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 1161 to 1180 of 7896 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Dragon International, a.k.a. Dragon Mergers | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Double Invest Crypto | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Donald Mark & Bradstone LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
DMR Consulting, LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Dixon Associates | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Division of Securities for the District of Columbia (DOSDC) | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Division of Securities | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Diversified Private Capital Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Diversified Portfolio Management Invest, a.k.a. DPM Invest | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Diversified Global Equities Group | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
District Stock Transfer | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Digital Capital Markets LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Diamondoption9 | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Diamond Title Services, LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Dial Mergers | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Department of Securities Trading | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Department of Securities Liquidations | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Department of Securities and Exchange Regulation | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Department of Securities | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Department of Regulation in Washington | Securities and Exchange Commission | United States of America | 01 Jul 2024 |