Information for Investors: Telephone Share Scams | Securities Commission
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This list is not exhaustive. If you are cold called from a firm that is
investors
not on the list that does not mean it is genuine. It is always unwise
to send money overseas to someone who you know only from an
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unsolicited call.
adviser
regulation
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Kearns Investments Inc
Level 9 AIG Building
Level 21 HSBC Tower
1-1-3 Marunouchi Chiyoda-Ku 101 Yin Cheng East Road
Tokyo 100-0005
Pudong
JAPAN
Shanghai 200120
CHINA
Level 36
Menara Citibank
165 Jalan Ampang
50450 Kuala Lumpur
MALAYSIA
Associated individuals: Michelle Von Wald, Cyrus Fahad, Tony
Sacks and Michael Stuart.
Published on this site October 2001
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Kempton Fitzgerald Limited
Empire House
175 Picadilly
Mayfair
London WIJ 9TB
UNITED KINGDOM
Published on this site November 2003
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Kennedy Investments Limited
Edificio Centro Empresarial
Oficina 403 Torre II
5a Avenida 15-45 Zona 10
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Guatemala City
GUATEMALA 01010
Published on this site June
2003
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Kensington Group Inc
30th Floor, Shinjuku Park Tower
3-7-1 Nishi-shinjuku
Shinjuku
Tokio
JAPAN
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The Kensington Group
23F M Thai Tower
18F, One International
All Seasons Place
Finance Centre
87 Wireless Road
1 Harbour View Street
Phatumwan
Central
Bangkok
HONG KONG
THAILAND
Published on this site October
2000
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Kimberly Capital Corporation
14 George Road
Glen Rock NJ 07452
UNITED STATES OF AMERICA
Associated individuals: Laurence Smith, Kamal Pateal Smith,
Shamon Peris
Telephone: 201 839 9517
Fax: 201 604 7444
E-mail: [email address]
website: www.kimberlycapital.com
Kimberly Capital Corporation should not confused with the
legitimate Kimberly Capital Corporation incorporated in the
US. It has stolen the name and address of the genuine firm.
The genuine Kimberly Capital Corporation does not have a
website and has different phone and fax numbers.
Published on this site February 2009
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KLM Investment Services Limited
25 Dowgate Hill
Cannon Bridge
London
UNITED KINGDOM
Associated individuals: Adam Lewis and Timothy Husk
Published on this site August 2001
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Knobias Alliance Group
Kornhausstrasse 3
CH 9000 St. Gallen
SWITZERLAND
Associated individual: Jack Quinn
Published on this site January 2004
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Liberty Assets Inc.
3306 South Liberty Street
New Orleans
LA 70115
UNITED STATES OF AMERICA
Associated individuals: Eli Green, George Franks, George
Buckingham and Steven Givens
Published on this site 28 September 2004
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Liberty Capital International Limited
PO Box W829
Corn Alley
St John's
ANTIGUA
Published on this site June 2001
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Liberty First Advisory Services, S.A.
Paris, 101-107
08029 Barcelona
SPAIN
Associated individual: Randy Perry
Published on this site April 2004
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Lincoln Partners M&A Inc.
415 Madison Avenue
New York City, New York
10017 UNITED STATES OF AMERICA
Published on this site June 2007
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Limbaugh and York Associates
1200 McGill College Avenue
Suite 1105 Execu-Centre
Montreal, QC H3B 4G7
CANADA
Phone: +1 514 906 1732
Fax: +1 514 221 3865
E-mail: [email address]
Website: www.limbaughandassociates.com
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Published on this site October 2008
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Livingston Asset Management
14 Ron
1204 Geneva
SWITZERLAND
Associated individuals: Ingo Janneau, Marc Philips, Aron
Mozes, Jonathon Livingston, Charles Bond.
Published on this site June 2002
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Lloyds TSB
Email: customer -[email address]
Note: Only this particular Lloyds email address is identified as
fraudulent.
Published on this site June 2008
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Lombard Grand Incorporated
Level 21 Centennial Tower
3 Temasek Avenue
SINGAPORE 039190
Published on this site March 2004
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Loyal Relations, Ltd.
1805 Wheelock House
20 Pedder Street,
Central, HONG KONG
Published on this site May 2007
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Lloyds & Barclays Inc.
Suite 3304, Empire States Building
350 Fifth Avenue
New York 10118
UNITED STATES OF AMERICA
Associated individual: Sonny Danson
Published on this site 28 September 2004
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Lynx Commodities
Asia House
31-33 Lime Street
London EC3M 7HT
UNITED KINGDOM
Associated individual: James Wright
Published on this site July 2005
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Lynx Mackenzie Incorporated
415 Madison Avenue
New York, NY10017
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USA
Website: www.lynxmackenzie.com
Published on this site January 2009
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Macintosh & Sons Ltd
8 Hampshire Lane
3rd Floor
Salisbury
Wiltshire
SP2 7TU
UNITED KINGDOM
Associated individual: Edward D. Macintosh II
Published on this site October 2003
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The Madison Group
23rd Floor
M.Thai Tower
All Seasons Place
87 Wireless Road
Phatumwan
Bangkok 10330
THAILAND
Associated individuals: Glen Bradshaw, Frank Harris, John
Jacobsen
Published on this site September 2000
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Magna Capital Research
702 Wheelok House
20 Pedder Street
Central Hong Kong
HONG KONG
Published on this site March 2006
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Magnusson Edward
17/F Cheung Kong Center
2 Queen's Road Central
HONG KONG
Published on this site January 2006
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Manhattan Pacific Group Limited
The World Trade Centre
Leutschenbachstrasse 95
Zurich 8050
SWITZERLAND
Associated individual: David Carlton
Published on this site March 2005
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Manhattan Securities Corporation
166 Millbrook Circle
Norwood
NJ 07648
UNITED STATES OF AMERICA
Published on this site May 2006
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Manning Capital, Inc
384 - 386 Greenwich Street
NY 10013
UNITED STATES OF AMERICA
Published on this site April 2008
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Michael J Marrin
Attorney-at-Law
44 Court Street
Temple Bar Building
Suite 802
Brooklyn
New York
NY 11201
UNITED STATES OF AMERICA
Not to confused with Michael J Marrin, Attorney-at-Law, 65
Southard Avenue, Rockville Center, New NY 11570, United
States of America.
Published on this site June 2008
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Marlborough Acquisitions Inc
4600 South Ulster Street
Denver, Colorado 80237-2882
UNITED STATES OF AMERICA
Published on this site March 2001
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Mason McHale Portfolio Management
19/F Hing Wai Building
36 Queen's Road
CENTRAL HONG KONG
Published on this site 04 June 2004
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Master Bettman
548 8 Avenue
Level 25, Bank of China
Tower
New York
1 Garden Road
UNITED STATES OF AMERICA HONG KONG
Published on this site April 2007
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Mayer Wegner Mergers & Acquisitions
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Schwarzwaldstr, 88PLZ
Stadt: 60528
Frankfurt
GERMANY
Published on this site October 2005
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Mercantile International Securities
100 Summer Street
Boston, MA 02110
UNITED STATES OF AMERICA
Associated individual: William Blair
Published on this site 17 August 2004
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Merit Capital Group
38 Russell Street
28/Floor Soundwill Plaza
Causeway Bay
HONG KONG
Published on this site July 2003
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Millennium Exchange
6919 Viejean Ave
Van Nuys
CA 914406
UNITED SATES
Published on this site May 2006
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Millenium Financial Group
23rd Floor
Tower 1, The Enterprise Center
6766 Ayala Avenue
Makati City 1200
PHILIPPINES
Associated individuals: Richard Arrowsmith, Gary Artzt, G.
Edward Buell, Ben Cattaneo, Nica Gelera, Ray Gordon, Jon
Jones, Jon Lopresti, Matthew McAllister, George Mitchell,
Lenny Mazzola, Joseph Paterno, Ken Sheffield, Romson Velez,
and Robert Velis.
Published on this site March 2001
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Miller Bosses Acquisitions Inc.
4100 Lyndale Av
Minneapolis
MN 55409
UNITED STATES OF AMERICA
Associated individual: Charles Davenport
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Published on this site 28 September 2004
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Monahan & Monahan Ltd
339 Florida Boulevard
Baton Rouge
Louisiana 70806
UNITED STATES OF AMERICA
Associated individual: Stephen P Monahan
Published on this site November 2004
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Montgomery,Smith and Cooper
Phone: +1 212 710 1372
Fax: +1 718 725 8048
Published on this site August 2008
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Morgan International Investment Group Inc
6, Circuit de la Foire Internationale
BP 2507, L-1025 Luxembourg
GRAND-DUCHE DE LUXEMBOURG
Associated individuals: Thomas Carpenter, Simon
Richardson, Diane Rosenberg
Published on this site November 2001
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Morgan Pacific
138 Silom Road
Boonmitr Building 10th Floor
Suriyawongse
Bangrak
Bankok 10500
THAILAND
Associated individual: Graham Thompson
Published on this site June 2001
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Morgan Price Limited
Suite 2/83 Walker Level 21, 201 Miller Registered Office
Street
Street
Unit 81
North Sydney
North Sydney
6 Greenknowe
NSW 2060
NSW 2060
Avenue
AUSTRALIA
AUSTRALIA
Elizabeth Bay
NSW 2011
AUSTRALIA
Associated individuals: Robbie Joseph, president, Douglas
Pestano, director/secretary, Paul Cottingham Sohn, director.
Published on this site March 2003
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Morrison Cross Financial Investments Limited
Ave. Manuel Espinosa Batista
International Business Center
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Floor 11
PO Box 0833-0118
Panama
REPUBLIC OF PANAMA
Associated individuals: Kenneth Elliot, Max Peters
Published on this site June 2001
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Muller and Sons Securities Management Inc
Unit 114 Prince Plaza 1
106 Legaspi Street
Legaspi Village
Makati City
PHILIPPINES
Associated individuals: Ben Smit, Michael Martin, Stephanie
Victoire and Maurie Wise
Published on this site August 2000
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Muller Schmidt Associates
1500 W Lake St
MN 55408
UNITED STATES OF AMERICA
Published on this site December 2005
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Nakamoto International Group
Wakamatsu Building
3-3-6 Nihonbashi Hon-cho
Chuo-ku
TOKYO 103-0023
Published on this site June 2006
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Nasdaq Brokercheck
Not to be confused with the genuine Nasdaq Stock Exchange
(www.nasdaq.com)
Published on this site June 2008
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Nationwide Mergers & Acquisitions Inc
3178 Johnson Ferry Road Northeast
Atlanta, GA 30303
UNITED STATES OF AMERICA
Published on this site February 2005
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New Alliance Securities Inc.
1370 3rd Avenue
New York, NY
UNITED STATES OF AMERICA
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Tel: + 1 646 360 1715
Fax: + 1 646 224 9826
Email: [email address]
Associated individual: Jose Luis Barria
Published on this site April 2011
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New York Income Partners II LLC
34445 Winton Place
Rochester NY 14623
UNITED STATES OF AMERICA
Phone: +1 866 365 0718/ +1 585 492 8900
Fax: +1 202 262 1105
E-mail: [email address]
Not to be confused with the genuine New York Income
Partners II, LLC
Published on this site January 2010
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Newmann Hamshire GmbH
21st Floor Mainzer Landstrasse 47
60329 Frankfurt am Main
GERMANY
Published on this site November 2005
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New Market Corporation
Yurakucho 2-7-1
Chiyoda-Ku
Tokyo
JAPAN
Website: www.newmarketcorp.com
Email: [email address]
Phone: +813 4580 2171
Fax: +813 4580 2197
Associated individual: Dave Chavez
Published on this site April 2010
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Newport Pacific Securities & Management Inc
Unit 404
Greenbelt Mansion
106 Pera Street
Legaspi Village
Makati
Manila
PHILIPPINES
Associated individuals: Jack Miller, Thomas Massino, Johnny
Morgan, Peter Lynch and Ron James
Published on this site October 2000
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Noble International Consulting Inc
PO Box 330
Ste 505
123 Queen Street
Toronto
Ontario M5H 2M9
CANADA
Published on this site August 2005
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Northpoint Portfolio Management Ltd (
see also earlier
listing below)
Chong Hing Finance Centre
Level 12
Nanjing West Road
2003 Shanghai
CHINA
Phone: +86 138 1655 0144
Email: [email address]
Website: www.northpmm.com
Associated individuals: Eric Demitrios, Richard Forsyth
Published on this site October 2010
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North Point Asset Management Ltd
North Point Investment Management
Chonghing Finance Center
Level 12, 288 Nanjing XI Road
Huangpu district 200003
Shanghai,
CHINA
Phone: +86 138 165 501 44
Fax: +86 216 163 8213
Website: www.northpointassetmanagement.com
Associated individual: Chris Johnson
Published on this site August 2009
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Norwich Capital Mutual Funds Limited
Valero Towers, Penthouse D
122 Valero Street
Salcedo Village
Makati City
PHILIPPINES
Associated individual: Chris Jones
Published on this site August 2001
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Norwich International Trading Inc
W910 West Tower
Philippine Stock Exchange Centre
Exchange Road
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Oritgas Centre
Pasig City
Metro Manila
PHILIPPINES
Associated individuals: Kathleen Edward and Kevin Walker
Published on this site November 2001
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NT Financial Services
808 Broadway, #1
New York, NY 10003
UNITED STATES OF AMERICA
Tel: +1 212 247 1798
Fax: + 1 212 937 3669
Email: [email address]
Website: www.ntfinancialservices.net
Associated individuals: Alyson White
Published on this site October 2010
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Nuventis Corporate Services Group
18F Bund Center
222 Yunan Road East,
Shanghai 2000002
CHINA
Published on this site December 2005
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Oakmont Financial Mergers
130 Bellevue Avenue
Newport, RI 02840
UNITED STATES OF AMERICA
Published on this site February 2005
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Oasis Capital Inc.
542 Mt. Pleasant Road, Suite 105
Toronto, Ontario
CANADA M4S 2M7
Associated individuals: Timothy (Ted) E Manning, Judith M
Switzer, James K de Roux
Published on this site November 2003
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Ocean Blue Distribution Limited
380 Bloor St. W.
Toronto
Ontario
M7J-3M5
CANADA
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Associated individuals: Cindy Tan and William W. Baynes
Published on this site July 2003
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Onyx Acquisitions
London ENGLAND
Published on this site February 2006
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Oppenheimer International
No. 4 Royal Mint Court
London EC3N 4HJ
ENGLAND
Associated individuals: Jess Bunting, Carsten Straber, Patrick
Seagraves
Published on this site May 2003
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Oppenheimer Securities Inc.
1150 Silverado Street
La Jolla
California
UNITED STATES OF AMERICA
Published on this site May 2007
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Overseas Management Group Inc.
1054-356 Centre Street
Toronto, Ontario
Canada
Associated individual: Ricardo Martins
Published on this site June 2005
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Oxley Mergers and Acquisitions
717 Texas Avenue
Houston
TX 77002-2761
UNITED STATES OF AMERICA
Published on this site July 2006
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