(asic.gov) Unlicensed overseas callers and fake regulators
List last updated 29 July 2008
This list identifies both active and presently dormant organisations known to ASIC from 2000 to the present. Some organisations may use a name similar to the name of a better known and reputable organisation, or falsely claim to be associated with such an organisation. If you think the company name, or the associated name sounds familiar, check you are actually dealing with a reputable company, not a disreputable one.
Names recently added to the list: Jefferson Clark Associates Solvay Financial S.A Western Capital Trading
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z
A Abacus Group Co Limited 252/94 Muang Thai-Phetra Tower II 17th Floor Rachadaphisek Rd Huaykwang, Bangkok 10320 Thailand
Abbey House Acquisitions Tower 42, 25 Old Broad Street United Kingdom EC2N 1HQ Ph: 44 79 8006 6904 Fax: 44 87 0135 8214 www.abbeyhouseacquisitions.com
AC Capital Venture 7900 East Union Avenue Suite 1100 Denver Co 80237 Ph: 1 303 309 2493 Fax: 1 303 648 5635
Accounting and Tax Planners of NY Inc *Please note that this company is not connected in any way and should not be confused with the legitimate firm
Accounting & Tax Planners 303 5th Ave., Suite # 211 New York, NY 10016-6601 Ph: 1 212 292-3331 /3332 Fax: 212 292-3334
303 Fifth Avenue New York, NY 10016-6601 Ph: 1 347-427-9176 Fax: 1 347 4238 3124 www.acctnyc.com Email: admin@acctnyc.com Email: clientservices@acctnyc.com
Advisor Dealer Services Inc (ADS Inc.)
*Please note that this firm is not to be confused with Advisor Dealer Services Inc (ADS Inc) of 6125 Memorial Drive, Dublin Ohio , USA telephone 866-633-3371, which is a registered broker in the USA (CRD No. #36773 )
Agro Micron Ltd Headquarter Office 35F Central Plaza 18 Harbor Road WANCHAI HONG KONG Ph: 852 2593 1326 Fax: 852 3017 8000 web: www.agromicron.com email: info@agromicron.com
Singapore Office 10 Anson Road #30-07 International Plaza SINGAPORE 079903
Allied Asset Management (Please note that this Company is not connected in any way, and should not be confused with Allied Asset Management, Inc. 2033 6th Avenue, Suite 1009, Seattle, WA 98121-2523, USA Ph 206 441 1900 Fax 206 441 1901 CRD# 16403 SEC no 8-340521)
2033 6th Avenue Seattle WA 98121 USA Ph 1 206-299-3560 Fax: 206-299-3487 info@allassmanagement.com
Allied International Investment Limited 8 Portland Place Pritchard Street Bristol BS2-8RH England, UK Ph:(44) 870 429 4883 Fax: (44) 870 220 0041 Other offices in NY, USA and Hong Kong
Allied Pacific Ventures Level 25 Bank of China Tower 1 Garden Road Central Hong Kong
Allied Sovereign Zurich Suite 701, Level 7 Via Augusta Barcelona 08006 Spain Ph: (34) 932385924 Fax: (34) 932385925 www.alliedsovereignzurich.com
A M Global Management 2511, Malayan Mansion, Jalan Masjid India, 50100 Kuala Lumpar Malaysia
American Energy Exchange (AMENX)
American Futures and Options Exchange 131 Pearl St New York NY 10005 www.afoex.com support@afoex.com
American Futures and Options Trading Commission 503 N Michigan Avenue #1950 Chicago Illinois 60601 www.afoex.com support@afoex.com
Annex International Mergers and Acquisitions Hong Leong Buidling 16 Raffles Quay Singapore 048581 Ph 656 215 0206 Fax 656 2150 0207 www.annexinternational.com
A Nova Corporate Services 222 Yanan Road East Shanghai 200002 China Ph: (86) 21 5115 5369 Fax: (86) 21 6335 1337
Aqua Securities L.P 110 East 59th Street New York NY 10022 Ph: 1 212 796 0926 Fax: 1 646 224 2271 www.aqua-securities.com info@aqua-securities.com.au
Aragon Currency Management 4491 South State Road Seven Suite-208 Fort Lauderdale FLORIDA USA 33314 Phone numbers: USA & Canada: 1-800-803-0387 Australia: 1-800-836-861 New Zealand: 0800-455-0055 South Africa: 0-800-992-002
Argus Capital Limited Postbus 59366 1040 KJ Amsterdam The Netherlands Ph: 31 20 301 2290 Fax: 31 20 301 2210
Atlantic International Partners #01-03 Ocean Building 10 Collyer Quay Singapore 49315 Ph: 65 6419 2915 Fax: 65 6491 5139 www.atlanticinternationalpartners.com
Atlas Capital Corp 124 Dure Road Quogue New York USA 11959 Ph: 1 866 978 1014 Fax: 1 866 978 5269 info@atlascapitalcorp.com
B Barrington Consultants Inc (Subsidiary of Barrington Capital Ventures Ltd)
Unit 2302-A & B West Tower, The Philippines Stock Exchange Centre, Exchange Road, Ortigas Centre, Pasig City 1600, Metro Manila, Philippines. Telephone: (632) 636-8810. Facsimile: (632) 636-8397.
Barrington Capital Ventures Ltd Unit 2302-A & B West Tower, The Philippines Stock Exchange Centre, Exchange Road, Ortigas Centre, Pasig City 1600, Metro Manila, Philippines. Telephone: (632) 636-8810. Facsimile: (632) 636-8397
Baxter Financial Group 24, 1040 Avenue of the Americans New York 10018 USA Ph: 1 212 401 2982 Fax: 1 212 730 7663/918 1497 275 Madison Ave. 6th Floor. New York, NY 10016 Ph: 1 212 918 1498 Fax: 1 212 918 1497 www.baxterfinance.com
Baycorp International 9 Bei San Huan Dong Lu Chao Yang District Beijing 100029 Ph 86 20627 39105 Fax 86 20627 39104
Beacon Global Management Inc. Tower Executive #10940 Wilshire Blvd. Suite 1500 Los Angeles, CA 90024 United States www.beaconglobal.us
Bell International Asset Management 12020 Shamrock Plaza Omaha Nebraska 68154-3537 USA Ph: 1 (402) 408 6559 Fax: 1 (402) 408 6635 www.bellinternationalam.com
The Bench Group 770 Lexington Ave New York Ph 1509 692 5988 Fax 1267 482 2253 www.benchgroup.biz
Beijing International Research 3/F, Building B, E-Wing Center 113 Zhichun Road, Haidian District Beijing 100086, China ph +86-1064108427 fax +86-1064108428 www.beijinginternationalresearch.com
Benson Dupont International also see Suspected cold callers raided in Bangkok
Level 23, CP Tower 313 Silom Road Bangkok 10500, Thailand Other offices or mail addresses in Hong Kong, Japan, United Arab Emirates, Panama, France and Switzerland.
Berchmans Lee Company Inc 1410 Herrera Tower Herrera St Makati City, 1227 Philippines Other offices or mail addresses in Singapore, The Bahamas and USA.
Berkeley Samson International 23rd Floor, M Thai Tower All Seasons Place 87 Wireless Rd Bangkok, Thailand HSBC Tower, Level 21 101 Yincheng East Road, Pudong, Shanghai 200120 , China Ph: 8621 2890 3119 Fax: 8621 2890 3131
Other offices or mail addresses in HK, Singapore and Malaysia.
Berkley Sinclair Partners and Associates 2899 Century Pky NE Atlanta, GE 30345 United States Ph: 678 846 0604 Fax: 678 846 0605 www.berkleysinclair.com info@berklysinclair.com
Berline Overseas Corporation 282 New York Avenue Huntington, New York 11743 USA Ph: (1) 631 427 5257 Fax: (1) 631 673 5926
Bernstein & Zeiglier 10 Anson Road #18-18 International Plaza Singapore 079903 Ph: (65) 6223 3474 Fax: (65) 6227 5729
Birchtree Financial Services* *Please note that this firm is not to be confused with Birchtree Financial Services, Inc of 3600 American Blvd. W. 3rd Floor, Bloomington, MN, USA, which is a registered broker in the USA (CRD No. 15014).
4400 Blue Parkway Kansas City Missouri, 64130 USA Ph: (1) 816 448 3760 Fax: (1) 816 448 3101 www.birchtreefinancial.com
Blaine & Thompson S.A Edificio Topacio Azul Numero 217 Nivel 2 2a Avenida 13, Calle 2-60, Zona 10 Guatemala, C.A. Ph: (502) 332 8859/8860 Fax: (502) 332 8863/363 0378 www.blaine-thompson.com
Blue Sky Solutions Pty Ltd 07-24 Nihonbashi Kabutocho Chu Ku Japan ma@blueskysolutionsinc.com 813 5288 6365 813 4496 4896
Boston Global Finance Inc Paragon Towers 233 Needham Suite 300 Newton MA 02464 USA Ph: 1 617 831 1650 Fax: 1 617 831 1659 www.bostonglobalfinance.com
Bradford-Kempner Investments Ltd (Reportedly taken over by Crawford Peale, Inc)
Unit 1512, 15th Floor Q-House Asoke Building 66 Sukhumvit 21 Road, Klongtoey Nua, Wattana Bangkok, 10110, Thailand. Telephone: (662) 264-2592 / 2593. Facsimile: (662) 264-2594 / 2146 Atrium, Stravinskylaan 305, 1077 ZX, Amsterdam, The Netherlands. Unit 8111 Medical Plaza, Amorsolo coner dela Rosa Streets, Legaspi Village, Makati City, Philippines. Telephone: (632) 8101366.
