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A-Z list of all FMA warnings

For warnings issued before May 2011, please, refer to the archive

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

AB Financial Group

Name of company:  AB Financial Group
Website: www.abfinancialservicesgroup.com
Address: 440 South Laselle Street, Suite 3300, Chicago, IL 60605, USA
Phone: +1 312 283 0869
Fax: +1 866 277 9351
Emails: info@abfinancialservicesgroup.com, info@nasdaqshareholdersupport.org

ACI

Name of company:  ACI
Website: www.acifxgold.com
Reason for warning: The FMA is concerned about claims on the website www.acifxgold.com which imply the business is regulated in New Zealand and associated with Apex Capital Investments Limited, the former name of a New Zealand incorporated company.  Having engaged with the New Zealand company we understand that there is in fact no connection between the website www.acifxgold.com and the company, nor are the activities of the website subject to regulation in New Zealand.
Date published: 15 July 2016

Advisorcorp Limited 

Name of company: Advisorcorp Limited 
Website: www.advisorcorp.com.au
Address: 602 Yaldhurst Road Rd 6, Christchurch 7676, New Zealand
Date published: July 2012

Alliance Group Tokyo

Name of company: Alliance Group Tokyo
Website: http://alliancegrouptokyo.com/
Reason for warning: The FMA notes a recent warning by the Australian Securities and Investment Commission against conducting business with Alliance Group Tokyo
Additional information: The warning is available on ASIC’s Money Smart website.
Date published: July 2015

American Financial Group

Name of company: American Financial Group
Associated persons: Stephen O. Smith, Brandon Robertson, James Lander
Website: www.amfigroup.com
Address: Ten G Street, NE 6th Floor, Washington DC 20002, USA
Phone: 852 1904 4132 also used is 1 800 2020 227
Email: info@amfigroup.com
Date published: September 2011

Ajay Kumar Vallabhaneni

Name of person: Ajay Kumar Vallabhaneni (also known as Ajay Kumar)
Reason for warning:  Mr Vallabhaneni is no longer authorised to provide financial adviser services. The FMA has concerns that Mr Vallabhaneni declined to repay the value of an investor's portfolio when requested.
Date published:  25 February 2013
Other information: Please read the official warning notice.

AIO Global Limited

Name of company: AIO Global Limited
Website: www.aiofx.com
Reason for warning: The FMA is concerned that AIO Global Limited is claiming to be registered on the financial service providers register when this is not the case.
Date published: August 2015

Ares FCL Services Limited trading as Ares Forex

Name of company: Ares FCL Services Limited trading as Ares Forex
Website: www.aresforex.com
Reason for warning: The FMA is concerned about claims on the website aresforex.com which imply that the company is approved or licensed by the New Zealand Government and able to trade derivatives. Ares FCL Services Limited is not a licensed derivatives issuer and we recommend consumers exercise caution when dealing with the company.
Date published: June 2016

B

Banc de Binary Limited

Name of company: Banc de Binary Limited
Website: https://bancdebinary.com/
Reason for warning: The Financial Markets Authority notes recent warnings by the Australian Securities and Investment Commission in relation to Banc de Binary Limited.
Date published: January 2016

Baumann Group

Name of company: Baumann Group
Website: www.baumanngroup.com
Address: Suite 2302, 20 Adelaide Street East, Toronto, Ontario MC5 2TG, Canada
Reason for warning: The FMA has received a complaint about Baumann Group from a New Zealand resident who advised Baumann Group is offering New Zealanders the ability to purchase US stocks at a discount. Baumann Group is not registered to provide financial services in New Zealand.
Date published: 11 August 2016

Belfor FX (WGM Group Limited formerly Belfor Capital Limited)

Name of company: Trading as Belfor FX (WGM Group Limited formerly Belfor Capital Limited)
Website: www.belforfx.com
Address: Level 27, 188 Quay Street, Auckland 1010, New Zealand
Reason for warning: The FMA has received complaints from overseas-based clients of Belfor FX about Belfor FX’s failure to repay clients in accordance with their instructions. We note that the company has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
Date published: February 2016

Bernard Whimp

Name of person: Bernard Whimp
Reason for warning:  Offers from Mr Bernard Whimp may not be in your best interests.
Date published:  2 May 2011
Other information: Please read the official warning notice.

Binary Selections

Name of company: Binary Selections
Website: http://www.binaryselections.com
Reason for warning:  The FMA recommends exercising caution before dealing with Binary Selections. We understand Binary Selections has no association with Forex Limited. Binary Selections do not hold a derivatives issuer licence and is not registered to provide financial services in New Zealand. 
Date published: 7 December 2016

BioMedReports

Name of company: BioMedReports
Associated persons: M.E. Garza
Website: www.biomedreports.com
Address: C/-M. Media, 1201 W. 5th Street, Suite F-105, Los Angeles CA 90017, USA
Emails: support@biomedreports.com, report@biomedreports.com
Date published: June 2013

BO Technologies Limited

Name of company: BO Technologies Limited, trading as Option Financial Markets or Option FM
Website: https://option.fm/
Associated business: Artemis Technologies Limited
Reason for warning: The Financial Markets Authority notes recent warnings by the Australian Securities and Investment CommissionHong Kong Securities and Futures Commission and the Ontario Securities Commission in relation to B.O. Technologies Limited trading as Option Financial Markets (Option FM).
Date published: January 2016

www.brgfx.com

Name of company: brgfx.com
Website: www.brgfx.com
Reason for warning: The FMA is concerned that the website www.brgfx.com claims to be regulated in New Zealand when this is not the case.
Date published: October 2015

Bureau of Financial Trading

Name of company: Bureau of Financial Trading
Associated person: James Wilson
Associated entity: Cover Capital Partners
Website: www.boft.us
Address: 1775 K Street Northwest, Washington, District of Columbia, USA 20036
Reason for warning: Offering financial services in NZ without appropriate registration and have false advertising on website.
Phone: +1 202 459 0965
Fax: +1 202 478 2969
Email: james.wilson@gov.boft.us
Date published: September 2013

C

Capital Market Investments Limited

Name of company: Capital Market Investments Limited
Websites: http://www.noafx.com and http://www.cmigroup.co.nz
Addresses: Level 10-3, SAP Tower, 151 Queen Street, Auckland 1010, New Zealand and Level 1, 4 Bond Street, Wellington 6011, New Zealand.
Reason for warning: The FMA is concerned that on the website http://www.noafx Capital Market Investments Limited is claiming to be registered in New Zealand as a financial service provider and also a member of a disputes resolution scheme when in fact it is neither. The company is not operating under the strict licensing and regulation requirements of New Zealand, as claimed.
Date published: 23 February 2016

Capital One Forex Limited

Name of company: Capital One Forex Limited
Associated people: Samir Oglah Ali Beool; David Telyo Romano
Website: www.capitaloneforex.com
Address: 17b Farnham Street, Suite 6096, Parnell, Auckland, 1052
Reason for warning: The FMA is concerned that Capital One continues to solicit client money through its website despite failing to respond to a request for information.
Additional information: Capital One was deregistered from the FSPR with effect from 30 January 2014.
Date published: May 2015

Capital Alliance Limited

Name of company: Capital Alliance Limited
Website: www.capallltd.com
Address: Tower Two, Times Square, Causeway Bay, Hong Kong, China 200120
Reason for warning: Offering Financial Services in New Zealand without appropriate Registration.
Phone: +852 3050 9031
Emails: william.moore@capallltd.com
Date published: November 2013

Carlton Church

Name of company: Carlton Church
Website: www.carlton-church.net
Reason for warning: The FMA has received reports that Carlton Church has been cold calling New Zealand residents offering the chance to purchase US listed equities.  Carlton Church is not registered to provide financial services in New Zealand.
Date published: 27 July 2016

Century Group M & A

Name of company: Century Group M & A
Associated person: Eric Cairns
Address: 12604 Pacific Street, Omaha - NE -68154, USA
Date published: July 2004

Century Savings and Trust Ltd

Name of company: Century Savings and Trust Ltd /Century Bancorp Limited (formerly)
Website: www.cenbancorp.net/
Address: 188 Quay Street, Auckland 1010, New Zealand
Phone: (64) 9 363 2918
Email: info@cenbancorp.net
Date published: July 2012

CMS Trader 

Name of company: CMS Trader
Website: http://www.cmstrader.com/
Associated person: Steven David Hutton
Associated businesses: Pandorx Ventures Limited and CMS Ventures Limited
Reason for warning: CMS Trader, Pandorx Ventures Limited, CMS Ventures Limited, and Steven David Hutton are not registered in New Zealand to offer financial services in or from New Zealand. If you have invested with CMS Trader or had contact with parties connected to it, FMA would like to hear from you. Please contact our helpline on 0800 434 567.
Additional information: The Financial Markets Authority notes recent warnings by the Ontario Securities Commission and the Financial Conduct Authority in relation to CMS Trader.
FMA has general information about overseas brokers and cold calling scams available here
Date published:  17 October 2016

Commodities Futures Trading Authority Ltd

Name of company: Commodities Futures Trading Authority Ltd
Associated person: Christopher Lopez
Website: www.cftaltd.com
Address: 237 Tenth Avenue, New York, NY 10018, USA
Email: info@cftaltd.com
Date published: September 2011

Corporate Enterprises PTY Limited

Name of company: Corporate Enterprises PTY Limited
Website: www.optiongiants.com and www.ogmvp.info
Address: 68 Russell Street, Westport, 7825 New Zealand
Reason for warning: The Financial Markets Authority notes that Canada’s regulator, the Financial and Consumer Affairs Authority (Government of Saskatchewan) has issued a Notice of Application to Extend a Temporary Order in which Options Rider and Option One (Aust) Pty Ltd shall cease trading in securities in Sasktachewan, cease acquiring securities for and behalf of residents of Saskatchewan and cease giving advice respecting securities in Saskatchewan.
We note that the director of Option One (Aust) Pty Limited is the director of Corporate Enterprises PTY Limited, trading as Option Giants, about whom we have received reports of client funds being withheld. We also refer to our warning published about Options Rider in October 2015.
Date published:  7 October 2016

Cover Capital Partners

Name of company: Cover Capital Partners
Associated persons: Preston Murphy, Simon Rogers
Associated entity: Bureau of Financial Trading
Website: www.covercp.com
Address: 1722 John F Kennedy Boulevard, Philadelphia, PA 19103, USA
Reason for warning: Offering financial services in NZ without appropriate registration and have false advertising on website.
Phone: +1 215 458 1025
Fax: +1 215 475 3999
Email: contact@covercp.com
Date published: September 2013

Craigs Investment Partners Limited

Name of company: Craigs Investment Partners Limited (Craigs)
Address: 158 Cameron Road, Tauranga, 3171, New Zealand
Reason for warning: Under Section 22 of the AML /CFT Act Craigs failed to conduct enhanced due diligence on a high risk client
Date published: 3 May 2016

CTM Group Limited (CTM)

Name of company: CTM Group Limited (CTM)
Associated person: Mr Mokhtarian
Website: www.capitaltrustmarkets.com
Address:  41 Shortland Street, Plaza Level, Auckland, 1010
Reason for warning: The FMA has received complaints from overseas-based customers of CTM about CTM’s failure to repay clients in accordance with their instructions.
Additional information: CTM was deregistered from the FSPR on 15 May 2015.
Date published: May 2015

D 

DCW Limited

Name of company: DCW Limited
Associated person: Justin Lane
Website: www.dcwlimited.com
Address: Level 27, PWC Tower, 188 Quay Street, Auckland 1010, New Zealand
Reason for warning: False/misleading advertising
Phone: 0800-447-812
Email: Dcw@dcwlimited.com, Info@dcwlimited.com, Cs@dcwlimited.com, Sales@dcwlimited.com
Date published: December 2013

Department of Foreign Investment Control

Name of company: Department of Foreign Investment Control
Website: www.gov.dfic.us, www.dfic.us
Address: 1048 12th Street Northwest, Washington DC, 20005, USA
Reason for warning: Entity does not have registration or authorisation from FMA to offer financial services in New Zealand; and warnings issued by other regulators
Phone: 001 202 446 0940
Email: inquiries@gov.dfic.us, compliance@gov.dfic.us
Date published: November 2013

Department of Securities Trading

Name of company: Department of Securities Trading
Address: 745 19th Street Northwest, Washington, DC 20431, USA
Phone: +1 202 600 4504
Fax: +1 202 403 3957
Email: robert.young@depst.us
Date published: August 2012

DGM Service Markets Limited

Name of company: DGM Service Markets Limited
Website: www.dgmfx.com
Reason for warning: The FMA is concerned that the website of DGM Service Markets Limited, www.dgmfx.com, claims that the company is a FSP registered futures agent and entitled to hold client funds. We note that DGM Service Markets Limited was deregistered from the Financial Service Providers Register on 7 November 2014 and the company is not registered to provide financial services in New Zealand.
Date published: March 2016

Diversified Private Capital Group

Name of company: Diversified Private Capital Group
Website: www.dpcapitalgroup.com
Address: 277 Park Avenue, New York, NY 10172, USA; 33 Lockhart Road, Wanchai, Hong Kong
Phone: +1 212 214 0939
Email: info@dpcapitalgroup.com
Date published: July 2013

