Investor Protection
IOSCO receives alerts and warnings from its members about firms which are not authorized to provide investment services in the jurisdiction which issued the alert or warning. Some of the alerts or warnings are about unauthorized firms using names similar to those of authorized firms or about unauthorized firms falsely claiming to be associated with authorized firms.
The alerts and warnings included in the attached list are provided by IOSCO members on a voluntary basis. The contents of the alerts and warnings are the responsibility of the IOSCO member which issues them. This is not a complete list of all alerts and warnings from all IOSCO members.
The date next to the name of the IOSCO member is the date when the alert or warning was posted on this list. By clicking on the date you will be directed to the text of the alert or warning on the IOSCO member's web page. You should look at the IOSCO member's web page to get all the relevant information.
*Only alerts posted during the last year are visible in the table below, but all posted alerts are searchable.
*The subject matter is not available for alerts posted prior to 23 March 2019.
Showing 681 to 700 of 7800 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Macellum Capital Management, LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Macallaster Pitfield Mackay Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
M&A Securities Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
M&A Global Consulting Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lynx Mackenzie, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lynch and Nitomura | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lubater Consulting | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Longworth and Richman Law Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lombard Grand Financials | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Logan Acquisitions | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Loeb King Capital Management | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
LM Waterhouse | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lloyds Commercial Finance | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lloyds & Lambert Capital Ventures Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lloyd Morgan Company | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Lloyd Brown Investments, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
LJ Portfolios, LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Livingston Mergers & Acquisitions | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Livetradingfx | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Litmus Capital Management Group LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |