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 901 to 920 of 7896 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Hales Securities | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
H. Taft Private Equity | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Gultsara Trading Ltd. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Guardian International | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Guardian Creative Tax Planners | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
GS Global Asset Management LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Gruber and Green, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Griffin Mergers and Acquisitions | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Griffin Advisors Limited | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greystone Asset Management | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greyson Consulting Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Grenfell and Blackrock Associates | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenwood Capital Advisors | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenway Consultancy | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greentree Financial Advisors | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenfield Securities Ltd. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenfield Insurance Services | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenfield and Associates | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
GreenEarth Investments | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Greenbridge International | Securities and Exchange Commission | United States of America | 01 Jul 2024 |