Bradstone Healy & Pratt Mergers and Acquisitions / aka BHP Mergers 100 Queen's Street Hong Kong Ph: 852 3180 9523 Fax: 852 3014 7826 www.bhpmergers.com info@bhpmergers.com
Breakthrough Venture Partners 3460E Dover Street Mesa Arizona 85213 USA Ph: (1) 602 220 1324 Fax: (1) 206 666 3086
Bridgway First Hand Trading Inc UOB Plaza 1 80 Raffles Place Level 35 Singapore 048624 Ph + 6562484737 Fax + 6562484501 www.bridgwayfirsthandtradinginc.com
The Brinton Group Also see Suspected cold callers raided in Thailand.
Liberty Square 287 Silom Road Bangrak, 10500 Bangkok, Thailand Park West Building 6-12-1 Nishi-Shinjuku Shinjuku-ku Tokyo 160-0023, Japan
Other offices or mail addresses in China.
Brooks Pearson Investment Limited PO Box 1125 Silom Post Office Bangkok 10504 Thailand
Bureau of Foreign Security Affairs Rond Point Schuman 8 1040 Brussells Belgium Ph 0011 3224 166 015 Fax 0011 3224 166 016
C C&C Global Co Limited/Commodity and Currency Global Co Limited 17th Floor, UBC 11 Building Soi Sukhumvit Road 33 North Klongton, Wattana Bangkok, 10110 Thailand
Cambridge Capital Trading www.cambridgecapitaltrading.com
Dubai office Al Attar Business Tower, 30th Floor Sheikh Zayed Road Dubai United Arab Emirates Ph: +97 143696554 Fax: +97 143696548
London office 8 Bishopsgate, London UK Ph: +44 2081505636 Fax: +44 2081505636
Capital Advisory Corporation Silom Complex, 18th Floor, 191 Silom Rd. Bangkok 10500, Thailand Other offices or mail addresses in Hong Kong and British Virgin Islands.
Capital Assets Limited (part of The Capital Group Investment Advisors & Consultants Inc)
28th floor, Tower 2 The Enterprise Center 6766 Ayala Avenue corner Paseo de Roxas Makati City Metro Manila Philippines Taipei Metro Building Suite D, 11th Floor 207 Tun Hwa S. Road Sec. 2, Taipei Taiwan Provenza No. 288 Principal 08008 Barcelona, Spain
Cathay Asset Management Further information: Netherlands Authority for the Financial Markets (AFM).
Central Registry Regulators Board (Cold calling firms refer investors to this entity for confirmation of their firm's legitimacy) 8425 Woodfield Crossing Blvd Indiannapolis IN 46240-7316 USA Ph: 1 317 522 0169 Fax: 1 317 536 3942
Charles Fleming Co Ltd Sarino Park Building 2-11-1 Nagata-Cho Chiyoda Ku Tokyo 100 6172 Japan Ph: 813 5456 5026 Fax: 813 4496 4464 www.charlesfleming.net
Chase Capital Inc 405 Lexington Avenue Chrysler Building New York City NY 10174 Phone 1 646 530 8444 www.chasecapma.com
Chaubert Asset Management Superior East Avenue Suite 1300 Cleveland Ohio 44114 USA Ph: 1 216 255 3935 Fax: 1 216 274 9099
Esplanade Charles De Gaulle Paris 98201 Ph 33 1 7072 5902 Fax 33 1 7270 3775 www.chabertam.com Email: chabertonline@chabertam.com
Chelsea Commercial Brokerage House Level 41 Emirates Tower PO Box 31303 Dubai, United Arab Emirates Ph: 971 4 319 7528 Fax: 971 4 2737478
Chicago Accounting (and Waterhouse Holdings Inc) 235 West Cermak Road Chicago IL 60616 USA Ph: 1 312 324 6657 Fax: 1 312 276 4088 admin@chicagoacct.com services@chicagoacct.com www.chicagoacct.com
Chicago Board of Acquisition, Inc 5907 South Ellis Avenue Chicago Illinois 60637 USA Fax: 1 312 616 3515 www.chicagoacq.com
Chicago Tax Services 6110 W. Belmont Avenue Chicago Illinios 60634 USA Ph: 1-312-324 6660 Fax: 1-312-276-8884 www.chicagotaxservices.com
Churchill Acquisitions Old Broad St London Ec2N 1 N United Kingdom Ph 44 2079003439 Fax 44 2079002534
Churchill Capital USA Incorporated Now also calling themselves Churchill Securities Inc and trading as Advisor Dealer Services Inc (ADS Inc.) (Please note that this Company is not connected in any way, and should not be confused with Churchill Capital USA Inc which is registered in USA 1270 Avenue of the Americas, Suite 1910, New York, NY 10020-1700 Business Telephone Number:, 212-994-4990 . CRD# 143278 SEC# 8-67547 Nor with Churchill Capital Australia Pty Ltd A.C.N. 099 426 730 Ground Floor West , 600 Victoria Street, RICHMOND VIC 3121)
Suite 1706, 21st floor, The Hearst Tower, 300 West 57th St. New York, New York USA Ph: 1 212 461-1079 Fax: 1 646 478-9790 www.churchill-usa.com
CitiFund Asset Management Inc 399 Park Avenue 8th Floor New York Ph 1 646 862 1667 Fax 1 646 417 5188 www.citifundasset.com
Clanvale Securities, S.A. Edificio Torre America Floor 3, Office 307 Avenida Venezuela Bello Monte Caracas Venezuela Ph: 58 212 762 4663 or 761 2498 Fax: 58 212 763 6675
Classic Consultants Suite C-206/ 5419 Hollywood Boulevard Los Angeles CA 90027 USA
Ph: 1 213 745 9002 Fax: 1 213 477 2240
Cogan Davis & Associates (Informed name changed to Greer Fox Yamato) Level 11, Park West Building, 6-12 Nishi-Shinjuku Tokyo, 160-0023 Japan
Cohen & Nesbit Group Ltd Level 19 Hong Leong Building 16 Raffles Quay Singapore Tel: 65 321 9118 Fax: 65 321 9116
Collwood & Hall, Ltd 23rd Floor, M. Thai Tower All Seasons Place 87 Wireless Road Phatumwan Bangkok, 10330, Thailand
Commodity and Currency Global Co Limited See C&C Global Co Limited
Commonwealth Monetary Group 1047A Fortune B Building 4 Dongsanhuan Road Chaoyang District Beijing China
Crawford Peale, Inc (Reported to have taken over Sherman Brothers, Vantage International and Bradford-Kempner Investments Ltd)
Unit 1609, 16th Flr, Vanit 1 Building 1126/1 New Petchburi Road Bangkok 10400 Thailand Ph: 662 655 2322/2323 Fax: 662 655 2324/2325
Crest International Investment Inc First West Building 200 First Avenue West Suite 400 Seattle Washington 98119 USA Ph: 1 206 802 1022 Fax: 1 206 802 1023
Crown Financial Management 2825 Cottonwood Pkwy # 5 Salt Lake City UT 84121-7060 United States Ph 1 801 413 7060 Fax 1 801 606 2807 www.crownfinancialmgmt.com
Crowne Noble TA Shibuya Mark City Dogenzaga 1-12-1 Shibuya, Tokyo Japan
Dallas International Trading B5 11 F BlockB Chungking Mansion Tsim Sha Tsui Kowloon Hong Kong
Davis Goldberg Group 782 NW 42nd Avenue Miami, Florida, 33135 USA Ph: 1 312 803 9614 Fax: 1 312 577 1696 www.davisgoldberg.com
Davis Hunt Rockefeller Centre 1230 Avenue of the Americas New York City NY 10020
Dawson Turner Two Pen Center Plaza Philadelphia, PA. 19102-1706 USA Ph: (1) 215 221 5355 Fax: (1) 215 689 2550 www.DawsonTurner.com
Dearborn International (member of the Dearborn Financial Group) 719 Griswold St Detroit Michigan 48226 USA Ph: 1 313 731 1704 Fax: 1 313 731 0217
Delta Trade Financial Group US office: Promenade II 1170 Peachtree Street NE Atlanta, GA 30309 United States Phone: 1 (404) 969 4586 Fax: 1 (404) 420 2341 Email: contact@us. deltatradefinancial.com Website: www.deltatradefinancial.com
European office: Stephanie Square Centre Avenue Louise 65 1050 Brussels Belgium Phone: 32 2 747 0332 Fax: 32 2 706 4893 contact@be.deltatradefinancial.com
Direct Generations 1109 South Plaza Way Flagstaff Arizona 86001 USA Ph: 1 520 223 4444 Fax: 1 480 247 59811 www.directgen.biz info@directgen.biz
Diligent Solutions 19 Hennessey Road Wanchai Hong Kong Ph 852 6272 8459 Fax 852 3016 2053 info@diligentsolutions.com
Diversified Capital International Corporation Please note that this Company is not connected in any way, and should not be confused with Diversified Capital Corporation of 999 Brickell Avenue, Suite 800, Miami, Florida, 33131, USA, ph 305 371 2722, fax 305 371 8004. FIRM ID CRD #10536, FIRM SEC #27623
999 Brickell Avenue Suite 800 Miami Florida 33131 USA Ph 1 305 675 5967 Fax 1 305 675 5968 www.divcapcorp.com
Diversified Global Capital Group 2121E Pacific Coast Highway Corona Del Mar CA 92625 USA 1 949 258 5123
Diversified Investments Group Inc 7800 Persimmon Tree Lane Bethesda MD 20817 USA Ph: 1 240 235 4298 Fax: 1 240 235 4293 info@digrouponline.com
Dongyin Futures (dealing through a 'Hong Kong Derivatives Exchange') 83 Des Voeux Road Central Hong Kong SAR China Fax 852 3015 8735
Douglas Baker & Co 800-615 West Broadway Avenue Vancouver BC Canada Ph. & Fax: 1 604 608 2990 www.douglas-baker.com
Dreyfus Securities Ltd 23rd Floor, M Thai Tower 87 Wireless Rd Phatumwan, Bangkok 10330, Thailand Other offices or mail addresses in Japan, Brazil and London.
