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 741 to 760 of 7800 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Kirby Joe Associates | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kipling Mercer & Co. LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kingsley Capital Partners Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kings Crypto Space | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kinetic Escrow Trust | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kiefer Business Services LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Keystone Global Marketing | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Keystone Corporate Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Keys Law Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Keswick Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kensington Advisory & Investment Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kennedy, Anderson & Lang | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kenilworth Mergers & Acquisitions Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Keep Clearing Corporation LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Karum Group LLC Law Firm | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Kaplan Mergers | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
JT Limited Partnership | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
JSM Financial | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
JPR Capital Corp. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Johnson McQuade Acquisitions Corp. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |