Overseas Firms that have called New Zealanders A E.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 Abacus International Capital Corp
The Abacus International Capital Corp listed has stolen the
identity of a legitimate firm in the United States. The
legitimate Abacus International Corp can be contacted by
phone at (212) 285 4770 or by fax (212) 285 4136 or
(212) 274 0107.
Published on this site July 2007
z Abbey House Acquisitions
Tower 42
25 Old Broad St
London
EC2N 1HQ
UNITED KINGDOM
Published on this site March 2006
z AB Financial Group
440 South Laselle Street
Suite 3300
Chicago, IL 60605
UNITED STATES OF AMERICA
Phone: +1 312 283 0869
Fax: +1 866 277 9351
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E-mail: [email address],
[email address]
Websites: www.abfinancialservicesgroup.com
z Alderman Associates Ltd
Arca Central Building
14F 1-2-1 Kinshi Sumida-ku, 1300031
Tokyo
JAPAN
Phone: +81 3 4520 9536
Fax: +81 3 6385 7599
E-mail: [email address]
Website: www.aldermanassocitesltd.com
Associated individuals: John Davis, Elizabeth Dole, Jamie
Glanfield, Terry Staley, Steven Ong
Published on this site January 2010
z Alpha REIT Advisors Co., Ltd
1-9-20, Akasaka
Minato-ku
Tokyo, 107-0052
Japan
Phone: + 8150 5539 8517
Fax: + 813 5501 9694
Website: www.alphareitadvisors.com
Email: [email address]
Published on this site March 2010
z Anderson Tate
4107 Emerald Street
Boise
Idaho 83706
UNITED STATES OF AMERICA
Published on this site January 2004
z Anova Corporate Services
222 Yanan Road East
Shanghai
CHINA 200002
Associated individual: Stuart Lucas
Published on this site July 2004
z Apple Investment Company Pty Ltd.
Level 13, 50 Cavill Avenue
Surfers Paradise
Gold Coast, QLD 4217
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AUSTRALIA
Phone: +617 55 534 139
Fax: +617 55 383 390
Email: [email address]
www.appleinvestmentcompany.com.au
Published on this site October 2010
z Apple Investment Company Ltd.
Level 11, 48 Wall Street
New York
NY, 10005
UNITED STATES OF AMERICA
Phone: +212 918 4952
Fax: +212 918 4801
Email: [email address]
www.appleinvestmentcompany.com
Published on this site October 2010
z Arawack Portfolio Management Inc
Sunlife Plaza, 144 - 4th Avenue SW
Ste. 3600
West Tower
Calgary, AB T2P 3N4
CANADA
Published on this site October 2005
z Argus Capital Investment Corporation
Postbus 59366
1040 KJ Amsterdam
THE NETHERLANDS
Associated individual: Ted Davies
Published on this site August 2001
z Asia Pacific Advisors Ltd
24 Fl Pu Fa Tower
588 Pudong South Road
Pudong
Shanghai 2001200
CHINA
Phone: +86 21 3126 9109
Fax: +86 21 5107 9311
E-mail: [email address]
Website: www.asiapacificadvisors.com
Associated individuals: Richard Kingman, Samuel Wong
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Information for Investors: Telephone Share Scams | Securities Commission
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Published on this site August 2001
z Associated Financial Services
118 Broadway
Fargo
ND 58102
40 Exchange Place, New York, NY 10005
Not to be confused with the genuine: Associated Financial
Services, Inc, 118 Broadway, Suite 504 (BLACK BLDG) PO
Box 2163, FARGO ND 58102 USA Tel: +1-701-293-9434
Published on this site June 2008
z Atlantic International Partners
01-03 Ocean Building
10 Collyer Quay
SINGAPORE 49315
Published on this site May 2005
z Atlantis Mergers & Acquisition Group, Inc.