Dubai Options Exchange www.dubaiex.com
Dublin Castle Investments Inc 1930 Yonge Street Suite 1145 Toronto Ontario M4s 1Z1 Ph 647 430 8550
Duke's & Company Securities Inc Information suggests were taken over by Muller & Sons and World Wide Investors Management Inc.
Unit 1009 PS Bank Tower, Senator Gil J. Puyat Ave., Makati City, 1220, Philippines Other offices or mail addresses in Hong Kong, Belize and Canada.
E E Go Trade Also see Suspected cold callers raided in Bangkok and the Securities Securities and Exchange Commission of Thailand's Media release 42/2004 Conviction on Boiler Room Case - The Brinton Group, issued 10 June 2004. Otemachi First Square East Tower 4/F 1-5-1 Otechachi, Chiyoda-Ku Tokyo 100-0004 Japan 31/F Jin Mao Tower Pudong, Shanghai 200120 China
Eastman Johnston Incorporated Level 14 Hibiya Central Building 1-2-9 Nishi-Shimbashi Minato-ku Tokyo 105-0003 Japan Ph: 81 3 5532 7855 Fax: 81 3 n5532 7373 www.eastmanjohnstoninc.com
Edgewatercapital LLC *Please note that this company is not connected in any way and should not be confused with Edgewater Capital, LLC of 6 Hutton Centre Drive, Suite 860, South Coast Metro, CA, 92707, USA, www.segco.com phone (714)444 3833 4002, fax 714 435 9410, mobile 562 896 0796, which is a registered securities broker/dealer/CRD No. #128898]
6 Hutton Centre #860 South Coast Metro CA 82707 USA Tel 1 714 242 1469, fax 1 714 242 1416 Info@edgecaponline.com www.edgecaponline.com
Elite Business Management 93b Rue Louis Blanc 06400 Cannes France Fax: 33 4 8973 2287 www.elitebusinessmanagement.com
Eno Capital Limited Level 9 AIG Building 1-1-3 Marunouchi Chiyoda-ku Tokyo 100-0005 Tel (81) 3 5288-5296 Fax (81) 3 4496-4783 Info@EnoCapital.com www.EnoCapital.com
Envirocell Systems Inc The World Trade Center Leutschenbachstrasse 95 Zurich 8050 Switzerland
Equinox Equities 19 Des Vouex Road Central Hong Kong www.equinoxequities.com
European Consumer Protection Bureau 8 Exchange Quay 6th Floor Manchester M5 3EJ United Kingdom Ph 44 161 660 2341 Fax 44 161 332 7848 www.europeanconsumer.org
Evergreen Consulting Corporation 5th Floor Amrit Tower, 4980 P. Guanzon Street, Makati City, Philippines. Telephone: (632) 899-3591. Facsimile: (632) 899-3590.
F Fairchild Roth Financial Inc Gallery Four 12 Leadenhall St. London UK EC3V 1LP www.frfin.com
Financial Assets Corporation Please note that this Company is not connected in any way, and should not be confused with either Financial Assets Corporation, 30 Wall Street, Suite 1203 New York, NY 10005, USA, which is a registered Broker-Dealer in the USA and a member of the National Association of Securities Dealers (CRD#13777) nor its affiliated entity, Oaktree Management Inc, an investment advisor registered with the SEC and located at the same address.
30 Wall Street New York NY 10005 USA Ph: 1 800 494 8350 or 1 646 619 4659 Fax: 1 212 208 4346 www.financialassetscorporation.com
Financial Trading Group International S.A. (Associated with International Currency Traders, S.A.) 200Este, 75 Norte de la Embajada de Nicaragua San Jose Costa Rica Ph: 506 258 2758 Fax: 506 255 3250 www.ftgicr.com
FinAxa Settlements Suite 300 JFK Building 1800 JFK Boulevarde Philadelphia PA 19103 United States Ph 1 215 359 0400 Fax 1 215 359 0966 www.finaxa.us
First Atlantic Corporation Boca Raton Florida USA Ph: (1) 561 697 0232 Fax; (1) 561 558 0495
First Chartered Capital Client Service Centre 14th Floor IBM Tower Pacific Century Place 2A Workers Road North Beijing, 100027 China Ph: 86 10 6539 1024 Fax: 86 10 6539 1060 ISM Tower, 14th Floor 2A Workers Road North Beijing China 100027 Ph: (8610) 6539 1024 Fax: (8610) 1014/1050 Institutional Market Division 245 Park Avenue 24th and 39th Floors Manhattan, New York USA 10167 First Colonial Management 17 Ensign House, Admirals Way London England E14 9XQ Ph 442073619943 Fax 448701302148
First Equis Limited Japan Office Shibuya Mark City West 22F 1-12-1 Dogenza, Shibuya-ku Tokyo Japan 150-0042 Ph 81 34360 5473 4 Fax 81 34360 5475
Indonesian Office Wisma GKBL 39th Floor JI Jend Surdiman No 28 Jakarta 10210 Ph 62 21 5799 8132 3 Fax 62 21 5799 8134 www.firstequis.com
First Euro Trading Group (See First Trading Group)
First Federal Capital C/o 1900 Ave of The Stars Suite 1635 Los Angeles, CA 90067, USA 72 New Bond Street, London W1Y9DD United Kingdom Ph: 44 171 493 2880 Fax: 44 171 499 3417
First Independent Capital Resources Inc Shiroyuma JT Movi Building, 8-1 Toranomon 4 Chome Minato-Ku, Tokyo 105 Japan Ph: (81) 345 124 360 Fax: (81) 345 124 361
First National Financial Group Inc 46th Floor, 140 Broadway New York, NY 10005 USA Fax: (1) 212 858 7522 Ph: 1 212 858 7521 www.firstnationalfinancial.net
First Reserve Co. Ltd DOF Building Roxas Boulevard Croner pablo Ocampo Street Manila 1004 Philippines Ph 639155753546 info@frmserv.com
First Trading Group (also known as First Euro Trading Group) 445 W. 45th Street New York NY 10036 USA Ph: (1) (212) 201 1326/903 4187 Fax: (1) (917) 591 3024/(212) 468 2831 www.firsttradinggroup.com
Fleetwood Mergers and Acquisitions 2500 CityWest Blvd. Houston, TX 77042-3000 United States Phone:1 (832) 201-6398 Fax: 1 (832) 565-1633
Rond Point Robert Schuman 6, Brussels 1040 Belgium Phone: 32 (2) 403 4980 Fax: 32 (2) 416 6357 www.fwmna.com
Foreign Currency International 27 Suhumvit Soi 20, Bangkok, 10110 Thailand
Foreign Shareholders Protection Department
Foreign Trade International 12th Floor, 253 Sukhumvit SOI 21 Asoke Road Bangkok 10110 Thailand
Forensic Financial Fraud Investigators 999 18th Street Suite 3000 Denver, Colorado United States Ph 1303 352 1987 Fax 1303 496 0552
Fortress International, Inc 12F-4 No 171 Nan Jing East Rd Sec 4 Taipei Taiwan Ph 886 2 6601 2071 Fax 886 2 6602 1077 www.fortresssinternational.com
Fortune International Inc 18th Floor One International Finance Centre 1 Harbour View St Central, Hong Kong 2111 Wing On House 71 Des Voeux Road Central, Hong Kong
Other offices or mail addresses in Singapore, Japan and China.
