This is an HTML version of an attachment to the Official Information request 'Minister of Finance'.








Information for Investors: Telephone Share Scams | Securities Commission
Page 1 of 15
Search
Advanced Search
About
Publications
Overseas firms that have called New 
Zealanders 
Exemptions
Notices
Since August 2000 we have published the names of firms who have 
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.
International
Speeches
They have not provided evidence that they are registered in their 
home jurisdiction to undertake this type of securities business.
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 
Financial 
unsolicited call.
adviser 
regulation

For information on questions to ask before making any investment 
Contact us
decision see Test before you invest.
Site map
A - E  |  F - J  |  K - O  |  P - U  |  V - Z
Home
Factor Ten Financial
30th Floor, Central Plaza
18 Harbour Road
HONG KONG 
Published on this site February 2006 
Fairchild Roth Financial Inc
Gallery 4
12 Leadenhall Street
London EC3V 1LP
UNITED KINGDOM 
Published on this site November 2003 
Famex Financial
9/F Henan Building
17-19 Luard Road
Wanchai, CBD District
HONG KONG
Phone +852 3180 7888
Fax +852 3180 7899
Email [email address]
Website www.famexfinancial.com
Associated individual John White
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 2 of 15
This firm must not be confused with Famex Financial who 
have the same address and website but different phone and 
fax details. The legitimate Famex Financial can be contacted 
by phone +852 3180 7844 or by fax on +852 3180 7874.
Published on this site February 2010 
Federal Equities Corporation
51 Madison Avenue 
New York, NY 1001
UNITED STATES OF AMERICA
Phone: +1 646 360 1718 
Email: [email address] 
Website: www.federalequitiescorp.com 
Associated individuals: James Fries, John Ognar 
Published on this site June 2010 
Financial Assets Corporation
30 Wall Street
Suite 1203
New York, NY 10005
UNITED STATES OF AMERICA 
Published on this site October 2005 
First Capital Securities Limited
P O Box 847
1 Capital Place
Georgetown
Grand Cayman
CAYMAN ISLANDS
Published on this site January 2004 
First Colonial Management
17 Ensign House, Admirals Way
London E14 9XQ
Associate individual: Kent Daniels
Published on this site June 2005
First Financial Management
255 W 36th Street 
New York, NY 10018-7798 
USA 
Phone: +1 646 351 1282 
Fax: +1 646 961 4811 
Email: [email address] 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 3 of 15
Website: www.firstfinancialmgmt.com 
Associated individuals: Rob Jacob, John Lewis, Kris Reynolds, 
Ashley Waters 
Published on this site September 2010 
First Independent Capital Resources, Inc
Shiroyuma JT Movi Building
8-1 Toranoman 4 Chome
Minato-Ku, Tokyo 105
JAPAN 
Published on this site September 2002 
First Independent Resource Management Group Inc
4, V.S. Prospero
Milano
ITALY 
Published on this site September 2001 
First International Equity & Acquisition Inc
654 Madison Avenue
New York
NY 10021
UNITED STATES OF AMERICA
Published on this site April 2004 
First International Equity Inc.
UNITED STATES OF AMERICA
Associated individual: James C. King 
Published on this site March 2003 
First National Financial Group Inc
Empire State 
46th Floor
Building 
140 Broadway
350 6th Avenue 
New York
Suite 3304
NY 10005
New York
NY 10118 
UNITED STATES OF 
AMERICA 
Published on this site November 2003 
First National Reliance Incorporated
300 5th Avenue 
New York, NY 10001 
UNITED STATES OF AMERICA 
Tel: +1 212 542 9166 
Email: [email address] 
Website: www.firstnationalreliance.com 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 4 of 15
Associated individuals: John Marshall Robert M. Pellecchia 
James Henry Johnson Doug Kramer 
Published on this site: October 2010 
Financial Marketing
35/F Central Plaza 
18 Harbour Road 
Wanchai 
HONG KONG 
Phone: +852 3051 9888/ 852 3973 3983 
Fax: +852 3006 4252 
Email: [email address] 
Web: www.fusionfinancialmarketing.com 
First Standard Consolidated
326 Regent Street 
London, UK W1B 3HH
Phone: +4419 2421 7168 / +4484 5130 8710 
Fax: +4418 9280 0012 / +4419 2420 0581 
Website: www.firststandardcsld.com 
Email: [email address] 
Associated individuals: Ted Simms 
Published on this site March 2010 
Fisher Sterling International Limited
302 Hung Kei Mansion
5-8 Queen Victoria Street Central
HONG KONG 
Associated individual: Dave Adams 
Published on this site September 2001 
Flagship Consolidated
663 King's Road 
HONG KONG 
Phone: +852 3693 1523 
Fax: +852 3015 8912 
E-mail: [email address] 
website: www.flagshipcsld.com 
Associated individual: Jack Perez 
Published on this site February 2009 
Fleetwood Mergers and Acquisitions
2500 City West Blvd 
Houston 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 5 of 15
TX 77042-3000 
UNITED STATES OF AMERICA 
Published on this site October 2006 
Foreign Currency International
27 Sukhumvit Soi 20 
Bangkok, 10110 
THAILAND 
Associated individual: Stephen Sharpe 
Published on this site December 2000 
Foreign Trade International
12th Floor
253 Sukhumvit Soi
21 Asoke Road
Bangkok 10110
THAILAND 
Associated individuals: Ian Morris, Christian Webb, Michael 
Lumby, Alex Pagan, Dennis Askew. 
