/scamsandswindles/safe

    The Shares Investments Scam leaflet is available at: www.fsa.gov.uk/static/FsaWeb/Shared/Documents/pages/doing/regulated/law/pdf/warning_to_shareholders.pdf

    Publicatie datum: 11-07-2012
  • Prime Solutions, Inc 

    De Zweedse Finansinspektionen en de Britse Financial Services Authority (“FSA”) waarschuwen het publiek tegen de activiteiten van Prime Solutions, Inc.

    Het originele Britse persbericht van 13 februari 2012 vind je hieronder:

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Prime Solutions, Inc
    100 West 57th Street
    New York, Ny
    United States Of America
    Telephone: 001 646 365 3422

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at:
    http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

     

    Het originele Zweedse persbericht van 17 december 20120 vind je hieronder:

    Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Prime Solutions, Inc. is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.

    Prime Solutions, Inc. has a website (www.primesolutions.us) using the following address: 100 West 57th Street, New York, NY, U.S.A.

    Prime Solutions, Inc.’s representatives contact investors in Sweden through unsolicited telephone calls.

    To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".

    Publicatie datum: 13-02-2012
  • Prime Strategies LLC 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Prime Strategies LLC

    468 North Camden Drive, Suit 200, Beverley
    Hills, CA, California, 90210
    Website- www.primestrategiesllc.com
    Email Address – info@primestrategiesllc.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:

    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 04-10-2012
  • Princeton Capital Investments Inc. 

    The Financial Conduct Authority (FCA) of the United Kingdom would like to alert all recipients that:

    Princeton Capital Investments Inc.
    18 King William Street
    London
    EC4N 7BB
    Tel: 0207 060 9100

    Fax: 0207 060 9200

    1835 Market Street
    Philadelphia
    PA 19103

    Westhafen Tower
    Westhafenplatz 1
    Frankfurt
    60327

    Website: www.princetoncapitalinc.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on aregulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments"include stocks and shares).

    The FCA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at: www.fca.org.uk/firms/being-regulated/enforcement/alerts/unauthorised-firms

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fca.org.uk, or alternatively by telephone on 0800 111 6768. Overseas callers can contact us on (+44) 20 7066 1000.
    11/04/2013

    Publicatie datum: 15-04-2013
  • Professional Financial Advisors 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Professional Financial Advisors (Clone of previously FSA registered firm)
    Tel: 020 8144 3063
    Fax: 020 8043 1198
    Email: info@professionalfinancialadvisors.co.uk
    Website: www.professionalfinancialadvisors.co.uk

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The organisation named above is using the name, address, and FSA Firm Registration Number 188277 belonging to previously FSA registered firm,Professional Financial Advisors Limited. This firm is no longer trading.

    The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at:
    http://www.fsa.gov.uk/doing/regulated/law/alerts/unauthorised-firms 

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 6061234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 21-09-2012
  • Profidex Limited 

    The Central Bank today (12 September 2012) published the name of six unauthorised investment firms who are either claiming to be or holding themselves out to be an investment firm in the State or have been offering investment services to members of the Irish public.

    Bond Asset Management (UK, Germany & Hong Kong), Profidex Limited (Japan), Sun-Wealth Corporate Finance (Japan), Zheng Bridge Capital (China), CT Lambson & Associates, LLC (USA), have been offering investment services to members of the Irish public and are not authorised as investment firms in Ireland.

    MMA Capital Markets Limited, also known as MMA Forex & MMA FX is claiming or holding itself out as an investment firm in the State. This firm also purports to be based in the United Arab Emirates.

    A list of unauthorised firms published to date is available on the Central Bank website.

    It is a criminal offence for an investment firm to operate in Ireland unless it has an authorisation from the Central Bank of Ireland. Consumers should be aware that, if they deal with an investment firm which is not authorised, they are not eligible for compensation from the Investor Compensation Scheme.

    Any person wishing to contact the Central Bank of Ireland with information regarding such firms may telephone (01) 224 4000. This line is also available to the public to check if an investment firm is authorised. Since obtaining the necessary legal powers in August 1998, the names of 191 unauthorised firms have been published by the Central Bank.