Donaldson and Turner

Name of company: Donaldson and Turner
Website: www.donaldsonandturner.com
Address: 30N. La Salle Street, #2800A, Chicago, IL 60602-3349, USA
Phone: +1 312 957 6007
Fax: +1 312 275 7666
Email: info@donaldsonandturner.com
Date published: May 2011

E

1st Equity Group Limited

Name of company: 1st Equity Group Limited
Associated person: Gier Holstad
Website: www.1stequitygroup.com/
Address: Coconut Drive/Hurricane Way, San Pedro, Ambergris Caye, Belize, Central America
Reason for warning: False/misleading advertising
Phone: 0034 6605 64139, +(501) 226 4772, +(501) 625 6551
Emails: post@userbancorp.com, info@1stequitygroup.com, account@1stequitygroup.com, formation@1stequitygroup.com, card@1stequitygroup.com, kyc@1stequitygroup.com
Date published: December 2013

E1 Asset Management, Inc.

Name of company: E1 Asset Management, Inc.
Website: www.e1am.com
Address: 44 Wall Street, 9th Floor, New York, NY 10005, USA
Reason for warning: E1 Asset Management has been making unsolicited contact with NZ residents via email and telephone, offering share broking and financial adviser services. It is not registered or authorised in NZ to offer these services. Financial markets regulators in the UK, Netherlands and Gibraltar have also issued warnings about this business.
Date published: May 2013

Eco Investments Group

Name of company: Eco Investments Group
Website:  www.ecoinvestmentgroup.com, www.ecovexcoinvestmentgroup.com
Reason for warning:  The company is not registered or licensed to provide financial services in New Zealand.
Date published:  27 February 2015
Other information: Please read the official warning notice.

ECN Markets

Name of company: Suisse Limited trading as ECN Markets
Website: http://www.ecnmarkets.com/
Address: #25 Mason Complex, Stoney Ground Road, The Valley, PO Box 193, Anguilla
Reason for warning: The FMA has received two complaints about ECN Markets from overseas-based residents. They complained that there is misleading information on ECN Markets website about the extent to which ECN Markets is regulated in New Zealand. ECN Markets is not registered to provide financial services in New Zealand.
Date published: March 2016

EquiAsia Group Limited

Name of company: EquiAsia Group Limited
Associated persons: Stephen Bench, K Sharpe, W Harris, Charles Anthony, Richard Steller
Associated entities: Working in conjunction with Janco Lazard Transfer Company and Weiss Rifkin & Partners
Website: www.equiasiagroup.net
Address: 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
Emails: tokyo@equiasiagroup.net, kualalumpur@equiasiagroup.net, shanghai@equiasiagroup.net
Date published: June 2008 (Updated November 2009 and May 2011)

Ethos Capital Limited

Name of company: Ethos Capital Limited (NZ company number: 3957598) 
Website: www.fxethos.com
Address: 221A Dominion Road, Auckland 1024, New Zealand; Level 18, ASB Bank Centre, 135 Albert Street, Auckland, New Zealand
Reason for warning: In liquidation
Email: support@fxethos.com
Date published: August 2013

Evans and Stern Corporation

Name of company: Evans and Stern Corporation
Associated person: Kevin Lomax
Website: www.evansandstern.com
Email: info@evannsandstern.com

Exo Capital Markets Limited trading as Trade 12

Name of company: Exo Capital Markets Limited trading as Trade 12
Website: https://www.trade12.com/
Address: Ajetlake Road, Majuro, Marshall Islands
Reason for warning: The FMA has received reports that Exo Capital Markets Limited, trading as Trade12, has cold called New Zealand residents offering trading accounts.  The company is not registered on the FSPR and therefore they are not allowed to offer financial services in New Zealand.  We recommend exercising caution when dealing with this company. Earlier the FMA noted a warning by Italy’s regulator, Commissione Nazionale per le Societa la Borsa (CONSOB).
Date published:  09 November 2016

F

Fidelis International Trading Limited

Name of company: Fidelis International Trading Limited
Website: http://www.fidelisinternationaltrading.com
Address: A82 Symonds St, Auckland Central, Auckland 1010, New Zealand
Reason for warning: The FMA has received complaints from overseas-based customers of Fidelis International Trading Limited about Fidelis’ failure to repay clients in accordance with their instructions. Fidelis International Trading Limited is not registered to provide financial services in New Zealand.
Date published: February 2016

Financial Marketing

Name of company: Financial Marketing
Website: www.fusionfinancialmarketing.com
Address: 35/F Central Plaza, 18 Harbour Road, Wanchai, Hong Kong
Phone: +852 3051 9888/ 852 3973 3983
Fax: +852 3006 4252
Email: info@fusionfinancialmarketing.com

First National Innovation Brokers Limited

Name of company: First National Innovation Brokers Limited
Associated person: Allen Dodson
Website: www.firstnationalib.com
Address: FNIB Plaza Level, 41 Shortland Street, Auckland 1010, New Zealand; 250 Dominion Road, Tuakau 2121, New Zealand; 10/f Miramar Tower, 132 Nathan Road, Tsim Sha Tsui, Kowloon 852, Hong Kong
Phone: 0064 9 889 4018
Email: Adodson@firstnationalib.com
Date published: November 2013

Florin Investment Limited

Name of company: Florin Investment Limited
Website: www.floringlobal.com and www.florininvestmentlimited.com
Reason for warning: The FMA has received three complaints about Florin Investment Limited cold calling NZ residents, and that investors are unable to access the funds they have invested in Florin Investment Limited. Florin Investment Limited is not registered on the FSPR and is therefore not allowed to offer financial services in NZ.
Date published: 29 September 2016

FM Trader

Name of company: FM Trader
Website: http://fmtrader.com/60seconds/
Reason for warning: The FMA understands FM Trader has been cold calling New Zealand residents without being a registered New Zealand company or registered on the Financial Services Providers Register. We also note that The Australian Securities and Investment Commission have posted a warning about this business: https://www.moneysmart.gov.au
Date published: June 2016

FMO Services LP

Name of company: FMO Services LP
Website: www.fmoservices.com
Address: 2F/7A Wellesley St West Auckland Central Auckland 1010, New Zealand
Reason for warning: Un-registered overseas brokers & False/misleading advertising.
Phone: 400 880 0266, 0064-210-562853
Email: info@fmoservices.com
Date published: December 2013