Fox Chase Capital Partners Not to be confused with Fox Chase Capital Partners, LLC SEC number 8-52624 CRD Number 104087 who are genuine and do not have a website
499 Main Street Metuchen NJ 08840 ph 1 732 875 0435 www.foxchasecapital.com info@foxchasecapital.com
Freelander & Kuhn 1411 Herrera Tower Herrar Street, Salcedo Village Makati City Philippines Nervis Street PO Box 767 St Johns Antigua West Indies
Return mailing address in Singapore
The Fujiwara Group 14F Kamiyacho MT Building 4-3-20, Toranomon Minato-ku Tokyo 105-0001 Japan Ph: (813) 5404 3458 Fax: (813) 4512 3022/5404 3401 www.fujiwaragroup.com
G Gaylord & Finch 21200 Broadway East 74 Seattle Washington, 98122 USA 400 Broadway Seattle Washington, 98122 USA Ph: 1 206 888 0329 Fax: 1 206 339 2813
General Commerce Bank AG/ General Commerce Bank of Vienna Schlickgasse 1, A-1090 Wien, Austria. Telephone: 43-1-317-27-00. Facsimile: 43-1-317-27-00-73.
The Georgian Group (Took over Hudson International Group Limited)
Level 21, HSBC Tower 101 Yin Chen East Road Pudong, Shanghai 200120 P. R. China
Global-Shopping.Net, Inc 2500 East Hallandale Beach Blvd Suite 604 Hallandale, Florida 33009 USA Level 36 Hong Leong Building 16 Raffles Quay Singapore Level 25 Bank of China Tower 1 Garden Road Central Hong Kong Hong Kong
Global Trade and Transfer Ltd PO Box 3321, Road Town, Tortola, British Virgin Islands
Goldberg & Partners Inc 28th Floor, Tower 2 The Enterprise Center 6766 Ayala Ave Cor. Paseo de Roxas Makati City Philippines
Goldstein Investments Various email addresses in Argentina www.oilandgaswealth.com
Goodwin Capital Management Limited Korea First Bank Center, 20th Floor Korea First Bank Building 100 Gongpyung dong Chongno gu Seoul 110 702 Korea www.goodwinadvisors.com
Grace Morley & Associates 557 Madison Avenue New York NY 10002 USA Ph: (1) 212 937 3505 Fax: (1) 212 658 9177 www.gracemorley.com
Grand Capital Inc 250 West 57th St New York NY10107 Ph 1 212 937 2270 Fax 1 718 732 2607 www.grandcapinc.com
Grant Trust Company 8350 Wilshire Boulevard Suite 200 Beverly Hills CA 90211 USA
Great Lakes Securities This is the same fax telephone listing as International Options Exchange 28th Floor Suite 2800 440 South Lassalle Street Chicago II 60605 USA Ph 1 312 275 7778 Fax 1 312 275 7778 Email cs@gl-financial.com www.gl-financial.com/
Greer Fox Yamato (Informed name changed from Cogan Davis & Associates) Level 9 Edobori Bldg 2-1-1 Edobori Nishi-Ku Osaka 550 0002 Japan Ph: (81) 6 6225 1307 Fax: (816 6225 1274
Griffin Mergers and Acquisitions Office 8th & Nicollet Mall Downtown Minneapolis MN 55402 8773 United States of America Ph 612 284 2417 Fax 612 677 3711 contact@griffinma.com
Guaranty Consolidated 102 West 23RD Street New York NY Ph 1646 4552335 Fax 1646 7923329 www.guarantyconsolidated.com info@guarantyconsolidated.com
Hamilton Frasier Group 72 New Bond Street London W1S 1RR England UK Ph: (44) 207 514 5807 Fax: 44 207 900 1918 www.hamiltonfrasiergroup.com 2002A Lippo Tower 1 89 Queens Way Central Hong Kong Hong Kong Ph: 852 2910 7898 Fax: 852 3014 0779 # Please note it is not located at this address. 6 Wood Road Suite 3C Wanchai Hong Kong Ph: 852 2910 7898 Fax: 852 2910 7000
Hanworth Weir Ltd Penthouse Level Suntec Tower Three 8 Temasek Boulevard SINGAPORE 038988 Ph: (65) 6866 33100 Fax: (1) 208 723 7454 (fax no for US Fuels Direct in Idaho, US) www.hanworthweir.com
Harbor Capital Management, San Francisco 600 California Street 15th Floor San Francisco CA 94108-2728 Ph 1 (415) 762 1402 Fax 1 (415) 276 3029 contact@us.harborcapitalmgm.com Mainzer Landstrabe 60329 Frankfurt am Main Ph 49 692 5738 5855 Fax 49 6692 557 7072 info@de.harborcapitalmgm.com
Heritage Mergers and Acquisitions 14 4-3-20 Toranomon Minato Japan Ph: 813 54043560 Fax: 813 44964930
Heron Asset Management 3512 Rockville Road Indianapolis IN 46222-5917 Ph 1 317 522 4936 Fax 1 317 536 3918 www.heronassetmgmt.com
HK Forex (H.K.) Co. Ltd 36 Wang Kwong Rd Kowloon Bay Hong Kong SAR
Howell Schine & Co Level 27, One Exchange Square Tower 8 Connaught Place, Central Hong Kong Ph 852 3101 7947 Fax 852 3014 4849 trains@howellschine.com www.howellschine.com
HPR Commodities
Hudson International (Taken over by The Georgian Group)
Hudson International Q-House Building 12F Convent Rd Silom Bankgok 10500 Thailand Level 43, Wisma 46-Kota BNI Jl. Jenderal Sudirman Kav. 28 Jakarta 12920
I Icon Capital Management 4610 South Ulster Street Suite 150 Denver Colorado 80237 USA Ph: 1 720 528 7312 Fax: 1 303 221 3747 www.iconcapman.com
I- Chance Online 1652 Westv Texas Suite 6756 Fairfield California United States
Imperial Quest Ventures The Hancock Centre 875 N Michigan Avenue Suite 2600 Chicago IL 60611 USA Ph 1 866 365 3685
Industrial Research Ltd 71 Moody St Tsimshatsui Kowloon Hong Kong
Innova Equity Corporation 18th Floor, Bund Centre 222 Yanan Road East Shanghai, China Phone +86 21 6335 1377 Fax +86 21 6335 1337 www.innovaequity.com Other offices in London and Dubai.