    Publicatie datum: 12-09-2012
  • Profit Club Investments 

    De Sloveense toezichthouder Agencija za trg vrednostnih papirjev waarschuwt het publiek tegen de activiteiten van Profit Club Investments.

    Het originele persbericht vind je hieronder:

    Slovene Securities Market Agency is warning investors about activities of the company Profit Club S.A., Panama, which is operating through its internet site URL: http://profitclubgroup.com/.

    Company Profit Club S.A., Panama (hereinafter Profit Club Investments) has not obtained the Agency’s authorization according to Market in Financial Instruments Act (official Gazette of the Republic of Slovenia 67/07, 100/07, 69/08, 40/09 and 88/10) or any other securities law to carry out services in the financial instruments field in Slovenia and by the date of this warning the Agency has not received any documentation proving that the authorization is sought in order to acquire that authorization. Company Profit Club Investments is not authorized under the MiFID directive to provide direct investment services and deals related to financial instruments on the territory of the Republic of Slovenia.

    The list of the entities with the Agency's authorization is available on the Agency's website www.a-tvp.si.

    The Agency strongly urges investors considering dealing with company Profit Club Investments to exercise the greatest possible caution before proceeding, bearing in mind the contents of this public notice.

    Publicatie datum: 21-12-2010
  • Profton S.A. („4xfinity“) 

    INVESTOR WARNING

    (Vienna, 19 June 2012)
    Pursuant to Article 92 para. 11 first sentence of the 2007 Wertpapieraufsichtsgesetz (WAG 2007; Securities Supervision Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person is not entitled to carry out certain investment services (Article 3 para. 2 nos. 1 to 4 WAG 2007), provided that said person has given cause for such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

    By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 19 June 2012, the FMA informs that

    Profton S.A. („4xfinity“)

    with alleged business location in Ricardo Arias Street 2nd Floor, Torre Advanced Bldg./P.O.B. 87-1319 PA-7 Panama City, Rep. of Panama www.4xfinity.com support@4xfinity.com

    is not entitled to provide investment services in Austria requiring a licence. The provider is therefore not entitled to provide portfolio management by way of managing portfolios in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments pursuant to Article 3 para. 2 no. 2 WAG 2007. 

    Publicatie datum: 19-06-2012
  • Progress Advisors LLC 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    Progress Advisors LLC
    701 Brickell Avenue
    Suite 2550 Miami
    FL
    USA

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include,
    amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised overseas firms operating in the United Kingdom. This list can be found at: www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    We note that the firm also has a website, www.progressadvisorsmiami.com.

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 17-06-2011
  • http://projetxtreme.blogspot.fr 

    The Autorité des marchés financiers (AMF) warns investors against the unlawful activities of the blog at
    http://projetxtreme.blogspot.fr which offers Internet users advice from a so-called expert on investments in HYIPs(1). To benefit from this advice, users must take out one of the subscriptions the blog proposes. The blog promises subscribers an average monthly return of 30% if they follow the expert’s advice to the letter.

    The AMF would like to remind investors that only duly authorised investment services providers and individuals authorised as financial investment advisers are authorised to provide investment advice, in accordance with Articles L. 541-1 et seq. of the Monetary and Financial Code. No such qualified services providers or individuals can be found on this blog.

    The AMF therefore advises investors to ignore any commercial proposals made on the blog.

    More generally, it reminds French investors of the need to exercise the greatest caution in respect of gains
    promised by companies that have not applied for any kind of regulatory authorisation or approval.

    Please note: those tempted to invest in financial products or investments not covered by French marketing
    authorisation have limited recourse in the event of problems.

    Before entering into any financial investment or other investment service, you should always check that the
    intermediary offering the investment or advice is included on a list of financial institutions authorised to operate in France (https://www.regafi.fr) or a list of financial investment advisers (http://www.amf-france.org, “FIAs and Direct marketers” section).

    (1) High Yield Investment Program (the AMF already warned investors to ignore proposals relating to these so-called high yield investment programs in a news release issued on 30 May 2012)

    Publicatie datum: 10-09-2012
  • Pro Smart Advisors 

    FSA ALERT - PRO SMART ADVISORS
     
    The Financial Services Authority (FSA) would like to alert ESMA that:
     
    PRO SMART ADVISORS (Clone of previously FSA Registered firm)
    may also use name PRO SMART SECURITIES
    Addresses: 1 Angel Court, Liverpool Street, London EC2R 7HJ
    125 Old Broad Street, EC2R 8, London, England
    Tel: 020 3582 9624; 020 8099 5436
    Fax: 020 7099 5420

    Websites:
    www.prosmartsecurities.com
    www.prosmartadvisors.com
    www.prosmart-clients.com
    www.prosmartadvisors.net

    Email: 

    info@prosmartsecurities.com
    info@prosmartadvisors.com;
    accounts@prosmartadvisors.com
    info@prosmart-clients.com
    prosmartadvisors@gmail.com

    is not authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers.
     
    This entity is using the firm registration number of a previously FSA registered firm.  The following firm has no association whatsoever with the organisation described above that is identifying itself as Pro Smart Advisors or Pro Smart Securities:

    §  Pro Smart
          FSA Firm Registration Number: 450939
          Current Status: No longer FSA registered

    Publicatie datum: 14-06-2012
  • Provident Capital Indemnity Ltd. 

    Uit onderzoek van de AFM blijkt dat Provident Capital Indemnity Ltd. (PCI) actief is op de Nederlandse markt, dan wel diensten verleent aan in Nederland gevestigde bedrijven. De AFM heeft vastgesteld dat de onderstaande toezichthouders onderzoek hebben gedaan naar de activiteiten van Provident Capital Indemnity Ltd. (PCI) en daarbij de navolgende conclusies hebben getrokken en deze conclusies openbaar hebben gemaakt.

    • De Texas State Securities Board heeft op 17 januari 2008 een zogenaamde ‘Emergency Cease and Desist Order’ onder nummer ENF-08-CDO-1647 uitgevaardigd tegen PCI. In deze order wordt door de Texas State Securities Board onder meer aangegeven dat PCI betrokken is geweest bij overtreding van de effectenwetgeving, fraude, misleiding en dat de praktijken van PCI immediate and irreparable public harm veroorzaken.

      De volledige ‘Emergency Cease and Desist Order’ is via onderstaande link te vinden op de website van de Texas State Securities Board.
      http://www.ssb.state.tx.us/Enforcement/files/1647.pdf

    • De Texas Department of Insurance heeft op 6 november 2006 een zogenaamde ‘Emergency Cease and
      Desist Order’ onder nummer 06-1154 uitgevaardigd tegen PCI. In deze order wordt door de Texas Department of Insurance onder meer aangegeven dat PCI illegaal verzekeringen sluit in Texas en dat PCI “is fraudulent, illegal, hazardous, creates an immediate danger to public safety”.

      De volledige ‘Emergency Cease and Desist Order’ is via onderstaande link te vinden op de website van de Texas Department of Insurance.
      http://www.tdi.state.tx.us/news/2008/document/news2008188.pdf

    • De Securities and Exchange Commission (SEC), de financiële toezichthouder de Verenigde Staten van Amerika, heeft een ‘complaint’ gedateerd op 23 augustus 2007 ingediend bij het United States District Court Eastern District of California, Sacramento Division in een zaak van de SEC tegen Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Inc., Donald F. Neuhaus en Kimberly A. Snowden. In deze ‘complaint’ vermeldt de SEC het navolgende over PCI: “Defendants have also used the following purported bonding companies: Provident Capital and Indemnity Ltd. ("Provident"), purportedly based in Costa Rica; (…) None of these companies has ever been licensed to provide insurance in any state in the U.S. None of the companies has ever been an authorized "surplus line insurer" in California, and Provident specifically appears on California's list of "unacceptable nonadmitted" insurance companies. Since 1992, Provident has been the subject of state regulatory actions in California, Florida, and Texas variously involving fraud, unauthorized issuance of insurance, and a "life settlement" investment program.”

