Overseas Firms that have called New Zealanders P U.pdf

Information for Investors: Telephone Share Scams | Securities Commission
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z About
z Publications
Overseas firms that have called New
Zealanders
z Exemptions
z Notices
Since August 2000 we have published the names of firms who have
z What's
targeted people in New Zealand. These callers do not hold a New
new?
Zealand broker's licence or futures dealer authorisation and do not
comply with New Zealand law.
z International
z Speeches
They have not provided evidence that they are registered in their
home jurisdiction to undertake this type of securities business.
z Information
for
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
z Financial
unsolicited call.
adviser
regulation
For information on questions to ask before making any investment
z Contact us
decision see Test before you invest.
z Site map
A - E | F - J | K - O | P - U | V - Z
z Home
z Palladium Cathay Intermediaries
1266 Nanjing West Road, Shanghai
200040
CHINA
Published on this site April 2008
z Pan Euro Financial SA
10, Cours de Rive
CP3237 - CH1211
Geneva
SWITZERLAND
Associated individuals: Steven Evans, Allen Kaplan, David
Mills, Mike Nyberg
Published on this site September 2003
z Paradigm Resources, Ltd
Mansell
4555 Mansell Road
Suite 625
Atlanta
GA 30022
UNITED STATES OF AMERICA
Published on this site December 2005
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z Parker & Cramer Asset Management Inc
First West Building
200 First Avenue West Suite 400
Seattle
Washington 98119
UNITED STATES OF AMERICA
Published on this site February 2005
z Pacific Rim Wealth Management
16 Westlands Road
HONG KONG
Tel: 852 9573 7972
Fax: 852 3050 9026
Email: [email address]
Website: www.pacificrimwealthmgmt.com
Associated Individuals: Judy Abbot, Ben Allan, Alan Jones,
Tony Ortiz
Published on this site June 2009
z Park Equity Ventures
78 York Street
London
United Kingdom
Tel: +4420 3026 3883
Fax: + 4420 3014 9560
Email: [email address]
Website: www.parkequityventures.com
David Graham - associated individual
Dr. Michael Bennett - associated individual
Charles Davis - associated individual
Ted James - associated individual
George Nelson - associated individual
Published on this site December 2010
z Parker Jennings
2117 Buffalo Road
Rochester
New York 14624
UNITED STATES OF AMERICA
Published on this site December 2002
z PCA Management
24 De Castro
Road Town
Tortola
BRITISH VIRGIN ISLANDS
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Published on this site December 2005
z Pembridge Group
Suite 2903
29/F, Tower 1
Admiralty Centre
HONG KONG
Associated individual: Justin Wentworth
Published on this site August 2001
z Perpetual Trading Group
1650 S. Dixie Highway Suite 100
Boca Raton
Florida 33432
U.S.A
Published on this site November 2004
z Pfeiffer Galland
Plaza Mashill Level 21
Jalan Jendral Sudirman Kav 25
Jakarta
INDONESIA
Published on this site October 2002
z Pinnacle Global Corporation
77 Lai Kwai Fong
HONG KONG
Published on this site in November 2005
z Pinnacle Group LLC
1400 N. Dallas Parkway
Suite 1200
Dallas, Texas 75240
UNITED STATES OF AMERICA
Published on this site in March 2006
z Powell McDougall
Harcourt Centre
Harcourt Road
Dublin 2
REPUBLIC OF IRELAND
Published on this site March 2004
z Preferred Global Partners
Theaterstrasse 14
Zurich 8001
SWITZERLAND
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Information for Investors: Telephone Share Scams | Securities Commission
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Associated individual: Steven Marx
Published on this site March 2005
z Preferred Performance Group, Company Limited
Richmond Building
75 Sukhumvit Soi 26
Bangkok
THAILAND
Published on this site November 2001
z The Prestige Group Ltd
National Newark Building
744 Broad Street
18th Floor
Newark, NJ 07102
UNITED STATES OF AMERICA
Published on this site April 2007
z The Prestige Perspective
1 Harbour Road
Wanchai
HONG KONG
Published on this site October 2005
z Premier eFinance
Central Centre
99 Queens Road
Hong Kong SAR
Tel: + 852 8197 2553
Fax: + 852 3015 6867
Email: [email address]
Website: www.premier-efinance.com
Associated individual: Susan Crawford
Published on this site March 2011
z Price & Partners Consultants
5-7C Duke Wellington House
14-21 Wellington Street, Central District
Hong Kong
Tel: + 852 3 6786714 / + 852 3 1750956
Email: [email address]
[email address]
Website: www.priceandpartnersconsultants.com
Associated individual: Brian Scott
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Information for Investors: Telephone Share Scams | Securities Commission
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Published on this site April 2011
z Prime Capital Advisors
Nicolau Pentadromos Center
25 Ayias Zonis Street
Suite 1100 Limassol
CYPRUS
Associated individual: Wendell Martin
Published on this site November 2004
z Primesolutions Securities Inc
The Primesolutions Securities Inc. listed has stolen the
identity of a legitimate firm in the United States. The
legitimate Primesolutions Securities Inc. can be contacted by
phone +1 440 230 0400 or by fax on +1 440 230 9956.