InterGlobal Mergers & Acquisitions 55 Park Plaza Drive – Daly City San Francisco, California 94015 USA Ph: 1 -650-491-8756 Fax: 1 -650-491-8701 Toll Free:1-800-871-4453 Web Site: www.imacq.com
Interglobal Trading Co Ltd trading as Interglobal Option Exchange and SmartOptions No.2 Jungshang 2nd Rd Chianjen Chiu Kaohsiung City Taiwan info@intgex.com
International Asset Management Also see Suspected cold callers raided in Bangkok
Level 24, Bangkok City Tower 79 Southorn Road, Khwaeng Thungahamek, Khet Sathorn Bangkok, 10120, Thailand Level 23, CP Tower, Silom Road, Silom Bangkok, 10500 Thailand Park West Building 6-12-1 Nishi-Shinjuku Shinjuku, Tokyo 160-0023 Japan Level 25, Bank of China Tower, 1 Garden Road, Central Hong Kong Level 36, Hong Leong Building, 16 Raffles Quay, Singapore 048581
International Compliance Commission
International Currency Advisors Anderson Square Building George Town, Grand Cayman Cayman Islands British Virgin Islands Ph: (1) (345) 948 7034 Fax: (1) (345) 948 7034 Crown House 72 Hammersmith Road London, England W14 8TH UK Ph: (44) 20 7470 2404 Fax: (44) 20 7470 2400 Oficentro Ejecutivo La Sabana Tower 1, 4th Floor San Jose, Costa Rica Ph: (506) 231 4046 Fax: (506) 290 3648
International Currency Group 18377 Beach Blvd, Suite 211 Huntington Beach CA 92648 United States of America
International Currency Traders, S.A. (Associated with Financial Trading Group International S.A.) World Trade Center Building 1st Floor – commercial area 53rd Street Marbella Panama Republic of Panama Ph: 507 205 1962
International Energy Exchange (INTENX) International Equity Commission International Equities Registration C/- Financial Trading Group International S.A. 200Este, 75 Norte de la Embajada de Nicaragua San Jose Costa Rica
International Equity Inc 95 Church Street White Plains NY 10601 USA Ph: 1 914 206 4425 Fax: 1 914 206 3551 www.intequityinc.com
International Exchange Regulatory Commission
International Exchanges Group Kenny Hilund Suite 502, Villa Thavin Court, 52 Sukhumviy Sol 23, Klong Toey, Bangkok 10110, Thailand
International Options Exchange Fax and ph no same as that for Great Lakes Securities Two North Lasalle St Chicago II 60602 USA Ph 1 312 275 7778 Fax 1 312 275 7778 Email info@ioex www.ioex.us/welcome/
International Regulatory Commission
International Securities Tax Commission 7029 Albert Pick Road Greensboro NC 27409 United States Ph 1 3336 346 3517 1 336 346 0137 Fax 1 336 458 9428 www.istcommission.us
International Securities Verification Centre (Cold calling firms refer investors to this entity for confirmation of their firm's legitimacy) 845 e River park Lane Boise Idaho US Ph 1(208)639 9536 Fax 1208 275 3740 info@intsbc.org www.intsvc.org
International Shareholder Agency One Perimeter Park South Birmingham AL 35243 USA Ph 1 (205) 453 4783 Fax 1 (205) 263 6431 www.isa-al.us
The International Stock and Asset Compliance Center (Cold calling firms refer investors to this entity for confirmation of their firm's legitimacy) Central Office 4479 S Howell Ave Milwaulkie WI 63207 USA Ph 1+ 262 923 9957 Fax 1 + 262 364 2164 info@stockandasset.org www.stockandasset.org
Invision Private Equity AG Grafenaustrasse 7 PO Box 4433 6304 ZUG SWITZERLAND Ph 41 415000 8030, 4141729 0101 and 41 45000 687 info@invision.ch
Investment Advisors & Consultants Ltd The Exchange Tower 130 King Street West Suite 2500 Toronto, Ontario Canada
Irving Horowitz Mergers and Acquisitions See also Tomas Linz Transfer Agency who are appear to be used as a transfer agent for the transfer of funds Berlin Kranzler ECK Kurfurstendamn 21 10719 Berlin Germany Ph: 493 0209 24048 Fax: 493 0690 88474 www.irvinghorowitz.com
ISS International Marketing Co Ltd 173/12-14 M 6, Nongprue Banglamung, Chonburi 20260 THAILAND Ph: (663) 873 1804 Fax: (663) 873 1815
Jan Wilen and Partners Neumuehlequai 40 Zurich Switzerland Ph 41 445 801 585 Fax 41 44 355 659
Jefferson Clark Associates PO Box 58389, Seattle Washington, USA 98138-1386 Ph 1 206 701 7477 Fax 1 206 984 4342 www.jeffersonclark.com info@jeffersonclark.com
JF Kidwell Limited Transferred business to Phoenix International Limited Gedung Menara Era 9th Floor, Komp. Oasis Mitra Sarana JL. Senen Raya Kav 1350137 Jarkarta, 10410, Indonesia
The Kensington Group 23F M Thai Tower All Seasons Place 87 Wireless Rd Phatumwan Bangkok 10330, Thailand 18F One International Finance Centre 1 Harbour View St. Central, Hong Kong
Other offices or mail addresses in Singapore, Japan and China.
KLM Investment Services Limited Cannon Bridge 25 Dowgate Hill London, EC4R 2GN United Kingdom Ph/Fax: (44) 207 504 3759
Knowle Sachs & Company Inc Information suggests were taken over by Dukes & Company Securities Ltd.
C/- Suite 17, 21 Herrera Street Coner Valero Salcedo Village Makati, Metro Manila Philippines Other offices or mail addresses in Hong Kong, Cayman Islands and Switzerland.
L
Landmark Mergers and Acquisitions Inc 445 Park Avenue, NYC, NY, 10022 USA Ph: 1 (646) 530-8783 www.landmarkma.com
LGT Capital Partners (now also known to be using the name Dartmouth Financial Inc) #Please note that this company is not connected in any way and should not be confused with LGT Group Foundation Herrengasse 12 9490 Vaduz Principality of Liechtenstein Tel. 00423 235 17 87 Fax. 00423 235 12 39
Dartmouth Financial Inc. Phone: 55(21)3002-0338 Fax: 55(21)3002-0336 Email: info@br.dartmouthfinancial.com
LGT Capital Partners Av. Luiz Carlos Prestes, 180 Barra da Tijuca, Rio de Janeiro, Brazil – RJ CEP: 22775-055 Phone:55213002 0338 Fax: 5521 3002 0336
Liberty Assets Inc 3306 South Liberty St New Orleans Louisiana 70115 USA Ph: 1 504 324 1825 Fax: 1 504 324 1878 www.libertyassets.com
Liberty Asset Management One Financial Centre Boston MA 02111 USA website: libertyassetmngt.com Ph: 001.202.478.5308 Fax: 001.202.478.5309
Liberty First Financial Services, Inc Liberty First Foreign Services, Inc Liberty First Advisory Services, SA Paris 101 – 107, 5º1ª Barcelona 08029 Spain Ph: 34 93 493 5000 Fax: 34 93 493 5002 www.libertyfirst.net
Lincoln Financial Group See the Securities Securities and Exchange Commission of Thailand's media release 42/2004 Conviction on Boiler Room Case - The Brinton Group, issued 10 June 2004. 23F, 105 Tun Hwa South Road Section Two, Taipei 106 Taiwan, R.O.C. Tel: 886 2 2784 1600 Fax: 886 2 2784 1602
Lincoln Market Research 685 Market Street San Francisco CA 94105 USA Ph: 1 415 874 7832 Fax: 1 415 840 1734 www.lincolnmr.com
Link Mergers & Acquisitions 1375 e 9th Street 14th Floor Cleveland OH 44114-1724 1 216 453 2315 1 216 274 6274
Lloyds and Barclays, Inc Suite 3304, Empire State Building 1350 Fifth Avenue New York, NY 10118 USA Ph: (1) (212) 971 1315 Fax: (1) (212) 971 1327
Lowe and Lane Asset Management 10 East Doty Street, Madison, WI 53703 United States of America Phone: 1 (608) 467-5872 Fax: 1 (608) 299-3785
Taikoo Place, 979 King's Road Island East, Hong Kong Hong Kong Phone: 852 3678 9859 Fax: 852 3014 4991 www.lowelane.com
Lynx Limited Asia House 31-33 Lime St London EC3M 7HT United Kingdom 4402074794821 www.lynxcommodities.com
M
Macmar Investment Corporation (Linked to Global Options S.A) (Please note that this Company is not connected in any way, and should not be confused with the legitimate firm Macmar Investment Corporation of 2482 11th St. SW, Akron, OH 44314, USA Ph: 1 330 622 5817, which is a registered Broker-Dealer in the USA (CRD#46367).
The Madison Group 23rd Floor, M Thai Tower All Seasons Place 87 Wireless Rd Bangkok, Thailand
Magna Capital Research 702 Wheelock House 20 Pedder Street Central Hong Kong Ph: 852 6204 1939 Fax: 852 8343 7025 Email: info@magnacapitalresearch.com
The Manhattan Pacific Group Ltd The World Trade Centre Leutschenbachstrasse 95 Zurich 8050 Switzerland Ph: 41 1 308 3956 Fax: 41 1 355 3528 & 308 3960 www.manhattanpacificgroup.com
McKenzie Smith 161 Bay St. Toronto, Ontario Canada Ph: 1 416 352 0036 www.mckenzie-smith.com
Marlborough Acquisitions Inc (USA based) Calls investors who have dealt with overseas cold calling firms and offers to buy their shares at a higher price - but require payment of an upfront fee.
4600 South Ulster Street, Denver, Colorado, 80237 - 2882 USA. Telephone: +1 (303) 370 9056. Facsimile: +1 (303) 370 9056.