J P Morgan International Plaza
Suite 1500
14221 Dallas Parkaway
Dallas
Texas 75254
UNITED STATES OF AMERICA
Published on this site December 2005
z Baros Corporation
2857 NW 78 Avenue
Miami
Florida
UNITED STATES OF AMERICA
Published on this site November 2004
z Baxter Financial Group Inc
1040 Avenue of the Americas
24th Floor
New York
NY 10018
UNITED STATES OF AMERICA
Published on this site April 2004
z Baycorp International Mergers & Acquisitions
9 Bei San Huan Dong Lu
Chao Yang District
Beijing 100029
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CHINA
Published on this site August 2007
z Beacon Capital Management
70 Kimberly Road
HONG KONG
(Beacon Capital Management, Hong Kong should not be
confused with Beacon Capital Markets, LLC, UNITED STATES
OF AMERICA or Beacon Capital Management Advisors,
UNITED STATES OF AMERICA)
Published on this site October 2005
z Beijing International Research Mergers and
Acquisitions
3/F Building B
E-Wing Center
113 Zhichun Rd
Haidan District
Beijing 100086
CHINA
Published on this site June 2006
z Bell International Asset Management
12020 Shamrock Plaza
Omaha, Nebraska 68154-3537
UNITED STATES OF AMERICA
Published on this site May 2005
z Benson Dupont Capital Management Inc
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
Published on this site August 2001
z Benson Dupont
Level 23, CP Tower
313 Silom Road
Bangkok 10500
THAILAND
Associated individuals: Steve Wilson and Keith Nochman
Published on this site August 2000
z Bentley Moore & Daines Sterling Strategies Group
Limited
18 Avenue Louis-Casai
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Geneva 28
1211
SWITZERLAND
Published on this site November 2003
z Berchmans Lee Company Inc
1410 Herrera Tower
Herrera Street
Salcedo Village
Makati
Manila
PHILIPPINES
Associated individual: Chris Carter
Published on this site September 2000
z Berger Aron Macey
Suite 2700, 1240 Peachtree Street NE
Atlanta, GA 30309
UNITED STATES OF AMERICA
Published on this site June 2007
z Berkely Financial
Associated individual: Harry Dean
Published on this site November 2009
z Bernard Kaplan
The Mercantile Exchange
30 South Wacker Drive, 22nd floor
Chicago, Illinois 60606
UNITED STATES OF AMERICA
Published on this site June 2007
z Bernstein & Zeiglier
10 Anson Road
# 18-18 International Plaza
SINGAPORE 079903
Associated individual: Henry Thornton
Published on this site September 2002
z Bion, McConnan & Associates LLB
141 757 West Hastings St
Suite 800
Vancouver B.C.
CANADA
Published on this site September 2002
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z BioMaxx Systems Inc.
Suite 1801
1 Yonge Street
Toronto
Ontario M5E 1WS
CANADA
Associated person: Ralph Bayer
Published on this site December 2007
z Boston Global Finance Inc.
Paragon Towers
233 Needham Street, suite 300
Newton MA 02464
UNITED STATES OF AMERICA
Associated individual: Jessica Tyler
Published on this site July 2004
z Bradford Kempner Investments Limited
Unit 1512, 15th Floor
Q-House Asoke Building
66 Sukhumvit 21 Road
Klongtoey Nua
Wattana
Bangkok 10110
THAILAND
Published on this site September 2001
z Bradley, Chen & Associates
HONG KONG
Associated individual: David Lake
Published on this site July 2004
z Bremer Finance Ltd
Howard Hughes Center
6601 Center Drive, Suite 500
Los Angeles, CA 90045
USA
Published on this site August 2007
z Brooks Pearson Investment Limited
Wisma Danamon Aetna Life
19th Floor, Jalan Jondral Sudirtnan
Kauling 45-46
Jakarta 12930
INDONESIA
Published on this site July 2001
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Information for Investors: Telephone Share Scams | Securities Commission
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z Brown & Company Trading Inc
JAPAN
Published on this site April 2007
z Brown & Burke Securities
339, La Salle St
Chicago, IL 60605
UNITED STATES OF AMERICA
Published on this site May 2005
z Can Am Acquisitions Inc
ABC Center
500 North Michigan Ave
Suite 300
Chicago Illinois 60611
UNITED STATES OF AMERICA
Published on this site March 2005
z Capital Assets Limited
Taipei Metro Building
Suite D, 11/F
No. 207 Tun Hwa South Road, Sec.2
Taipei
TAIWAN
Associated individual: Robert Mason
Published on this site March 2001
z Capital Growth Equities S.L.