Published on this site August 2007
z Pro Capital Asset Management
25 Aphrodite Street
PO Box 26025
166 Nicosia
CYPRUS
Associated individual: Scott Meadows
Published on this site December 2007
z Profidex Ltd
Levels 9-11, AIG Building
1-1-3 Marunouchi
Chiyoda-Ku
Tokyo 100-0005
JAPAN
Published on this site April 2006
z Quantum Capital Corporation
Hardturmstrasse 101
Zurich, CH, 8005
SWITZERLAND
Published on this site November 2005
z Quantum Global Equities Inc.
19th St NW
Washington, District of Columbia 20036
USA
Tel: + 1 202 3910 955
Email: [email address]
Associated individual: James Forbes
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Information for Investors: Telephone Share Scams | Securities Commission
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Published on this site March 2011
z Radius Resources
95 South Street
New York, NY 10038
UNITED STATES OF AMERICA
Published on this site May 2007
z Regal Group International
35/F Central Plaza
18 Harbour Road
HONG KONG SAR
Phone: +852 3175 0983
Fax: +852 3678 6713
Email: [email address]
Website: www.regalgroupinternational.com
z Remington Consultancy Limited
1245 Pleasant View Boulevard
Scottsdale Arizona 85261
UNITED STATES OF AMERICA
Associated individuals: Richard Remington, George Mason,
John Richmonds
Published on this site September 2001
z Richard Watson Associates
4021 27th Street, 2nd Floor
Long Island City
New York 11101
UNITED STATES OF AMERICA
Published on this site November 2003
z Richardson Resources Inc.
Carl-Zeiss-Str. 14-18
81 Pedder Street
65520 Bad Camberg
HONG KONG
GERMANY
Associated individual: William Ford
Published on this site 17 August 2004
z Richmond Capital Management
21/F Seoul Finance Centre
Taepyeongno 1-ga
Jung-gu, Seoul, Korea 100-768
Phone: +82 70 7894 5584
Fax: +82 2 3782 4820
E-mail: [email address]
Website: www.richmondconsultancy.com
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Information for Investors: Telephone Share Scams | Securities Commission
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Not to be confused with the genuine:
Richmond Capital Management, Inc. 10800 Midlothian
Turnpike, Suite 217, Richmond, VA USA 23235, Tel: (804)
379-8280, Fax: (804) 379-9362
Associated individuals: Hamilton Trading Limited
Published on this site June 2008, updated November 2008
z RJL International Ltd
625 Mt. Auburn Street
Cambridge, MA 02138
UNITED STATES OF AMERICA
Associated individuals: Vincent Gentile, Mike Eastwood, Jerry
Bell
Published on this site 15 April 2004
z Rosenberg Smith & Partners
2000 Steeles Avenue West, Suite 200
Concord
Ontario
CANADA
Associated individuals: Norman Rosenberg and Morry Nosak
Published on this site July 2004
z Rosenthal International
1370 Broadway
New York
NY 10018
UNITED STATES OF AMERICA
Associated individuals: Jonathon Nagle and Michael Ryder
Published on this site 17 August 2004
z Royal Acquisitions Inc
96 West Park Place
Newark
Delaware 19711
UNITED STATES OF AMERICA
Associated individuals: Associated individuals: Anthony
Hutchins, Eric Collins
Published on this site 28 September 2004
z Rutherford Acquisitions
7400 Metro Blvd
Minneapolis
Minnesota MN 55439
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Information for Investors: Telephone Share Scams | Securities Commission
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UNITED STATES OF AMERICA
Published on this site December 2002
z Safeguard Equity Group
88 Queensway, Central
HONG KONG
Phone: +852 9573 7990
Fax: +852 3016 6330
E-mail: [email address]
Website: www.safeguardequity.com
Associated individuals: Julia Lopez, Steve Edwards, Laura
Bates
Published on this site November 2008
z Salem Asset Management
1501 Frederica Street, Duluth
Minnesota 42101
UNITED STATES OF AMERICA
Associated individual: David Pearson
Published on this site 17 August 2004
z Scudder, Stevens & Clark
60 St. Mary Ave
London
EC3A 8JQ
UNITED KINGDOM
Published on this site September 2003
z Schwartz Leiberman Associates
PO Box 16425
Seattle
Washington, 97271
United States of America