Mason McHale Portfolio Management 16th Floor Hing Wah Building 36 Queens Road Central Hong Kong Ph (852) 2918 8715 Fax (852) 2900 7282
Masters and Bettman 545 8 Avenue Level 25 Bank of China Tower New York, NY 1 Garden Road USA Hong Kong Ph 1 646 435 7600 Ph 852 6272 8464 Fax 1 646 435 2386 Fax 852 3015 4089 or 852 3017 8924 www.mastersbettman.com
Maxim TA International (MTA) Same contact details as Sigama Capital Management who are already on the website as known cold callers 14th Floor Kamiyyacho Mori Building 4-3-20 Toranomon Minato-ku Tokyo 105-0001 Japan
Mercantile International Securities 100 Summer Street Boston Massachusetts 02110 USA Ph: (1) (617) 507 6203 Fax: (1) (617) 507 0542 www.mercsecurities.com
Merchant Marx aka Merchant Capital Markets S.A. Rue Du Rhone, 14 1204 Geneva Switzerland Ph: 41.22.819.9474 Fax: 41.22.594.8167 www.merchantmarx.com mail@merchantmarx.com
Mercury Acquisitions Associates 10th Floor Wisma Damansara Jalan Semantan Damansara Heights 50490 Kuala Lumpar Malaysia
Meridian International Trading 27-F Tower 2 16 Harcourt Road Central Hong Kong Ph: (852) 2918 8714 Fax: (852) 2900 1077
MetroFinancials (related to this are fake regulators American Futures and Options Trading Commission and American Futures and Options Exchange Ltd) 194 William St New York NY 10038 Ph 1 888 265 5806 Ph 1 646 860 086 Fax 1 646 619 4236 www.metrofinancials.com trading@metrofinancials.com jmartin@metrofinancials.com
Meyer and Wegner Acquisitions, Mayer and Wegner Acquisitions Schwarzwaldstr 88 PLZ Stadt 60528 East Germany Ph 49 69 222 7582 Fax 49 69 2557 7562 www.mayer.wegner.com
Millenium Financial Group 23rd Floor, Tower 1, The Enterprise Centre 6766 Ayala Avenue Makati City 1200 Philippines
Millenium Futures Ltd
Miller Bosses Acquisitions Inc 4100 Lyndale Av. S Minneapolis Minnesota 55409 USA Ph: 1 612 788 2035 Fax: 1 612 788 2036
Morgan International Investment Group Inc 6 Circuit De La Foire Internationale BP 2507 L-1025 Luxembourg Ph: (352) 264-20-296 Fax: (352) 264-20-664 23, Square Edouard VII, 75000, Paris, France Ph: (33) 1 5343 9237 Fax: (33) 1 5343 9292 www.morganinternational.org
Morgan Pacific Capital Inc 138 Silom Road 10th Floor, Boonmitr Building Bangkok 10500 Thailand
Morrison Cross Financial Investments Ltd Ave Balboa – Bay Mall Suite 201 PO Box 0833-0118 Plaza Credicorp Republic of Panama Ph: (507) 265 1179 Fax: (507) 265 8069 www.morrisoncrossfinancial.com
Muller Schmidt Associates 1500 W Lake Street Minneapolis MN 55408 Ph: 1 (612) 392 290 www.mullerschmidt.com
Muller & Sons Securities Management Inc Information suggests were taken over by Price Warner Company Ltd.
Unit 114, Prince Plaza I 106 Legaspi Street Legaspi Village Makati City, Philippines Other office or mail address in Belize.
N National Mergers and Acquisitions Board 645 Griswold St Detroit MI 48226 United States Ph 1 313 228 9930 Fax 1 313 731 0379 www.nationalmaboard-gov.us
Newport Pacific Securities & Management Inc Information suggests were taken over by Gibson & Peterson Company Ltd.
Unit 404 Green Belt Mansion 106 Perea St Legaspi Village Makati City Philippines
North Pacific Mergers and Acquisitions LLC PO Box 34025 Fifth Avenue Seattle WA 98124
Norwich Asset Management (UK) Ltd 1903-B West Tower Philippine Stock Exchange Center Exchange Road, Ortigas Center Pasig City, Metro Manilla Philippines Tel: 632 687 5028 Fax: 632 631 4858
Nuventis Corporate Services Group 18F Bund Center, 222 Yanan Road East Shanghai, 200002 China Ph: 86 21 6132 3884 Fax: 86 21 6335 1336 www.nuventiscorp.com
O Oakmont Financial Mergers 130 Bellevue Ave Newport, Rhode Island 02840 USA Tel: 1(401) 608 2008 Fax: 1(401) 608 2009 www.oakmontfm.com
Offshore Commodity Futures Dealers Association (OCFDA) Rue De Congre, 12 - 14 Brussels 1000 Belgium
Offshore Futures Securities Association www.ofs-a.org
Online Classic Company 415 North Camden Drive Beverley Hills California USA 90210
Onyx Acquisitions Tower 42, 25 Old Broad Street London EC2N 1HQ UK Email: info@onyxacquisitions.com
Oppenheimer International 4 Royal Mint Court London EC3N 4HJ UK Ph: (44) 20 797 77726 Fax: (44) 20 797 77727 www.oppenheimerinternational.com
Optimum Resources International Limited 25 Westbourne Grove London United Kingdom
Claims to have offices in New York and Tokyo
Uses transfer agent: First Independent Resources Capital Limited (Incorporated in Antigua) 58 Queensway, Suite 17, London England, W2 3RW United Kingdom
Options and Futures Trade Commission www.oftc.hk
Osiris Asia Pacific also see Suspected cold callers raided in Bangkok
Level 23, CP Tower 313 Silom Road Bangrak, Bangkok 10500, Thailand Other offices or mail addresses in Hong Kong, Singapore, Malaysia and Germany.
Overseas Management Group Inc 1054-356 Centre Street Toronto, Ontario L4J 8E5 Canada Ph: 1 905 709 1899 Fax: 1 905 248 3305
P Pacific Charted Assets Graymark Building 8 Floor 30 West 36th St New York 10018 USA phone/fax 1 646 417 5206
Pan Euro Financial SA 10, Cours de Rive CP3237-CH 1211 Geneva, Switzerland Tel: (41) 22 747 7920 Fax: (41) 22 747 7923 www.paneurofinancial.com
Paradigm Resources Ltd Mansell 45556 Mansell Road Suite 625 Atlanta Georgia GA 30022 United States States of America Ph: 1 678 202 1204 Fax: 1 678 202 1205
Parker Stanford 24th Floor One Canada Place Canary Wharf London E14 5DY UK Ph: (44) 207 900 2666 Fax: (44) 207 900 2215 www.parkerstandford.com
PCA Management Trust LLC (purportedly acting as a broker for Biomaxx Systems, Inc and claiming to be located in Cyprus) 25 Aphrodite St PO Box 26025 1666 Nicosia Cyprus Ph 1 8000 881 3202 Fax 1 800 380 3395
Alternate address details at: 24 De Castrol Road Town Tortola British Virgin Islands
Pfeiffer Galland Limited Plaza Mashill Level 21 Jl. Jendral Sudirman Kav. 25 Jakata 12920, Indonesia
Phoenix Alliance International Palacio Tower Level 9 Omotesando 3-6-7 Kita Aoyama 107-0061 Tokyo Japan Ph: 813 5404 3569 Fax: 813 4496 4118 www.phoenixallianceintl.com
Phoenix International Limited 7B President Tower 971, 973 Ploenchit Road, Kwaeng Lumpini, Khet Pathumwan, Bangkok, 10330, Thailand
Pinnacle Group Limited 14001 N. Dallas Parkway Suite 1200 Dallas, TEXAS 75240 United States OF AMERICA ph 1 713 300 3961 fax 1 713 300 3962 contact@pinnaclegrouplimited.com
Premier Partners Inc 60 Wall St New York NY, 10005 Ph 1 646 530 8500 Fax 1 646 514 9455 info@premierpartnersinc.com www.premierpartnersinc.com
Prestige Group Ltd National Network Building 744 Broad Street 18th Floor Newark Jersey NJ 07102 USA Ph: 1 866 379 6091 Fax: 1 973 741 2447 www.prestigegrp.us
Price Foley York Centre, Suite 930 10235 West Little York Road Houston, Texas, 77040 USA Ph: (1) 832 201 7561 Fax: (1) 832 201 7566 www.pricefoley.com
Price Warner Company Ltd (Based in British Virgin Islands) Information suggests that Price Warner took over the operation of Muller and Sons, which took over Dukes & Company Securities Inc, which took over Knowles Sachs & Company Inc.
Prime Global Inc 55 Madison Avenue New York NY 10022 USA Ph: 1 646 365 3164 Fax: 1 646 365 3182 www.pglobalinc.com
Provident International Asset Management Lexham Services Center Lexham Gardens London W6 8JQ UK Ph: (44) 20 8485 8180 Fax: (44) 20 8485 8182 www.providentuk.com
Pryce Weston Incorporated Manila Business Center Suite 1721 Herrera Tower Herrera St. Salcedo Village, Makati City 1200, Philippines Other offices or mail addresses in Hong Kong, British Virgin Islands and US.
PT. Dolok Permai 6F Pacific Star Building Makati Avenue Makati City Philippines
R Regulatory Association Of Offshore Investment Managers www.raoim.org
Regulatory Compliance Commission
Richardson Resources Inc 81 Pedder Street Hong Kong Ph: 852 9367 8630 Fax: 852 3010 0167 www.richardsonresources.com
RJL International Ltd The Office of the Secretary of the Commonwealth, Massachusetts, USA has filed a complaint against RJL International Ltd: read about it on their website.
625 Mt. Auburn Street Cambridge, MA 02138 USA Ph: 1 617 848 8972 Fax: 1 617 848 8971 www.rjlig.com
Rosenberg Smith & Partners 2000 Steeles Avenue West Suite 200 Conord, Ontario Canada, L4K 3E9 Ph: 1 416 352 5625 Fax: 1 416 352 5702 www.rspi.ca
Rosenthal International Inc Please note that this Company is not connected, in any way, and should not be confused with Rosenthal International Limited, 1370 Broadway, New York, New York 10018, which is a registered Broker-Dealer in the USA. (CRD#11219; SEC File #8-18394) nor its parent Rosenthal & Rosenthal, Inc.
