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 1021 to 1040 of 7896 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Fortis IM Trade | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Forte Capital Mergers and Acquisitions | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
ForexstockOptions | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Forex Vip Investment Advisors Corporation | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Forex Trade Services | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Forex Pro Trades | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Forensic Accounting and Financial Fraud Investigator | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Foreign Investors Surveillance Authority | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Foreign Investments Enforcement Division | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
ForeFront | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
FMX Trade | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fisher Bennett Private Equity Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
FirstPrime Financial Corporation | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Trade Securities | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Private Equity Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Prime Corporations, a.k.a. First Prime Corp. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First National Stock Transfer Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First National Reliance Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Liberty Transfer Agency, LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Investment Securities | Securities and Exchange Commission | United States of America | 01 Jul 2024 |