Forex Trend Limited

Name of company: Forex Trend Limited
Associated person: Manlai Zhang
Website: www.fx-trend.com
Address: Level 10, 21 Queen Street, Auckland, 1010, New Zealand
Reason for warning: The company is currently unable to meet its obligations to customers and intends to appoint a liquidator.
Date published: May 2015
Other information: Please read the official warning notice

Fund Access Limited

Name of company: Fund Access Limited
Address: 27/F E-Trade Plaza, Lee Chung Street, Chai Wai, Hong Kong
Website: www.fundaccessltd.com
Reason for warning: The FMA is concerned that Fund Access Limited has failed to respond to our requests for details of their business activities, following complaints from the public. Fund Access Limited is not registered to provide financial services in New Zealand.
Date published: November 2015

Fusion Financial Marketing

Name of company: Fusion Financial Marketing
Website: www.fusionfinancialmarketing.com
Address: 35/F Central Plaza, 18 Harbour Road, Wanchai, Hong Kong
Phone: +852 3051 9888/ 852 3973 3983
Fax: +852 3006 4252
Email: info@fusionfinancialmarketing.com

FXCitizen (Universe Citizen Limited)

Name of company: FXCitizen (Universe Citizen Limited)
Associated persons: Tan Wee Hock, Ethan Tan
Website: www.fxcitizen.com
Address: Suite 3372, 24b Moorefield Road, Johnsonville Wellington 6037, New Zealand; Flat A, 15/F,  Hillier Commercial Building, 65-67 Bonham Strand East, Sheung Wan, Hong Kong
Reason for warning: No place of business in NZ, using false and misleading advertising
Phone: +60166780251
Emails: finance@fxcitizen.com, account@fxcitizen.com, finance@fxcitizen.com, sales@fxcitizen.com
Date published: December 2013

FX Promax Limited

Name of company: FX Promax Limited
Website:  www.FXpromaxltd.com
Address:  350 Queens Street, Auckland, New Zealand.
Reason for warning:  The company is not registered on the New Zealand Companies Register and is not a registered financial service provider.
Date published:  22 July 2013
Other information: Please read the official warning notice.

FX Unitied 

Name of Business: United Global Holdings Limited, trading as FX United.
Website: www.fxunited.com and www.fxunitedpowerinternational.com
Date Published: 4 May 2016 
Additional Information: The FMA does not confirm legitimacy or endorse any entity in this manner. We recommend consumers exercise caution when dealing with any business claiming to be endorsed by the FMA.

G

Galleass Capital NZ Limited

Name of company: Galleass Capital NZ Limited (New Zealand company number: 3877876)
Associated person
s: Eduard Kovalets, Anton Tananaev, Stanislav Novikov
Website:
www.galleass.com
Reason for warning:
Persons offering financial services in NZ without appropriate registration or authorisation from FMA and false/misleading advertising
Email
s: support@galleass.com, sn@galleass.com
Date published:
August 2014

General Equity

Name of company: General Equity (previously named General Equity Building Society)
Address:  Level 4, General Equity House, 17 Albert Street, Auckland 1010, New Zealand.
Reason for warning:  Misleading and deceptive statements.
Date published:  29 September 2014
Other information: Please read the official warning notice

Grandegoldens Pty Limited

Name of company: Grandegoldens Pty Limited
Associated person: Dave Stone
Associated company: Sole shareholder is a Hong Kong company, Luxuriant Empire Limited
Website: www.grandegoldens.com
Address:  369, Queen Street Auckland Central Auckland
Reason for warning: The FMA is concerned that Grandegoldens continues to solicit client money through its website despite its recent deregistration, and about the false and misleading aspects of its website.
Additional information: Grandegoldens was deregistered from the FSPR with effect from 16 May 2015.
Date published: May 2015

Greenberg International Law and Tax Advisory

Name of company: Greenberg International Law and Tax Advisory
Website: www.greenberglawandtax.com 
Address: Roppongi Hills Mori Tower, 6-10-1, Roppongi, Minato, Tokyo Japan
Reason for warning: The Financial Markets Authority notes warnings by the U.S. Securities and Exchange Commission and Hong Kong Securities and Futures Commission that Greenberg International Law & Tax is an unregistered or unlicensed entity. In addition the Financial Services and Markets Authority of Belgium “strongly advises against” responding to any offer of services made by Greenberg International Law & Tax Advisory or transferring money to any account number it might mention. 
Date published: 23 September 2016

Green Gardens Finance Trust Limited

Name of company: Green Gardens Finance Trust Limited
Name of person: Hsin-yun Li, Director
Address: Level 10, 175 Queen Street Auckland Central, Auckland 1010
Website: http://ggfinance.co.nz
Reason for warning: The FMA has issued a stop order against Green Gardens Finance Trust Limited and warns the public to be wary of depositing money or dealing with this company.
Date published: 27 July 2015

H

Halcyon Offshore Asset Management

Name of company: Halcyon Offshore Asset Management
Associated person: Kenneth Wong
Website: www.hoamhk.com
Address: 13/C-E Millennium City 5, 418 Kwun Tong Road, Hong Kong
Phone: 81757833, +61399980427
Date published: February 2013
Other information: Please note, this is not: Halcyon Offshore Asset Management LLC https://www.halcyonllc.com/halcyon/web/me.get?web.home

Hangsiu Group Limited

Name of company: Hangsiu Group Limited
Website: www.hangsiugroup.com

Reason for warning:
The FMA is concerned that the website of Hangsiu Group Limited claims that the company is authorised and regulated by the FMA and can guarantee security of customers funds.  We note that Hangsiu Group Limited was deregistered from the Financial Service Providers Register on 9 April 2016 and the company is not registered to provide financial services in New Zealand.
Date published: 26 April 2016

Horizon Financial Management

Name of company: Horizon Financial Management
Associated person: John Carter
Website: www.horizonfinancialmgmt.com
Phone: 4420 3455 5001
Fax: 4420 3355 4111
Email: info@horizonfinancialmgmt.com
Date published: September 2011

I

IB Capital FX(NZ) LLP

Name of company: IB Capital FX(NZ) LLP
Website: www.ibcaptial.co
Address: Ibcap Office, level 5, 22 The Terrace, Wellington, 6011, New Zealand
Reason for warning: This entity was registered on the Financial Service Providers Register but has been de-registered as it did not have a place of business in New Zealand.
Date published: November 2012

IBC Capital Limited

Name of company: IBC Capital Limited
Website: www.ibcfx.com
Address: C/o Acura Administration, 20-22 Munroe Street, Napier, 4110, New Zealand
Phone: +44 20 351 40207
Emails: support@ibcfx.com, dealing@ibcfx.com
Date published: August 2013

13th Pty Limited trading as IGOT

Name of company: 13th Pty Limited trading as IGOT
Website: www.igot.com
Reason for warning: The FMA has received complaints from New Zealand based clients of IGOT about IGOT’s failure to repay clients in accordance with their instructions.  IGOT is not registered or required to be registered to provide financial services in New Zealand.
Date published: 15 July 2016

Inertialess Drive ZPE (2010) Limited

Name of company: Inertialess Drive ZPE (2010) Limited
Associated person: Ken Pedlar
Address:  Mount Maunganui
Reason for warning:  Illegal share offer
Date published:  4 February 2010
Other information: Please read the official warning notice.