The World Trade Centre Leutschenbachstrasse 95 Zurich 050 Switzerland Ph: 41 1 355 3018, also 1 212 656 1320 Fax: 41 1 355 3017, also 1 212 253 4180
Rothstein and Ross Ltd 1 North Bridge Road High Street Center Suite 2207 Singapore 179097 Ph: 656 338 8530 Fax: 656 338 6311
Royal Acquisitions Inc 96 West Park Place Newark, Delaware 19711 USA Ph:1 302 355 0604 Fax: 1 302 355 0603 www.royalacquisitions.com
Royce Sanford (Took over from Trident International) Unit 12A05, 12A Floor, Chartered Square Building 152 North Sathorn Road, Bangrak, Bangkok 10500, Thailand
Rutherford Consultants Place Du Bourg-De-Four 1204 Geneva Switzerland Ph: (41) 22 819 9601 Fax: (41) 22 819 96 04
S Safe Harbour, Ltd 28/F Plaza, 222 Huai Hai Zhong Road Shanghai 200021 P.R. China Ph: (8621) 5383 3000 Fax: (8621) 5382 3218
Saxon & Swift Suite 7/A, Cypress Gardens Herrera Street Legaspi Village Makati City 1200 Philippines Other offices or mail addresses in Hong Kong, Vanuatu and US.
Securities Regulatory and Investment Board Kirchnertrasse 6-8 D – 60311 Frankfurt am Main Germany Ph 49 (692) 5737 8795 49 (692) 5738 5886 Fax 49 (693) 809 9144 www.srib.org
Sherman Brothers Information suggests were taken over by Crawford Peale and/or Brooks Pearson Investment Ltd. Level 23, M Thai Tower All Seasons Place 87 Wireless Road Phatumwan Bangkok Thailand
Sigama Capital Management Also see Suspected cold callers raided in Bangkok and the Securities Securities and Exchange Commission of Thailand's media release 42/2004 Conviction on Boiler Room Case - The Brinton Group, issued 10 June 2004. Level 18F One International Finance Centre 1 Harbour View Street Central Hong Kong Level 14 Kamiyacho Mori Building 4-3-20 Toranomon Minato-ku Tokyo 105-0001 140 One Pacific Place Level 14/1401 Sukhumvit Road Bangkok 10110 Thailand Level 24 Bangkok City Tower 79 Southorn Road Khwaeng Thungahamek Khet Sathorn Bangkok 10120, Thailand
Simpson Venture Limited ABC Centre 500 North Michigan Ave 300 Chicago USA www.svltd.com info@svltd.com
Smith & Henderson Associates Inc Level 21 HSBC Tower 101 Yin Cheng East Road Pudong Shanghai 200120 China Ph: 8621 2890 3167
Solitaire Management Services (Asia) Ltd 12th Floor, Lim Tee Building 6 Queens Road Central Hong Kong Ph: (62) 361 741191 (Note Indonesian phone number)
Solvay Financial S.A Boulevard du Roi Albert II 32 1030 Bruxelles Belgium Ph 32 2 8080821 Fax 32 2 4166263 www.solvayfinancial.be
Stamford Financial Limited Level 14, Hibiya Central Building 1-2-9 Nishi Shimbashi Minato-Ku Tokyo, Japan Ph: 813 5532 7235 Fax: 813 5532 7373
Stanley Cooper Assets Inc Not located at address provided: 1431 Assembly Street Columbia South Carolina 29201 USA
Stefan Borer and Associates Seefeldstrasse Mainaustrasse Zurich Ph: 41 44580 15 87 Fax: 41 44 355 37 75 www.stefanborer.com
Sterling Futures Management Ltd #06-01 The Octagon 105 Cecil Street Singapore 69534 Singapore Ph: 65 68279701 Fax: 65 68279601
Stillman Roth Information suggests associated with: Gaylord & Finch 1711 Broadway Seattle Washington USA 98122-2415 Ph: 1 866 215 9788 Fax: 1 866 841 9136 ext 6220
The Stockard Group Suite 400, 33940 Olympic Boulevard Erlanger, Kentucky 41018 USA Ph: 1 (859) 372 6612 Fax: 1 (859) 372 6613
Stonewell Finance (also linked to Blossom Hill Investments and Lakenshare) Solna Standvag 78 Stockholm Sweden Ph: 0046 8525 00210 Fax: 0046 8506 36201 www.stonewellfinance.com
The Strategic Alliance Group Also see Suspected cold callers raided in Bangkok
17th Floor, BC Sethiwan Tower 139 Pan Road Silom, Bangruk Bangkok 10500, Thailand 23rd Floor, M Thai Tower All Seasons Place 87 Wireless Road Phatumwan Bangkok 10330, Thailand
Other offices or mail addresses in Hong Kong, New Zealand and Switzerland.
Stuartt Reed Kammer (a company) Please note that this Company is not connected in any way, and should not be confused with Mr Stuartt Reed Kammer, an individual, of 175 North Harbor #2212, Chicago, IL 60601 USA, a market maker with the Chicago Board of Options Exchange (CRD#853712).
Summit M & A Inc Third Ave New York NY 10022 USA Ph 1 646 706 7540 Fax 1 646 706 7541 info@summitmainc.com
Sun International Mergers and Acquisitions US office 1661 International dr. Memphis, TN 38120-1431 USA Ph: 1 901 896-0332 Fax: 1 901 531-8469 Email: contact@us.suninternationalma.com
Japan Office 4/F East Tower Otemachi 1-5-1 Otemachi Chiyoda-Ku Tokyo 100-0004 Japan Ph: 81-3-4580-2141 Fax: 81-3-4496-4072 Email: Contact@Jp.Suninternationalma.Com Email: Inquiries@Suninternationalma.Com
SwissCash, Swiss Mutual Fund PO Box 2342 Roseau The Commonwealth of Dominica
280 Madison Avenue 912-9th Floor New York NY 10016 USA
T Tahoe Futures 1670 Broadway Denver, CO 8202 USA Fax/Ph: 1 888 822 9416 www.tahoefutures.com
Taylor Atlantic Ltd 4th Floor 124 Victoria Street London SW1 E 5LA United Kingdom Level 40 Tower 2 Petronas Twin Towers Kuala Lumpur 50088 Malaysia
TNC International Trading Inc 14 Robinson Road, #13-00, Far East Finance Building, Singapore 048545 Ph: 65 67616972 Fax: 65 68264299 admin@tncintl.com
Tomas Linz Transfer Agency (Associated with Irving Horowitz and often used as a transfer agent in connection with Irving Horovitz) Parkring 10 or Liebenberggasse 7 1010 Vienna Austria Ph: 43 1 994606445 Fax: 43 1 9946 06446 or +338 00741808 www.tomaslinzta.com Email: info@tomaslinzta.com
Tradex Corporation Address Unit 811, Tower 1 Junefield Plaza No 6 Xuanwumenwai St Xuanwu District Bejing China 100052 Ph 861064108431 Fax 861064108432 www.tradecorporation.com
Transglobal Consultants Limited (Allegedly ceased operating in Indonesia on 24 August 2001)
Pacific Place Two Building Suite 1707, 17th Floor 142 Sukhumvit Road, Klongtoey Bangkok 10110, Thailand Also addresses in Hong Kong and London. Wisma Bank Dharmala 19th fl, Jl. Jend. Sudirman Kav.28, Jakata 12920 Indonesia
Triasian Pacific Trading International Brantwood Center 11601 Wilshire Boulevard Los Angeles CA USA Ph: 1 802 609 5384 Fax: 1 253 550 5477 Level 23 CP Tower, 313 Silom Road Bangkok 10500 Thailand Ph: 662 231 8032
Trident International (Took over Worldwide Investors Management Inc, see later details)
Suite 2207, 88 Corporate Center 141 Valero Street, Salcedo Village Makati City, 1200 Philippines Return mailing address in Singapore
Tri-West Invest Club 160 North Front Street, PO Box 354, Belize City, Belize
U United Arab Emirates Commodities Futures Board www.uaecfb.com
United Capital Management Inc (Information suggests Gibson Petersen has taken over United Capital Management Inc client accounts) 1680 Ramon Magsaysay Center Roxas Boulevard Manila, Philippines Other offices or mail addresses Hong Kong, London and US
Universal Ventures 300 Metros Norte 100 Metros Oests Oficina No 10 Escazu, San Jose Costa Rica Ph: 506 204 7761 Fax: 1 312 873 4537
Uni World Global Management Limited Omar Hodge Building Wickams Cay Road Town Tortola British Virgin Islands
US Equities Registry Central Office 500 Woodward Avenue, Detroit, MI 48226 Ph: 1 (313) 279 0716 Fax: 1 (313) 216 1709 International Department: 1 (866) 742-9814 enforcement@usequitiesregistry.us
US Securities Investigative Committee
US Trading Associates Co Ltd 14th Floor, 253 Soi Sukhumvit 21 Bangkok 10110 Thailand. Ph. (662)204 0900 Fax. (662)204 0880/0881
U.S. Stock Regulators 101 South 8th Street, Minneapolis, MN 55402 United States of America Contact Numbers Phone: 1-612-392-3905 Fax: 1-612-465-6801 Email: legislation@ussr-mn.us
V
Vanderberg Asset Management Zekeringstraar 17 1014BM Amsterdam The Netherlands
Vantage International Management Inc (Information suggests taken over by Crawford Peale, Inc)
Level 23, M Thai Tower All Seasons Place 87 Wireless Road Phatumwan Bangkok Thailand Times Square Building, 12th Floor Unit 12-04B, 246 Sukhumvit Rd Klongtoey, Bangkok, Thailand Unico House Building Room 15-G 15th Floor, 29/1 Soi Langsuan Ploenchit Rd Patumwan Bangkok 10330, Thailand
Other offices or mail addresses in Singapore.
