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 1041 to 1060 of 7896 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
First Independent Accounting & Management Services Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Financial Management | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Escrow Trust | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First Axis Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
First American Group, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Firmarkets | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
FinTrade Advisors Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
FinSolve Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Finesse Brokers | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fincord Asset | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Trading LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Trading Board | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Soultions (sic) | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Services Department | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Services Commission | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Securities Authority | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Securities and Investments Commission | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Securities and Equities Bureau (FSEB) | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Regulatory Authority | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Regulation Bureau | Securities and Exchange Commission | United States of America | 01 Jul 2024 |