IntegraOption

Name of company:  IntegraOption
Website: https://www.integraoption.com/
Associated businesses: C.G Capital Investments Limited; TradeSolid
Reason for warning: The Financial Markets Authority notes recent warnings by the Swiss Financial Market Supervisory Authority (FINMA) in relation to IntegraOption. The warning is available here.
If you have invested with IntegraOption or had contact with parties connected to it, FMA would like to hear from you. Please contact our helpline on 0800 434 567.
Date published: 02 August 2016

ISC Financial Group Limited

Name of company: ISC Financial Group Limited
Website: www.isc-financialgroup.com/en/kontakt.php
Address: Level 1, 10 Manukau Road, Newmarket, Auckland 1010, New Zealand
Phone: +64 (0)9 927 8837
Fax: +64 (0)9 927 4999
Email: info@isc-financialgroup.com
Date published: August 2013

J

Janco Lazard Transfer Company

Name of company: Janco Lazard Transfer Company
Associated person: Michael Levine
Associated entity: Working in conjunction with Weiss Rifkin & Partners, and EquiAsia
Website: www.jancolazardtransfer.com
Address: 30 Rockefeller Plaza 57th Floor, New York, NY 10112-6300, USA
Phone: +1 202 389 7918
Email: info@jancolazardtransfer.com
Date published: May 2011

K

Kaiser Brokers Group Limited

Name of company: Kaiser Brokers Group Limited
Associated persons: Qiongyao Chen (AKA John Chen), Warren Wang (AKA Wangsheng Chenqiung Yao)
Websites: www.kaiserbrokers.com, www.kaiserbrokers.com/zh-cn/, www.kaiserbrokers.com/en/
Address: Level 10/55 Shortland Street, Auckland City, New Zealand
Reason for warning: False/misleading advertising
Phone: 0064 9 358 4625, 0064 21 353518, 852 30696914, 086 13575782525
Emails: info@kaiserbrokers.com, asia@kaiserbrokers.com, jon.chen@kaiserbrokers.com, war.w@kaiserbrokers.com, 330354689@qq.com
Date published: December 2013

Keiyo Asset Management

Name of company: Keiyo Asset Management
Reason for warning: The FMA has received reports that Keiyo Asset Management has been contacting New Zealand residents offering the opportunity to participate in an initial public offering.  Keiyo Asset Management is not registered to provide financial services in New Zealand and we recommend exercising caution when dealing with this entity.
Date published: August 2016

Kensington Group Inc

Name of company: Kensington Group Inc
Address: 30th Floor, Shinjuku Park Tower, 3-7-1 Nishi-shinjuku, Shinjuku, Tokio, Japan

L

Liberty Venture Holdings Inc.  

Name of company: Liberty Venture Holdings Inc.
Reason for warning: The FMA notes recent warnings by the Australian Securities and Investment Commission in relation to Liberty Venture Holdings Inc.   The FMA has also received information relating to Liberty Venture Holdings Inc. cold-calling New Zealand residents. The ASIC warning is available to view here
The FMA has general information about overseas brokers and cold calling scams available here
Date published: 17 October 2016

Loan2Day Financial Company Limited

Name of company: Loan2Day Financial Company Limited
Associated persons: Katrina Bernard, Ulrich Bernhard Hubertus
Address: Amsterdamse Poort,Bijlmerplein 888, 1102 MG Amsterdam, Netherlands
Reason for warning: Unregistered overseas broker
Phone: +31 6 8549 6120
Emails: loan2day01@gmail.com, loan2daylimited@outlook.com
Date published: August 2013

M

Mane Capital Markets

Name of company: Mane Capital Markets
Address: Pasea Estate, Tortola, British Virgin Islands; Correspondent Office: Bahnhofstrasse 52, CH-8001 Zurich
Fax: +41 (0)44 214 65 19
Email: info@mcmbroker.com
Date published: October 2012

Maxum Gold Bnk Limited

Name of company: Maxum Gold Bnk Limited/Maxum Gold Bnk Holdings Limited/Maxum Gold Bnk PCPT Limited
Website: www.maxumgoldbnk.com/first_1.html
Address: Associated Business Advisors Limited, 1st Floor, 178 Hibiscus Coast Highway, Red Beach, Auckland, 0932, New Zealand
Phone: +1-415-513-5330
Email: info@maxumgoldbnk.com
Date published: July 2012

MercerFX.com

Name of company: MercerFXcom
Website: www.mercerfx.com
Reason for warning: The FMA is concerned that the website refers to Mercer Capital New Zealand and Mercer Capital Limited and makes false claims regarding its registration on the Financial Service Providers Register (FSPR).  Mercer Capital New Zealand is not registered as a company in New Zealand.  Mercer Capital Limited was registered as a company in New Zealand with company number 4861160 but has since been struck off. Neither Mercer Capital New Zealand nor Mercer Capital Limited is registered on the FSPR.
Date published: October 2015

Milton Keynes Capital Partners LLP

Name of company: Milton Keynes Capital Partners LLP
Website: www.mkcap.co.uk
Address: 312 Avebury Boulevard, Milton Keynes, England, United Kingdom
Phone: +44 1908 535015
Fax: +44 1908 787525
Email: admin@mkcap.co.uk
Date published: May 2013

MSL Capital Markets Limited

Name of company: MSL Capital Markets Limited
Address:  Level 3, Wakefield House, 90 The Terrace, Wellington
Reason for warning:  MSL failed to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to the FMA.
Date published:  12 March 2015
Other information: Please read the official warning notice.

N

New Zealand Capital Finance

Name of company: New Zealand Capital Finance
Associated person: Joaquim Almeida
Website: www.fspfinancial.co.nz/
Address: Eurofinanzza Law Office, Level 5, 22 The Terrace, Wellington, New Zealand
Reason for warning: False/misleading advertising
Phone: +(64) 4 909 7394
Email: info.nz@fspfinancial.co.nz
Date published: February 2014

New Zealand International Savings and Loans Ltd

Name of company: New Zealand International Savings and Loans Ltd
Website: www.nzisl.com 
Address: Level 3, Office 24, 60 Cook Street, Auckland 1010, New Zealand
Phone: (64) 9 973 5882
Email: admin@nzisl.com
Date published: July 2012

NJF Global Group

Name of company: NJF Global Group
Associated person: Robert (Bob) Hughes, also known as Bob Hughes.
Address:  UK and USA
Reason for warning:  Illegally offers securities to the public in New Zealand in breach of NZ securities law.
Date published:  11 March 2013
Other information: Please read the official warning notice.