Apartado de Correos 1057
29600, Malaga
SPAIN
Published on this site December 2003
z Capital Management Group
340 South Main Street
New City
NY 10956
UNITED STATES OF AMERICA
Associated individual: Thomas White
Published on this site November 2004
z Capital Transfer Consolidated
410 Park Avenue
New York, NY 10022
UNITED STATES OF AMERICA
Phone: + 1 212 359 1625
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Fax: + 1 212 918 3467
website: www.capitalconsolidated.com
e-mail: [email address]
Associated individual: John Lewis
Published on this site March 2009
z Capitol Transfer
1121 West Park Ave
Suite 100
Los Angeles
California 90021
UNITED STATES OF AMERICA
Phone: +1 206 338 2159
Fax: +1 323 421 9366
website: www.capitoltransfer.com
e-mail: [email address]
Associated individuals: Frank Roth, William Johnson
Published on this site March 2009
z Castlepeak and Sons, Ltd
Blue Ash 11427 Reed Hartman Highway
Cincinnati, OH 45241
UNITED STATES OF AMERICA
Published on this site November 2005
z C & C Global Co., Limited
17th Floor UBC II Building
Soi Sukhumvit 33
Bangkok
THAILAND
Published on this site September 2001
z Central Capital Inc
387 Ivy Street
New Bright Building
San Francisco
11 Sheung Yuet Road
California
HONGKONG
UNITED STATES OF
AMERICA
Published on this site November 2002
z Century Capital Switzerland Limited
5 St John's Lane
Administrative
Public relations
UK - ECIM4BH
Office
15 East 57th Street
Phone: +44 20
Vanderpool Plaza
New York, NY
7549 1668
Wickhams City 1
10022
Fax: +44 20 7549 PO Box 873
UNITED STATES OF
1669
Road Town
AMERICA
BVI
Phone: +1 646 452
4767
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Information for Investors: Telephone Share Scams | Securities Commission
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Fax: +1 646 356
6938
E-mail: [email address]
website: www.centurycapitalltd.com
Associated individuals: James Hayden, Garry Alexander,
Michael Dundas
Published on this site November 2006 (updated September
2008)
z Century Group M & A
12604 Pacific Street
Omaha - NE -68154
UNITED STATES OF AMERICA
Associated individual: Eric Cairns
Published on this site July 2004
z Chabert Asset Management
Superior East Avenue
Suite 1300 Cleveland
Ohio 44114
UNITED STATES OF AMERICA
Published on this site November 2005
z Chase Capital Inc.
405 Lexington Avenue
Chrysler Building
New York City
NY 10174
UNITED STATES OF AMERICA
Published on this site February 2007
z Cheoy Lee Asset Management Asia
Hong Kong Office: Belgium Office:
U.S. Office:
Level 25, 1 Garden 106 Avenue Louise 225 Bush Street
Road - China Tower Brussels 1050
San Francisco CA
HONG KONG
BELGIUM
94104
UNITED STATES OF
AMERICA
Published on this site October 2005
z Chicago Accounting
235 W Cermak Road
Chicago IL 60616
UNITED STATES OF AMERICA
Published on this site October 2005
z Chicago Board of Acquisition Inc
5801 South Ellis Ave
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Chicago
Illinois, 60637
UNITED STATES OF AMERICA
Published on this site January 2004
z Citiexchange Group
Level 12 Hibiya Central Building
1-2-9 Nishi Shimbashi Minato-Ku
Tokyo, Japan
Associated individual: Angela Roberts
Published on this site June 2005
z CitiFund Asset Management, Inc.
399 Park Avenue
8th Floor New York
New York
UNITED STATES OF AMERICA
This firm is not associated with any legitimate businesses
conducted by Citigroup or Citibank, some of which have
offices at 399 Park Avenue in New York.
Published on this site October 2007
z Clanvale Securities S.A.