Tel: + 1 206 350 4019 / + 1 206 202 6202
Fax: + 1 206 299 9239 / + 1 206 339 4812
Email: [email address]
Website: www.schwartzleiberman.com
Associated individual: John Campbell
Posted on this site November 2010
z Seago South
One Harbour Place
1901 S Harbor City Blvd
Melbourne, FL 32901
UNITED STATES OF AMERICA
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Associated individuals: John Joust and Stephen J. Seago
Published on this site November 2007
z Shanghai M&A International
3501 Citic Square
1168 Nanjing Xi Lu
Shanghai 200041
CHINA
Published on this site April 2006
z Shin Kong Wedbush
6F, No.6, Sec.4, Xinyi Rd
Taipei
TAIWAN
Phone: + 886 2 8758 2905
Fax: + 886 2 6602 1275
Email: [email address]
Web: www.shinkongwedbush.com
Published on this site October 2010
z Sherman Brothers
Unit 1911, 19th Floor
One Pacific Place
140 Sukhumvit Road
Klongtoey District
Bangkok 10110
THAILAND
Published on this site September 2001
z Schiller Gates Incorporated
1695 Broadway
New York, NY 10018 - 5009
UNITED STATES OF AMERICA
Tel: +1 646 912 6185
Fax: + 1 646 861 4847
Email: [email address]
Website: www.schiller-gates.com
Associated individuals: Andrew Steve Johnson John Marshall
Published on this site October 2010
z Sigama Capital Management
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
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Information for Investors: Telephone Share Scams | Securities Commission
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z Sigama Capital Management
Level 18
Level 14/1401
One International Finance
One Pacific Place
Centre
140 Sukhumvit Road
1 Harbour View Street
Bangkok
Central
THAILAND
HONG KONG
Associated individuals: David Burgess and Anne Davies
Published on this site August 2000
z Silverstone Management S.L.
Avda, Diagonal 618
Planta 9
0821
Barcelona
SPAIN
Associated individual: Matthew Thompson
Published on this site July 2005
z Simmons, Blake & Fritch
27 Floor Jefferson Towers
9823 Hover Street
Maverick Avenue
St Paul, Minnesota
UNITED STATES OF AMERICA
Associated individuals: Jennifer Stone, Kate Jones, Timothy
Croft
Published on this site September 2001
z Simon Eastwood Asset Management
15/5 Cerulean Tower
26-1 Sakuragaoka-cho
Shibuya-ku, Tokyo 150 8512
US Office
3330 Cumberland Blvd.,
Atlanta, GA 30339
China Office
989 Changle Road
Shanghai 200031
Published on this site October 2005
z Simpson Venture Limited
ABC Centre, 500 North Michigan Ave.
300, Chicago
UNITED STATES OF AMERICA
Associated individual: Jason Edwards
Published on this site July 2005
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z Sino Intermediaries
Level 37
Taipei 101 Tower
7 Xinyi Road
Section 5
110 Taipei
TAIWAN
Published on this site May 2006
z Smith & Henderson Associates Inc
Level 21, HSBC Tower
Serrano 240 5th Floor
101 Yin Cheng East Road
28016 Madrid
Pudong
SPAIN
Shanghai
CHINA
Published on this site
November 2001
z Smith Davidson Group Inc
4-2880 queen St. East
Suite 304
Brampton
ON L6S 6H4
CANADA
Published on this site February 2006
z Smith Klein Venture Limited
3705 Bank of America Tower
Suite 582
12 Harcourt Road
HONG KONG
Associated individual: Castor Hill
Published on this site June 2005
z South East Asia Trading
12th Floor
253 Soi Sukhumvit
21 Asoke Road
Bangkok 10110
THAILAND
Associated individuals: Jamie Nettleship, Andrew Hewit,
Michelle Tetreaut.
Published on this site August 2001
z Spartan Capital Management
412 Park Avenue, 18th Floor
New York, NY 10022
USA
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Phone: +1 646 861 7887
Fax: +1 646 224 4890
Email: [email address]
Website: www.spartancam.com
z Stamford - Financial
Level 14, Hibiyo Central Building
1-2-9 Nishi Shimbashi
Minoto-ku
Tokyo
JAPAN
Published on this site November 2002
z Standard United Corporation
8 Harbour Road
Wanchai
HONG KONG
Phone: +852 9575 4213
Fax: +852 3015 9768
E:mail [email address]
website: www.standardunited.com
Associated individuals: Isabel Green, Ray Chavez
Published on this site August 2008
z Sterling Capital Corp.