Nomura Financial

Name of company: Nomura Financial
Website: http://www.nomurafinancial.com/
Associated company: Lantern Mining
Reason for warning: NZ Police and the Australian Securities and Investment Commission (ASIC) have warned against doing business with Nomura Financial. NZ Police have identified Nomura Financial as sophisticated overseas scammers.
Additional information: Please read the NZ Police and ASIC warnings:
http://www.police.govt.nz/news/release/waitemata-police-warn-about-sophisticated-overseas-scammers
https://www.moneysmart.gov.au/scams/companies-you-should-not-deal-with/unlicensed-companies-list/n/nomura-financial
Date published: June 2015

O

Option Financial Markets (Option FM)

Name of company: BO Technologies Limited, trading as Option Financial Markets or Option FM
Website: https://option.fm/
Associated business: Artemis Technologies Limited
Reason for warning: The Financial Markets Authority notes recent warnings by the Australian Securities and Investment Commission, Hong Kong Securities and Futures Commission and the Ontario Securities Commission in relation to B.O. Technologies Limited trading as Option Financial Markets (Option FM).
Date published: January 2016

www.optionsrider.com

Name of company: Options Rider
Website: www.optionsrider.com
Reason for warning: The FMA is concerned that Options Rider is claiming to be regulated in New Zealand when it is not.  We have received reports that the company has claimed to be authorised and regulated by the New Zealand Securities and Exchange Commission.  We note that there is no New Zealand Securities and Exchange Commission and Options Rider is not regulated as a financial service provider in New Zealand.
Date published: October 2015

Oxley Mergers and Acquisitions

Name of company: Oxley Mergers and Acquisitions
Address:
 717 Texas Avenue, Houston, TX 77002-2761, UNITED STATES OF AMERICA

P

Pacific Blu L.P (Limited Partnership)

Name of company: C/- Equity Trust International Limited, Level 4, 44 Khyber Pass Road, PO Box 8333, Symonds Street, Auckland 1150, New Zealand 
Website: www.pacificbluinsurance.com/
General Partner:
Streamline Enterprises Corporation, 0832-00680 World Trade Centre, Marbella, Panama
Associated persons: Angel Lorenzo
Phone: 0064 09 303 3001
Emails: trust@trust-nz.comenquiriepb@insurer.com, enquiriepb@insurer.com, customerservicep@insurer.com, claimsp@insurer.com
Reason
for warning: False/misleading advertising.
Date published: December 2013

PFM Trading Inc.

Name of company:  PFM Trading Inc.
Website: http://pfm-trading.com/
Reason for warning: The FMA notes recent warnings by the Australian Securities and Investment Commission in relation to PFM Trading Inc. The warning is available here. If you have invested with PFM Trading Inc. or had contact with parties connected to it, FMA would like to hear from you. Please contact our helpline on 0800 434 567.
Date published: 29 July 2016

Plutus Private Equity LLC

Name of company: Plutus Private Equity LLC
Address:
1 Mystic View Road, Boston MA 02149
Phone: (617) 517 3046
Fax: (617) 249 0766
E-mail: s.williams@plutuspe.com
Date published: August 2012

Powell McDougall

Name of company: Powell McDougall
Address:
Harcourt Centre, Harcourt Road, Dublin 2, REPUBLIC OF IRELAND
Date published: March 2004

Preferred Global Partners

Name of company: Preferred Global Partners
Associated person: Steven Marx
Address: Theaterstrasse 14, Zurich 8001, SWITZERLAND
Date published: March 2005

Preferred Performance Group, Company Limited

Name of company: Preferred Performance Group, Company Limited
Address: Richmond Building, 75 Sukhumvit Soi 26, Bangkok, THAILAND
Date published: November 2001

The Prestige Group Ltd

Name of company: The Prestige Group Ltd
Address: National Newark Building, 744 Broad Street, 18th Floor, Newark, NJ 07102, UNITED STATES OF AMERICA
Date published: April 2007

The Prestige Perspective

Name of company: The Prestige Perspective
Address: 1 Harbour Road, Wanchai, HONG KONG
Date published: October 2005

Premier eFinance

Name of company: Premier eFinance
Associated person: Susan Crawford
Address: Central Centre, 99 Queens Road, Hong Kong SAR
Phone: +852 8197 2553
Fax: +852 3015 6867
Email: info@premier-efinance.com
Website: www.premier-efinance.com
Date published: March 2011

Price & Partners Consultants

Name of company: Price & Partners Consultants
Associated person: Brian Scott
Address: 5-7C Duke Wellington House, 14-21 Wellington Street, Central District, Hong Kong
Phone:  +852 3 6786714,  +852 3 1750956
Emails: b.scott@priceandpartnersconsultants.com, legal@priceandpartnersconsultants.com
Website: www.priceandpartnersconsultants.com
Date published: April 2011

Prime Capital Advisors

Name of company: Prime Capital Advisors
Associated person: Wendell Martin
Address: Nicolau Pentadromos Center, 25 Ayias Zonis Street, Suite 1100 Limassol, CYPRUS
Date published: November 2004

Primesolutions Securities Inc

Name of company: Primesolutions Securities Inc
Reason for warning: The Primesolutions Securities Inc. listed has stolen the identity of a legitimate firm in the United States. The legitimate Primesolutions Securities Inc. can be contacted by phone +1 440 230 0400 or by fax on +1 440 230 9956.
Date published: August 2007

Privilege Trading House Limited

Name of company: Privilege Trading House Limited (New Zealand company number: 3877876)
Associated person: Roberto Armando Moreno Bertucci
Website: www.privilegetrading.co.nz/
Email: clients@privilegetrading.co.nz
Address: C/- New Zealand Capital Finance Limited, 24b Moorefield Road, Johnsonville, Wellington 6037
Reason for warning: False/misleading advertising; and persons offering financial services in NZ without appropriate registration or authorisation from FMA.
Date published: November 2013

Phoenix Forex Limited

Name of company: Phoenix Forex Limited
Address:  Level 2, 14 Viaduct Harbour Avenue, Auckland.
Reason for warning:  The FMA believes that Phoenix Forex’s claims about the level of returns made by its trading system are untrue.
Date published:  29 August 2013
Other information: Please read the official warning notice.