Edificio Torre
Edificio Paladium
America
Oficina 5F
Floor 3 Office 307
4 Avenida 15-70 Zona 10
Avenida Venezeula Guatemala City
Bello Monte
GUATEMALA C.A. 01010
Caracas
VENEZUELA
Associated individuals: Lance Ramsey, John Sparks, Charles
Blundell
Published on this site November 2001 & March 2003
z Clarkson Gordon Limited
Daliana Court
5 Chytron Street
2nd Floor, Office 21
1075 Nicosia
CYPRUS
Associated individuals: Bernard Owens, George Scott
Published on this site September 2003
z Classic Consultants
5419 Hollywood Boulevard
Suite C-206
Los Angeles
CA 90027
UNITED STATES OF AMERICA
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Information for Investors: Telephone Share Scams | Securities Commission
Page 12 of 19
Associated individuals: Jack Quinn and Mark Johnson
Published on this site July 2005
z Classic Gaming
415 North Camden Drive
Beverly Hills
CA 90210
UNITED STATES OF AMERICA
Associated individual: Andrew Kennedy
Published on this site July 2005
z Clover Mergers & Acquisitions
United States Office
South 700 East, South Salt Lake
Salt Lake City
UT 84107
UNITED STATES OF AMERICA
Published on this site November 2006
z Cohen Nesbit Group Limited
Level 19 Hong Leong Building
16 Raffles Quay
SINGAPORE
Published on this site September 2001
z Colony Capital & Associates
20th Floor Marunouchi Building
2-4-1 Marunouchi
Chiyoda-ku
Tokyo 100-6332
JAPAN
Phone: +813 6688 7243
Fax: +813 4496 4202
E-mail: [email address]
website: colonycapitalassoc.net
Associated individuals: Tom Clairmont (VIP Acquisitions
Dept.), Kim Glodenberg (Authorised signatory)
Published on this site November 2007
z Compass-Asset Management
SWITZERLAND
The Compass Asset Management listed here has stolen the
identity of a legitimate firm in Switzerland. The legitimate
Compass Asset Management can be contacted by phone +41
91 9603983 or by fax on +41 91 960 3979.
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Page 13 of 19
Published on this site April 2006
z Comtrade Group Pty Ltd
48 Cavill Avenue
Surfers paradise
Queensland, 4217
AUSTRALIA
Phone: +61 300 216 143
Fax: + 61 300 216 537
E-mail: [email address]
website: www.comtrade-group.com
Associated individuals: Tony Davis, Matt Shannon
Published on this site January 2011
z Consolidated Transfer Inc.
33 Hysan Avenue
HONG KONG
Published on this site May 2007
z Concorde Pacific Management Inc.
Madrona Plaza Building
1305, 34th Avenue
Seattle, WA 98122
UNITED STATES OF AMERICA
Published on this site April 2007
z Cooper Kline NYC
180 Malden Lane
New York
UNITED STATES OF AMERICA
Associated individuals:
Drew Richards E-mail: [email address]
Jonathan Smith E-mail: [email address]
Published on this site August 2008
z Continental Allied Incorporated
30 Queen's Road
HONG KONG
Published on this site April 2005
z Corporate Mergers and Acquisitions Group
535 Madison Avenue
Suite 300
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New York, NY10022
UNITED STATES OF AMERICA
Phone: +1 646 810 8666
Fax: +1 347 223 5234
E-mail: [email address]
Published on this site October 2010
z Crawford Peale
Unit 1609
16th Floor, Vaint 1 Building
1126/1 New Petchburi Road
Bangkok 10400
THAILAND
Published on this site September 2001
z Crest Asset Management
21 Science Park
#06-07 The Aquarius
Singapore, 117628
Published on this site July 2008
z Crest International Investment Inc
First West Building
200 First Avenue West Suite 400
Seattle
Washington 98119
UNITED STATES OF AMERICA
Published on this site February 2005
z Crown Capital Corporation
6 Sheraton St
Soho
LONDON
UK W1F 8BH
Published on this site June 2006
z Davis Goldberg Group
782 NW 42nd Avenue
Miami
FL 33135
UNITED STATES OF AMERICA
Associated individual: Mark Hughes
Published on this site May 2004
z Dawson Turner
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Information for Investors: Telephone Share Scams | Securities Commission
Page 15 of 19
Two Penn Centre Plaza
Philadelphia, PA 19102-1706
UNITED STATES OF AMERICA
Published on this site February 2004
z De Verre Lloyd & Co
15th Floor, Cerulean Tower
26-1 Sakuragaoka-cho
Shibuya-ku
Tokyo 150-8512
JAPAN
Associated individual: Ian Walsh
Published on this site July 2004
z Deacons Lasalle
London
UNITED KINGDOM
Published on this site March 2007
z Dearborn International
719 Griswold Street
Detroit
Michigan 48226
UNITED STATES OF AMERICA
Associated individual: Gerry Markham
Published on this site November 2004
z Dempster Hampton Duke
26th floor
The Chrysler Building
405 Lexington Avenue
New York City
NY10174
UNITED STATES OF AMERICA
Published on this site October 2005
z Diligent Solutions
19 Hennessey Road
Wanchai
HONG KONG
Published on this site June 2006
z Diversified Global Capital Group
2121 E. Pacific Coast Highway
Corona Del Mar, California
UNITED STATES OF AMERICA
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Diversified Global Capital Group is fraudulently using the
name and address of Diversified Global Capital Group, Inc.