Published on this site August 2001 
FourWinds Trading Systems
Drake Chambers, Road Town
Tortola
PO Box 3321
BRITISH VIRGIN ISLANDS 
Associated individual: Scott Mullens 
Published on this site July 2004 
Fund Investors Inc.
Fund Investors Inc. 
10 King Street 
White Plains 
NY 10604 
USA 
Tel: + 1 914 214 5303 
Fax: + 1 914 462 3783 
Email: [email address] 
Website: www.fundinvestorsincllc.com 
Associated individual: Allan Gates. 
Note: not to be confused with the genuine firm 
Published on this site March 2011 
Fusion Financial Marketing
35/F Central Plaza 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 6 of 15
18 Harbour Road 
Wanchai 
HONG KONG 
Phone: +852 3051 9888/ 852 3973 3983 
Fax: +852 3006 4252 
Email: [email address] 
Web: www.fusionfinancialmarketing.com 
FX Advisors East, LLC
200 Public Square Suite 2955
Cleveland
Ohio
UNITED STATES OF AMERICA 
Published on this site August 2001 
Gaylord & Finch
400 Broadway
Seattle
Washington
UNITED STATES OF AMERICA 
Associated individual: Peter Williams 
Published on this site September 2002 
Gilt Edged Equities
Fax: +1 212 8133254 
Associated individual: Jeffrey Muller
Not to be confused with the genuine firm and individual, Gilt-
Edged Equities, LLC which has no retail customers. 
Also associated with Gilt Edged Equities are: 
Global Transfer Corporation 
First Standard Consolidated 
Hobdell and Williamson 
Alpha REIT Advisors Co. Ltd 
Published on this site March 2010 
Glendale Settlements Incorporated
Motion Picture Association Building
888 16th Street NW
Suite 800
Washington DC 20006
UNITED STATES OF AMERICA
Associated individual: James Shea
Published on this site July 2005 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 7 of 15
Global Asset Advisors S.A.
(purportedly operating from Spain) 
Associated individual: Marc Dannenberg 
Published on this site April 2003 
Global Capital Securities Corporation
538 Broad Hollow Road
Suite 315E
Melville
New York
UNITED STATES OF AMERICA 
Associated individuals: Christopher Ferruzza, James 
Sparacino 
Published on this site April 2001 
Global Option Trading Co Limited
14th Floor
253 Sukhumvit Soy 21, Asoke Rd
Bangkok 10110
THAILAND 
Associated individuals: Jamie Nettleship, Callum Hunt 
Published on this site October 2001 
Global Select Portfolio Corp.
Carson City, Nevada
UNITED STATES OF AMERICA
Phone: 702 430 1791,
in London - Amsterdam
Phone: +44 2081 441097
Fax:+44 208 0825839
E-mail: [email address]
website: www.globalspcorp.com 
Associated individual: David Benson 
Published on this site November 2008 
Global Transfer Corporation
66 Mody Road, Tsim Sha Tsui East 
Kowloon, Hong Kong 
Phone: +852 9046 2063 
Fax: +852 3051 8205/8 
Website: www.globaltransfercorp.com 
Email: [email address] 
Published on this site March 2010 
Grand Capital Incorporated
250 West 57th Street,
New York,
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 8 of 15
New York 10107*
UNITED STATES OF AMERICA 
Associated individual: Kelly Campbell
Grand Capital Incorporated is a fraudulent firm using the 
address of Grand Capital Corporation which is a legitimate 
corporation in United States of America.
Published on this site August 2006 
Granite Consolidated
22 Queen's Road 
Central 
Hong Kong 
Published on this site November 2007 
Graves Stanley & Peabody Limited
(latest activities are thought to be based in Spain) 
Associated individual: Richard Gaston 
Greenfield & Mato
Koraku Mori Bldg 9F
1-4-14 Koraku
Bunkyo-Ku
TOKYO 
Published on this site January 2007 
Greater Advisory
Website: www.greateradvisory.com 
E-mail: [email address] 
Associated individuals: David Proctor, John Castro 
Published on this site February 2010 
Gresham Management Inc
207 South 79th Street
Suite 1006
New York
NY 10024
UNITED STATES OF AMERICA 
Associated individuals: Edward Saunders, Martin Nelson, 
Cynthia Landsburg, Charles Hampton 
Published on this site September 2001 
Greystone Asset Management
120 Broadway, Suite 1744 
New York, NY 10271 
USA 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 9 of 15
Fax: 1 212 208 2496 
Email: [email address] 
Website: www.greystoneassetmanagement.com 
Associated individuals: Roger O. Elmer, Daniel J Hayes 
Not to be confused with the genuine firm which has no 
website: 
Greystone Asset Management, LLC 
780 Third Avenue, 43rd Floor 
New York, NY 10017 
USA 
Telephone: 1 212-521-3817 
Published on this site August 2009 
Griffin Mergers and Acquisitions Office
8th Street and Nicollet Mall, Downtown
Minneapolis, MN 55402-8773
UNITED STATES OF AMERICA
Published on this site May 2007 
Guaranty Consolidated
New York
UNITED STATES OF AMERICA
Published on this site July 2007 
Hamilton & Associates
Bahnhofstrasse
52 CH8001
Zurich
SWITZERLAND 
Associated individuals: Alexander Woodbridge, David A 
Smith, Michael Kennedy 
Published on this site October 2002 
Hamilton Trading Limited
OBF Centre
Aratha Graha Bldg 6th Floor
JI Jend Sudiram Kav
52-53 Jakarta 12190
INDONESIA
Phone: +62 2152898454
Fax: +62 2152898456
E-mail: [email address]
Website: www.hamilton-trading.com 
Assocaited individuals: Brian Johnstone, Richmond Capital 
Management
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 10 of 15
Published on this site November 2008 
Hanworth Weir Ltd
Penthouse Level, Suntec Tower Three
8 Temasek Boulevard
SINGAPORE 
Published on this site 04 June 2004 
Harbour Capital Management
600 California St,
15 Floor
San Francisco
CA 94108
UNITED STATES OF AMERICA 
Published on this site August 2006 
Harbor Light Securities Inc
1093 Deep Woods Drive 
Marion, North Carolina 28752 
UNITED STATES OF AMERICA 
Phone: +1 828 527 0244 
Fax: +1 877 426 8220 
Email: [email address] 
Website: www.harborlightsecinc.com 
Associated individuals: Anita Baker, James Bradley, Dereck 
Hanson, Mark Mendoza 
NOT TO BE CONFUSED WITH THE GENUINE COMPANY:
Harbor Light Securities LLC
1039 Deep Woods Drive 
Marion, North Carolina 28752 
UNITED STATES OF AMERICA 
Phone: +1 828 442 2765 
Published on this site September 2010 
Harris Atlantic Management Inc
Suite 300-301 Paragon Towers
233 Needham, Newton MA 02464
UNITED STATES OF AMERICA 
Published on this site March 2005 
Harrison Lee Partners
2 Priestley Road
82 Winglok Street
Basingstoke, Hampshire
HONG KONG
ENGLAND RG24 9NP 
Associated individuals: Charles McKenzie, UNITED STATES OF 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 11 of 15
AMERICA West, Rock Group Co
Published on this site July 2004, March 2005 
Hartford Capital Management, S.A
Panama
Costa Rica
Calle Eusebio A. Morales
Edificio Ortencia Ler Piso
Suite 1 - A, # E1 Cangrejo
1 Caudra al Sur 200 Este de 
Ciudad De Panama
MacDonald's
REPUBLICA DE PANAMA 
Sabana Sur, San Jose, 
COSTA RICA
Published on this site December 2005 
Heinz Hokkaido International
1585 Broadway
New York
NY 10016
UNITED STATES OF AMERICA
website: www.heinzhokkaido.net 
Published on this site August 2008 
Helvetica Trust & Fiduciary Group
Bahnhofstrasse 71
Surich 8001
SWITZERLAND 
Associated individual: Gerald Mulrine 
Published on this site September 2002 
Heritage Financial Inc
103 Franklin Corner Road
Trenton
New Jersey 08648
UNITED STATES OF AMERICA 
Published on this site March 2005 
Heritage Mergers & Acquisitions
Kamiyacho Mt Building
14th Floor, 4-3-20 Toranomon
Minato-ku
Tokyo 105-0001
JAPAN
Published on this site February 2006 
Hing and Foster Partners
30 Cecil Street
SINGAPORE 049712 
Published on this site October 2005 
Hobdell and Williamson
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 12 of 15
2496/2494 Sand Hill Road, Suite 132 
Menlo Park, California 94025 
UNITED STATES OF AMERICA 
Phone: +1 650 963 5727 / +1 650-763-8061 
Fax: +1 650 240 3913 
Website: www.hobdellwilliamson.com 
Email: [email address] 
Published on this site March 2010 
Associated individuals: Peter Gallagher, Graham Archer 
JR Hoffman & Associates
1 Place Ville Marie,
18th floor Montreal
Quebec, H3B 2E7 
CANADA
Published on this site June 2008
Hoover Deplache Investments Inc.