Profitable Sunrise (Prosun)

Name of company: Profitable Sunrise (Prosun)
Associated person: Robert (Bob) Hughes, also known as Bob Hughes
Address:  UK and USA
Reason for warning:  Illegally offers securities to the public in New Zealand in breach of NZ securities law.
Date published:  11 March 2013
Other information: Please read the official warning notice.

Q

Quantum Capital Corporation

Name of company: Quantum Capital Corporation
Address: Hardturmstrasse 101, Zurich, CH, 8005, SWITZERLAND
Date published: November 2005

Quantum Global Equities Inc.

Name of company: Quantum Global Equities Inc.
Associated person:
James Forbes
Address: 19th St NW, Washington, District of Columbia 20036, USA
Phone: +1 202 3910 955
Email: info@quantumglobalequitiesinc.com
Date published:
March 2011

R

Regal Group International

Name of company: Regal Group International
Address: 35/F Central Plaza, 18 Harbour Road, HONG KONG SAR
Phone: +852 3175 0983
Fax: +852 3678 6713
Email: info@regalgroupinternational.com
Website: www.regalgroupinternational.com

Reliance Asset Management Ltd

Name of company: Reliance Asset Management Ltd
Associated persons: Peter Francis III, Brian Lee, Richard McDaniel
Address: Suite 308, 3F Toyota Bldg, 3-11 Minami-Semba 4-chome, Chuo-ku, Osaka 542-0081, JAPAN
Phone: +816 4560 4003
Fax: +816 7635 4846
Emails: peter.francis@reliance-am.com, inquire@reliance-am.com
Website: www.reliance-am.com
Date published: May 2011

The Retirement Shop T/A TRS Online

Name of company: The Retirement Shop T/A TRS Online
Website: http://trsonline.net
Address: 54 Threadneedle Street, London EC2R 7AP
Phone: +44 203 455 7676
Email: info@trsonline.net
Reason for warning: The FMA has received a report that TRS Online is making unsolicited calls to New Zealand residents and providing UK pension transfer services to New Zealand residents. Also, the advice provided by TRS Online may be misleading and may create a false sense of urgency to arrange for the pension transfer. The Retirement Shop T/A TRS Online is not registered on the FSPR and is therefore not allowed to offer financial services in New Zealand.
Date published: 8 November 2016

Ross Investments (Aust) Pty Limited

Name of company: Ross Investments (Aust) Pty Limited
Associated person: Robert Ross
Reason for warning:  Potential unsolicited offers.
Date published:  13 July 2012
Other information: Please read the official warning notice.

S

Saba Capital Management, Hong Kong

Name of company: Saba Capital Management, Hong Kong
Associated individuals: Daniel Schultz, D.Collins, Alex Schilling Senior
Address: Golden Centre, 188 Des Voeux Road Central, Hong Kong Island 
Phone: 81928863 (Hong Kong only)
UK: 020 32890388 (EU only)
Asia Call Centre: +618-6555-7914 (Asia Pacific only)
Dubai: 800-5322 (Middle-East only)
Website: http://www.sabahk.com/, http://sabahkllc.com/
Emails: sales@sabahkllc.comlegal@sabahk.com, admin@sabahk.com
Date published: August 2013

Securities Research Company Limited

Name of company: Securities Research Company Limited
Associated person: James Richard Cornell
Address: PO Box 34162, Birkenhead, Auckland 0746, New Zealand, Registered in the British Virgin Islands
Website: www.stockmarket.co.nz
Phone: +60 14 354 2066
Emails: info@stockmarket.co.nzjames@stockmarket.co.nz
Date published: August 2013

Spartan Capital Management

Name of company: Spartan Capital Management
Address: 412 Park Avenue, 18th Floor, New York, NY 10022, USA
Phone: +1 646 861 7887
Fax: +1 646 224 4890
Email: info@spartancam.com
Website: www.spartancam.com

Spindler & Partner LLP

Name of company: Spindler & Partner LLP
Reason for warning: The FMA notes the Jersey Financial Services Commission have recently issued a warning about Spindler & Partner LLP. While Spindler & Partner LLP’s website indicates they operate in New Zealand, this business is not incorporated or registered as a Financial Service Provider in New Zealand. If you have invested with Spindler & Partner LLP or had contact with individuals connected to it, FMA would like to hear from you. Please contact our helpline on 0800 434 567. 
Website: www.spindler-partner.com
Date published: 6 July 2016

Suisse Limited trading as ECN Markets

Name of company: Suisse Limited trading as ECN Markets
Website: http://www.ecnmarkets.com/
Address: #25 Mason Complex, Stoney Ground Road, The Valley, PO Box 193, Anguilla
Reason for warning: The FMA has received two complaints about ECN Markets from overseas-based residents. They complained that there is misleading information on ECN Markets website about the extent to which ECN Markets is regulated in New Zealand. ECN Markets is not registered to provide financial services in New Zealand.
Date published: March 2016

Swiss Asia Commodities Securities

Name of company: Swiss Asia Commodities Securities
Associated person: John Cooper
Address: Bahnhofstrasse 63, Zurich, Schweiz 8001 
Phone: +41 44 586 2832
Fax: +41 44 732 6268
Emails: charles.hampton@sacsecurities.org, clients@sacsecurities.org
Website: http://sacsecurities.org/
Please note this is not: SAC Capital http://sacsecurities.org/
Date published: February 2013

Swiss Financial Corp Limited

Name of company: Swiss Financial Corp Limited
Address: 412, Lake Road, Takapuna 0622, Auckland 0744, New Zealand
Email: aukland@swissfincorp.com
Website: swissfincorp.com/index.html
Date published: July 2012

Share Buyers Limited

Name of company: Share Buyers Limited (Share Buyers)
Address:  Suite 3775, 24 Moorefield Road, Johnsonville, Wellington, New Zealand.
Reason for warning:  Unsolicited offers – the amount offered per share is less than the current market price of the shares.
Date published:  8 July 2011
Other information: Please read the official warning notice.

Stock & Share Trading Company Pty Limited

Name of company: Stock & Share Trading Company Pty Limited
Address: Australia
Reason for warning: Multiple unsolicited offers.
Date published: 3 September 2012, 21 December 2011, 8 July 2011, 15 November 2010, 28 July 2010, 11 June 2010, 6 May 2010
Other information: Please read the latest official warning notice.

SuperLife Limited and SuperLife Trustees Limited

Name of company: SuperLife Limited and SuperLife Trustees Limited
Associated person: Patrick Diack
Reason for warning:  The FMA was seriously concerned about SuperLife's sales practices and potential non-compliance with the law.
Date published:  21 June 2011
Other information: Please read the official warning notice.