which is a legitimate corporation in United States of America.
Published on this site April 2007
z Diversified Investments Group
Diversified Investments Group is fraudulently using the name
of Diversified Investments Group Inc. which was a legitimate
firm in United States of America. The legitimate Diversified
Investments Group Inc. terminated registration on 2 October
2006.
Published on this site October 2007
z DKM Global Management Inc
1 Lan Kwai Fong
HONG KONG
Published on this site November 2003
z Douglas Baker & Co.
800-615 West Broadway Ave.
Vancouver, BC
CANADA
Associated individual: Richard Mason
Published on this site January 2004
z Dragon Pacific Company Limited
17th Floor, One Pacific Place
140 Sukhumvit Road
Bangkok
THAILAND
Associated individual: Douglas King
Published on this site August 2000
z Drake Asset Management
1991 Crocker Road
Cleveland, OH 44145
UNITED STATES OF AMERICA
Published on this site May 2005
z Dreyfus Securities Limited
14/F Kamiya-cho Mori Building
4-3-20 Toranomon, Minato-ku
Tokyo 105-0001,
JAPAN
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Amnuaydech Suite 048
22 Central Chidlom Tower
Polenchit Road, Lumpini
Pathumwan, Bangkok 10330
THAILAND
29/F One Canada Square
Canary Wharf, London
UNITED KINGDOM, E14 5DY
Associated individual: Steven Dixon
Published on this site July 2001
z Dukes and Company Securities Corporation
Unit 1009
Constitution Drive
PSBank Tower
PO Box 332
Senator Gil J
Belmopan
Puyat Avenue
BELIZE
Makati City 1220
PHILIPPINES
Associated individuals: Michael Martin, Ben Smit
Published on this site September 2000
z Dune Dawson Inc.
The Lincoln Building
305 Madison Ave, Suite 439
New York
UNITED STATES OF AMERICA
Associated Individual: Chad Robinson
Published on this site June 2005
z Elders Cohen
Hills Plaza 1
345 Spear Street, Suite 138
San Francisco
California
CA94105
UNITED STATES OF AMERICA
Associated individuals: Steve Thomas, Michael Sands
Published on this site September 2003
z Eli Solomon
580 Madison Avenue
New York City
New York 10022
UNITED STATES OF AMERICA
Associated individual: Andrew Forster
Published on this site November 2007
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Information for Investors: Telephone Share Scams | Securities Commission
Page 18 of 19
z Eno Capital Ltd
Level 9 AIG Building
1-1-3 Marunouchi
Chiyoda-ku
Tokyo 100-0005
JAPAN
Published on this site October 2005
z EquiAsia Group Limited
Level 28, Shinagawa Intercity Building, Tower A
2-15-1 Konan, Minato-Ku
Tokyo 108-6028
JAPAN
Phone: +813 6717 4321
Fax: +813 6717 4341
E-mail: [email address],
[email address],
[email address]
Website: www.equiasiagroup.net
Associated individuals: Stephen Bench, K Sharpe, W Harris,
Charles Anthony
Published on this site June 2008 (Updated November 2009)
z Equinox Equities
19 Des Voeux Road
HONG KONG
Published on this site September 2005
z Equiserve Trust Capital Market
423 Walpole Ter Canton
MA 02021
UNITED STATES OF AMERICA
Published on this site December 2005
z European Private Equity Group
Grosse Bockenheimer 13
Suite 2160
60313 Frankfurt
Am Main
GERMANY
Published on this site September 2005
z Evans and Stern Corporation
website: www.evansandstern.com
E-mail: [email address]
Associated Individual: Kevin Lomax
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