      De ‘complaint’ van de SEC is via onderstaande link te vinden op de website van de SEC.
      http://www.sec.gov/litigation/complaints/2007/comp20252.pdf

    • De SEC heeft een ‘complaint’ gedateerd 19 maart 2010 ingediend bij het United States District Court for the Southern District of Texas, Houston Division in een zaak van de SEC tegen Charles Jordan, Kelly Gipson. In deze ‘complaint’ vermeldt de SEC het navolgende over PCI: “Provident is located offshore and is not licensed to provide insurance in Texas or any other state in the United States. (…) there was significant evidence that Provident was not reliable and might be unable or unwilling to pay on the numerous policies it has issued in connection with life settlement investments.”

      De ‘complaint’ van de SEC is via onderstaande link te vinden op de website van de SEC.
      http://www.sec.gov/litigation/complaints/2010/comp21458.pdf

    • De Financial Services Authorithy (FSA), de financiële toezichthouder in het Verenigd Koninkrijk, waarschuwt tegen PCI door middel van opname op de lijst van “Unauthorised overseas firms operating in the UK” met de volgende toelichting:

      This warning list includes unauthorised overseas firms that the FSA has received complaints about in respect of their activities and/or the FSA has reason to believe they are involved, or have been involved, in activities that contravene section 19 and/or 21 of FSMA.

      Such firms are often involved in ‘ boiler room’ activities and pose a high degree of risk to consumers. They frequently engage in tactics including cold-calling members of the public offering shares that later turn out to be worthless or high risk.
      (…) t
      he most effective protection against such unauthorised firms is to have nothing to do with them.”

      De waarschuwing van de FSA is via onderstaande link te vinden op de website van de FSA.
      http://www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/overseas.shtml

    Publicatie datum: 15-04-2010
  • Provideo Financial  

    The Financial Services and Markets Authority (FMSA) warns the public against the activities of Provideo Financial, a company that claims to offer investment services.

    Provideo Financial is not an authorized investment firm in Belgium. It is therefore not allowed to provide investment services in or from Belgium.

    The FSMA therefore advises against responding to any offers of services made by Provideo Financial and against transferring money to any account number they might mention.

    Provideo Financial claims to have registered offices in Italy at Via Antonio Salandra 18, 00187 Rome, and in Hong Kong at 12 Harcourt Road, Central Hong Kong.

    Would you like to enquire more generally as to the regularity of a transaction being proposed? If so, please consult the Consumers page on the FSMA website (www.fsma.be) or contact the 'Relations with Consumers of Financial Services' department (tel.: +32 2 220 59 10; email address: peri@fsma.be).

    Publicatie datum: 13-12-2011
  • Proyectalia Grupo Empresarial 

    The Comisión Nacional del Mercado de Valores

    CNMV warns the public on unregistered firm:

    Pursuant to the second paragraph of Article 13 of the Law 24/1988, July 28th the Securities Markets Act, the Comisión Nacional del Mercado de Valores, warns that:

    PROYECTALIA GRUPO EMPRESARIAL, S.L.
    Avda. Fragoso 4 6ºC
    36210 - Vigo
    Pontevedra
    www.sirentable.com

    Is NOT authorised to provide the investment services detailed in paragraph 1 and in letters a), b), d), f) and g) of paragraph 2 of Article 63 of the Spanish Securities Market Act, in relation to the financial instruments detailed in article 2 of the said Act, including, to such effects, transactions on foreign currency.

    Publicatie datum: 28-03-2011
  • Prudential Global Group 

    The Financial Services Authority (“FSA”) of the United Kingdom would like to alert all recipients that:

    PRUDENTIAL GLOBAL GROUP
    Address: Court Sq Ste 202
    Long Island City,
    NY 11101-4328
    Tel: 0016462051211
    Fax: 0016466194542
    Website: www.prudentialglobalgroup.com
    Email: contact@prudentialglobalgroup.com

    is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).

    The FSA believes that this organisation may be targeting UK customers, therefore we have added this firm to our list of unauthorised firms which can be found at:

    www.fsa.gov.uk/pages/Doing/Regulated/Law/Alerts/unauthorised.shtml

    If you have any further questions on this matter please email our Consumer Contact Centre at consumer.queries@fsa.gov.uk, or alternatively by telephone on 0845 606 1234. Overseas callers can contact us on (+44) 20 7066 1000.

    Publicatie datum: 20-11-2012