1500 Euclid Avenue,
730 Cleveland
OH 4415
UNITED STATES OF AMERICA 
Published on this site April 2006 
Hudson International
Caracasbaaiweg 199
Room 2207
PO Box 6050
22/F, II Lippo Centre
Curacao
Central
Netherlands Antilles
HONG KONG
WEST INDIES
Associated individuals: Thomas Jenkins, Steven Billings, 
Jeffrey Kahn, Frank Edwards, Murray Skolsky. 
Published on this site September 2000 
HVC - Hypo Venture Capital 
Uraniastrasse 40 
Zurich, 8001 
SWITZERLAND 
Tel: + 41 350 016 736 / + 41 435 080 372 
Fax: + 41 447 326 623 
Email: [email address] 
Web: www.hypovc.com 
Associated individual: Charlotte Gruber 
Published on this site March 2011 
Interactive Taxation Consultants / Interactive 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 13 of 15
Taxation Consultants Limited
New York Office 
Tokyo Office 
Samson Building Level 8-22G 
AIG Building, Level 
501 Fifth Avenue 
14 2-56 
New York, NY 10017 
1-1-3 Maranuchi, 
UNITED STATES OF AMERICA 
Chiyoda-Ku 
Phone: +1 212 359 1682 
Tokyo 100-0005 
Fax: +1 212 954 5088 
JAPAN
Website: www.taxationconsultants.com  Phone: +81 345 
Email: [email address] 
500 562 
[email address]          +81 345 
500 502 
Fax: +81 344 965 
042
Associated individuals:Peter Miller, Michael Rosen 
Published on this site April 2010 
International Asset Management
CP Tower Level 23
313 Silom Road
Silom 10500
Bangkok
THAILAND
Associated individual: Richard Jennings
Published on this site February 2001 
Innova Equity Corporation
18th Floor
Bund Centre
22 Yanan Road East
Shanghai
CHINA
Published on this site January 2004 
Interglobal Mergers & Acquisitions Inc.
55 Park Plaza Drive
Daly City
San Francisco
California
UNITED STATES OF AMERICA
Associated individuals: Vanessa Stone, Gregory Handsfield
Published on this site March 2004 
International Association of Transfer Agents
30 Wall Street 
New York, New York 10005 
UNITED STATES OF AMERICA 
Published on this site June 2007 
InterTrade Asset Management
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 14 of 15
1800 E 9th # 1400
Cleveland
Ohio 44114
UNITED STATES OF AMERICA 
Associated individual: Maxwell Jones
Published on this site April 2004 
ITB Limited
Level 2 
Via Maistra 2 
St. Moritz 
SWITZERLAND 
Published on this site December 2003 
J P Moreau Limited
Level 14 Prudential Tower
30 Cecil Street
049712
SINGAPORE 
Associated individuals: Lawrence Piper, Lily Chen 
Published on this site May 2003 
Jacobs & Kiplinger
Zurich World Trade Centre
Leutschenbachstrasse 95
8050 Zurich
SWITZERLAND 
Published on this site May 2002 
Jefferson Clark Associates
PO Box 58389
Seattle,
Washington State,
98138-1386
USA
Published on this site June 2008
Johannson Linqvist Associates
Klarabergsviaduckten 70
Kungsbron 1 Box 70301
107 24 Stockholm
SWEDEN
Associated individuals: Albert Stuart, Gerald Montrose
Published on this site July 2005
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014

Information for Investors: Telephone Share Scams | Securities Commission
Page 15 of 15
A - E  |  F - J  |  K - O  |  P - U  |  V - Z
About | Publications | Notices | What's new? | International | Speeches
| Site map
Search | Information for investors | Contact us | Accessibility
Disclaimer
Copyright | Privacy | newzealand.govt.nz | Home
© Copyright New Zealand Securities Commission 
http://ndhadeliver.natlib.govt.nz/ArcAggregator//arcView/resource/IE4436549//http://... 15/10/2014