23rd Floor, 6750 Ayala Ave
Makati City, Metro Manila
1226 THE PHILIPPINES
Associated individuals: Steven Thompson, John Davis,
Michael Cayhill, Jane Alexander
Published on this site November 2001
z Sun International Mergers & Acquisitions
1661 International Drive
Memphis
TN 38120-1431
UNITED STATES OF AMERICA
Published on this site February 2006
z Taylor Atlantic Ltd
Level 4
Tower 2
Petronas Twin Towers
Kuala Lumpur 50088
MALAYSIA
Associated individual: John Sinclair
Published on this site June 2001
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Information for Investors: Telephone Share Scams | Securities Commission
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z Tech-Link International Ltd
Shinjuku Park Tower N30
Nishishinjuku 3-7-1
Shinjuju-ku
Tokyo
JAPAN 163-030
Associated individual: Frank Vacarro
Published on this site April 2004
z Thomas Reiss & Partners
Dahnstr. 4, T7 OC, D-13403
Berlin
GERMANY
Published on this site February 2006
z Titan Capital Corporation
Published on this site April 2008
z Tradex Corporation
Unit 811-813 Tower 1
Junefield Plaza No.6 Xuanwumenwai Street
Xuanwu District
Beijing
CHINA
Published on this site February 2007
z Transglobal Consultants Limited
Pacific Place Two Building Suite 1707
17th Floor, 142 Sukhumvit Road, Klongtoey
Bangkok 10110
THAILAND
Associated individuals: Paul Jenson, Josh Kaytor, Daniel
Bailey, Robert Ellis and Jeremy Blake.
Published on this site August 2000
z Trans-National Securities and Trust SA
Birmensdorferstrasse 140,
CH-8003
Zurich
SWITZERLAND
Associated individual: John Montana
Published on this site December 2000
z Trident International
Suite 2207
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Information for Investors: Telephone Share Scams | Securities Commission
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88 Corporate Centre
141 Valero Street
Salcedo Village
Makati
Manila
PHILIPPINES
Associated individual : Richard Bell
Published on this site October 2000
z Turner Goodman Group
1650 Madison Avenue, 7th Floor
New York 11002-311
UNITED STATES OF AMERICA
Associated individual: Jeremy Collins
Published on this site 17 August 2004
z Tzu, Waite & Associates
105 Cecil Street
9 Raffles Place
06-01 The Octagon
27-01 Republic Place
SINGAPORE 069534
SINGAPORE 048619
Associated individuals: Jonathan Charles Waite, Jenny Su
Published on this site September 2003
z Union Transfer Inc.
469 7th Avenue
New York, NY 10018
UNITED STATES OF AMERICA
Phone: 1 212 401 6220
Fax: 1 206 600 6553
Email: [email address]
Website: www.uniontransferinc.com
Associated individual: Thomas Dickson
Published on this site August 2009
z United Capital Management Inc
1680 Ramon Magsaysay Centre
Roxas Boulevard
Manila
PHILIPPINES
Associated individual : Richard Austin
Published on this site October 2009
z United Capital Partners
21F Marajo Tower,
312, 26th Street, Corner 4th Avenue
Fort Bonifacio Global City
Manila
PHILIPPINES
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Information for Investors: Telephone Share Scams | Securities Commission
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Phone: 632 856 1543 ext 570
Fax: 632 856 7220
Email: [email address]
Web: www.unitedcapital-partners.com
Associated individual: Richard G Burden email:
[email address]
Published on this site October 2010
z US Department of the Treasury
1500 Pennsylvania Avenue, NW
Washington DC, 20220
UNITED STATES OF AMERICA
Email: [email address]
Telephone: +1 646 395 1749
Fax: +1 646 786 4658
Associated person: Monique Wilson
Published on this site March 2011
Note: Not to be confused with the genuine US Department of
the Treasury. The e-mail address, [email address],
and phone and fax numbers shown are fraudulent and have
been established to deceive investors.
z US Stock Transfers Bureau
101 Federal Street
Boston, MA
UNITED STATES OF AMERICA
Email: [email address], [email address]
Telephone: +1 617 517 0339
Fax: +1 617 249 1763
Associated person: Alan Schindler
Published on this site February 2001
z Universal Consolidated
55 Wall Street
New York, NY 10005
UNITED STATES OF AMERICA
Phone: +1 212 401 6180
Fax: +1 212 401 6181
Email: [email address]
Website: www.universalcsld.com
Associated individuals: Nicole Valdez, Cain Martin, Chris
March, Olivia Rios, William Waldon
Published on this site June 2010
z US - Internal Revenue Service
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