Vitol Capital Management Ltd 157 Chambers Street # 10 New York NY 10007-351 Ph /fax 1 646 224 8359 Toll free 1 888 487 9306 www.vitolcapital.com
Vitol Capital Management Ltd, Vitol Capital
Please note that this Company is not connected in any way and should not be confused with any of the following firms in the Vitol Group of companies, all of which are registered non-clearing members of the New York Mercantile Exchange in the United States of America:
Vitol Capital Management Ltd. 1100 Louisiana Street, Suite 5500 Houston, Texas 77002
Vitol Refining Capital Management Ltd. 1100 Louisiana Street, Suite 5500 Houston, Texas 77002
Vitol S.A. Boulevard du Pont D’Arve 28 Ch 1205 Geneva P.O. Box 384 1211 Geneva 4 Switzerland
W
Walden International *Please note that this company is not connected in any way and should not be confused with the legitimate company Walden International Singapore Pte Ltd of Great World City West Tower 14-07 Singapore 237994 admin@waldenintl.com and info@waldenintl.com Ph: 65 6272 3250 which is licensed by the Monetary Authority of Singapore
Great World City West Tower 14-07 Singapore 237994 admin@waldenint.com and info@waldenint.com Ph: 65 6329 6401 Fax: 65 6329 9699
Wall Street Direct European Headquarters Via Torino 5 Milano Italy Ph: (39) 02 3600 6323 Fax (39) 02 3600 6324 www.wallstreetdirect.net info@wallstreetdirect.net
Warren and Baker Otemachi First Square East Tower 4F 1-5-1 Otemachi Chiyoda-ku Tokyo 100-0004 Japan Ph: (81) 3 5219 1531 Fax: (81) 3 5219 1201 www:warrenandbaker.com
Warrick Management Group Ltd 301 4-21 Nonhyun-dong Gangnam-gu Seoul 135-010 Korea Ph 822 3985916 Fax 8222 3095917
Waterhouse Holdings Inc (and Chicago Accounting) 50 Main Street White Plains New York 10606 USA Ph: 1 347 287 6999 Fax: 1 347 287 6999 admin@whescrow services@whescrow www.whescrow.com
Webster Acquisitions 29th Floor, One Canada Square Canary Wharf, London E14 5DY UK
#Wellington International See also Thai SEC release "SEC Thailand Filed Criminal Complaint against 5 Individuals for Conducting Unlicensed Securities Businesses under the Name of the Wellington International" 140 One Pacific Place Suite 1401, Level 14 Sukhumvit Rd Bangkok, 10110 Thailand Tel 662-653-5010 Fax 662-653-5129
#Please note that this company is not connected in any way and should not be confused with Wellington International Management Company Pte Ltd of Level 61, MLC Centre, 19-29 Martin Place, Sydney, NSW which is a registered securities dealer (ASIC licence number 187915), nor with its parent company Wellington Management Company, LLP.
Wellington Trading Group Torre La Sabana – Sabana Norte San Jose Costa Rica Ph 506 231 4020
Western and Gulf Finance Corporation 28F Soundwill Plaza 38 Russel Street Causeway Bay Hong Kong Ph: 852 9457 1953 Fax: 852 3104 7705
Western Capital Inc. Empire State Building 350 5th Avenue New York NY 10118 Ph: 1 866 221 4030 Fax: 1 646 619 4224 www.westerncap.com info@westerncap.com
Western Capital Trading Level 21, 105-0022 Shiodome Shibarikyu Building 1-2-3 Kaigan Shiodome Minato-Ku Tokyo Japan Ph 813 5403 6387 Fax 813 4496 4168 information@westerncapitaltrading.com www.westerncapitaltrading.com
Westwood Management Limited Suite 1214 Medical Plaza Dela Rosa corner Amorsolo Streets Legaspi Village Makati City Philippines Room No 14F, 14th Floor Vanissa Building, 29 Soi Chidlom Ploenchit Road, Lumpini Pathumwan Bangkok 10330 Thailand
Whitman Lloyds and Associates West Madison St Chicago Illinois 606022-4270 USA Ph: 1 312 753 7824 Fax: 1 312 803 9671 Email: contact@us.whitmanlloyds.com Email: contact@ch.whitmanlloyds.com
Winston Partners and Co 600 Superior East Avenue Cleveland Ohio 44114 United States Ph 216 453 0293 Fax 216 274 9983 www.winstonpartnersco.com
The Williams Group 29 Harley Street London England W1G 9QR UK Ph: 44 207 399 7785 Fax: 44 870 135 8214 www.williamsoffshore.com
Wolf & Heissner Associates Mainzer LandstraBe 47 60329 FRANKFURT Germany
Worldleader Investment Insider/Worldleader Investment Ltd 11th Floor Dah Sing Life Building 99 Des Voeux Road Central Hong Kong Suite 1217 Cityland 12 Tower 1 H V Dela Costa Street Salcedo Village Philippines Ph: 632 840 3939 28f Tower 2, The Enterprise Centre 6766 Ayala AVENUE COR. Paseo de Roxas Makati City, Philippines 1200 Ph: 632 8403939 Fax: 632 8403942 Pasea Estate P.O.Box 3149 Road Town, Tortola British Virgin Islands Ph: 284 4948308 Fax: 284 4943654
Worldwide Investment Management Corporation Various office or mail address in the Philippines.
Worldwide Investors Management Inc (Taken over by Trident International)
Suite 305 Valero Plaza 124 Valero Street, Salcedo Village Makati City, 1227 Philippines
Worldwide Services Inc 322 –2906 West Broadway Ave Suite 307 Vancouver, British Columbia V6J 1M7 (or V6K 2G8) Canada Ph: 1 604 417 3243 Fax: 1 604 608 3885 www.worldwsinc.com
X The Xenon Group 879 or 979 Kings Road Island East Hong Kong Ph 852 62728464 and 852 60545001 info@thexenoncompany.com www.thexenoncompany.com
Y York Commodities Please note that this Company is not connected in any way, and should not be confused with the firm of York Commodities Inc of 120 Marquis, Box 126, York, NE 68467, USA, Tel: 402 362 7447 (NFA ID: 0183597), which is a registered Introducing Broker in the USA.
99 Catherine Road Scarsdale United States Ph 212 202 7927
Young Lee Associates Kuang Fu South Road Tapai 100 Taiwan
Atlantic Avenue 745 4th Floor Boston MA 2210 USA Ph 886 2 8758 2824 Fax 886 2 8758 2825 www.youngleeassociates.com Email: Bobby.white@youngleeassociates.com Email: contact@us.youngleeassociates.com Email: client-enquiry@youngleeassociates.com
Which companies are on the list ? We are publishing the names of those overseas businesses that have made unsolicited calls to Australians and do not hold a current licence from us. This list includes phoney international 'regulators'.
We have listed all the businesses that have come to our attention in recent times. However, this is not a comprehensive list and new names are coming to our attention all the time. We will add to the list as we hear of new names.
When we hear of a new name we check whether they are licensed by ASIC. Without an Australian licence, they operate unlawfully. We contact them, tell them to stop and report them to the relevant overseas authorities.
What if a name is not on the list ? If you are called by an overseas broker and they are not on our list you should still check whether they are licensed on our professional registers, and if they are not, hang up.
Fake international regulators These names are also included in the A-Z list. The made-up entities about which ASIC is aware include:
American Futures and Options Exchange American Futures and Options Trading Commission (AFOTC) Bureau of Foreign Security Affairs Foreign Shareholders Protection Department Forensic Financial Fraud Investigators International Compliance Commission International Equity Commission International Exchange Regulatory Commission International Regulatory Commission International Securities Tax Commission International Shareholder Agency National Mergers and Acquisitions Board National Shareholder Protection Agency Offshore Commodity Futures Dealers Association (OCFDA) Offshore Futures Securities Association Options and Futures Trade Commission Regulatory Compliance Commission Regulatory Association Of Offshore Investment Managers Securities Regulatory and Investment Board US Securities Investigative Committee U.S. Stock Regulators No genuine government regulators exist under these names. To check if an overseas share market regulator really exists, or to check overseas scam warnings, see the members list of the International Organisation of Securities Commissions
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