T

Tall Options 

Name of company: Tall Options
Website: www.talloptions.com
Reason for warning: The FMA is concerned that Tall Options is claiming to be authorised to provide investment services in New Zealand when this is not the case. We have also received reports that Tall Options uses the bank account of Corporate Enterprises PTY Limited. We published a warning about this business on 7 October 2016.  Tall Options and Corporate Enterprises PTY Limited are not registered on the FSPR and therefore they are not allowed to offer financial services in New Zealand.
Date published: 17 October 2016

Tascadero Group S.A

Name of company: Tascadero Group S.A
Website: www.tascadero.com
Email: admin@tascadero.com
Phone: +64 98 01 01 22
Reason for warning: Un-registered overseas brokers and False/misleading advertising.
Please note: This company is not connected to Activate Investment Group Limited. It is neither located in, or a registered company in New Zealand.
Date published: December 2013

TCA Financial

Name of company: TCA Financial
Website: http://tcafinancial.com
Address: 3122 Shennan Middle Road, Futian, Shenzhen, Guangdong, China. Admin office address: 2/F, Block B, Po Lung Centre, 11 Wang Chiu Road, Kowloon Bay, Kowloon, Hong Kong
Phone: +852 5808 9561
Email: contact@tcafinancial.com ; info@tcafinancial.com
Reason for warning: TCA appears to have the characteristics of a boiler room fraud. Securities & Futures Commission of Hong Kong (SFC) added TCA to their alert list in August 2016 and advised that TCA is not located at the Hong Kong address stated on the TCA website. You can see the SFC alert here
Date published: 09 July 2016

Tilney Asset Management

Name of company: Tilney Asset Management
Associated person: Christopher Michael Hall
Website:  www.tilneyassetmngt.com
Email: contact@tilneyassetmngt.com
Reason for warning:  The FMA is concerned that Tilney Asset Management is cold calling New Zealand residents offering financial services for which it is not registered, authorised and/or licenced to provide under New Zealand financial markets legislation.
Date published: August 2015

Titan Trade

Name of company: Titan Trade
Website: https://titantrade.com/
Address: 35 Barrack Road, Third Floor, Belize City, Belize
Reason for warning: The FMA notes a recent warning by the Australian Securities and Investment Commission against conducting business with Titan Trade. If you have invested with Titan Trade or had contact with parties connected to it, the FMA would like to hear from you. Please contact our helpline on 0800 434 567.
Date published: 7 September 2016

13th Pty Limited trading as IGOT

Name of company: 13th Pty Limited trading as IGOT
Website: www.igot.com
Reason for warning: The FMA has received complaints from New Zealand based clients of IGOT about IGOT’s failure to repay clients in accordance with their instructions. IGOT is not registered or required to be registered to provide financial services in New Zealand.
Date published: 15 July 2016

Trade24 Investments Limited

Name of company: Trade24 Investments Limited
Website: www.trade-24.com
Reason for warning: The FMA warns members of the public not to invest in Trade24 Investments Limited. Trade24 Investments Limited is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
Date published: 30 June 2016

Trendoks IMG (NZ) LLC and Trendoks Limited

Name of company: Trendoks IMG (NZ) LLC and Trendoks Limited
Address: 41 Shortland Street, AXA Center, Auckland 1010, New Zealand
Phone: (64)9 363 9606
Email: http://www.trendoks.com/en/fsp-registration
Date published: July 2012 

Trillion Private Wealth Limited

Name of company: Trillion Private Wealth Limited
Address: Level 3, Office 24, 60 Cook Street, Auckland
Date published: July 2012

The Retirement Shop T/A TRS Online

Name of company: The Retirement Shop T/A TRS Online
Website: http://trsonline.net
Address: 54 Threadneedle Street, London EC2R 7AP
Phone: +44 203 455 7676
Email: info@trsonline.net
Reason for warning: The FMA has received a report that TRS Online is making unsolicited calls to New Zealand residents and providing UK pension transfer services to New Zealand residents. Also, the advice provided by TRS Online may be misleading and may create a false sense of urgency to arrange for the pension transfer. The Retirement Shop T/A TRS Online is not registered on the FSPR and is therefore not allowed to offer financial services in New Zealand.
Date published: 8 November 2016

U

Name of company: Union Group Financial Limited

Address: Suite 2942, 24b Moorefield Road, Johnsonville, Wellington 6011, New Zealand
Level 5, 22 The Terrace, Wellington 6011, New Zealand
Phone: +64 4 8893 788
Emails: ug@ugfx.co.nz, sale@ugfx.co.nz
Website:
www.ugfx.co.nz
Date published: July 2013

United Global Holdings Limited, trading as FX Unitied 

Name of Business: United Global Holdings Limited, trading as FX United.
Website: www.fxunited.com and www.fxunitedpowerinternational.com
Date Published: 4 May 2016 
Additional Information: The FMA has received reports that United Global Holdings Limited, trading as FX United, has been falsely claiming that the FMA has endorsed the company as being legitimate and highly regulated.  The FMA does not confirm legitimacy or endorse any entity in this manner. We recommend NZ consumers exercise caution when dealing with any business claiming to be endorsed by the FMA.

Universe Citizen Limited (trading as FXCitizen)

Name of company: Universe Citizen Limited (trading as FXCitizen)
Associated persons:  Tan Wee Hock, Ethan Tan
Address: Suite 3372, 24b Moorefield Road, Johnsonville Wellington 6037, New Zealand
Flat A, 15/F,  Hillier Commercial Building, 65-67 Bonham Strand East, Sheung Wan, Hong Kong
Reason for warning: No place of business in NZ, using false and misleading advertising
Website: http://www.fxcitizen.com/
Emails: finance@fxcitizen.com, account@fxcitizen.comfinance@fxcitizen.com, sales@fxcitizen.com 
Phone: +60166780251
Date published: December 2013

US International Bureau For Trading

Name of company: US International Bureau For Trading
Address: 1101 30th Street, NW Suite 500,  Washington, DC 20007, USA
Reason for warning: US International Bureau For Trading website is an impersonation of the New Zealand Financial Markets Authority (FMA) website. Please note that this is a fake regulator and has no connection to New Zealand FMA.
Phone: +1 2024704047
Investor helpline: +1 2024704047
Email: info@usibtrading.org
Website: http://www.usibtrading.org
Date published: 21 November 2011

V

Vision Continental Consultants Limited ("VCC")

Name of company: Vision Continental Consultants Limited ("VCC")
Address: Level 28 Al Habtoor Business Tower, Dubai Marina, Dubai, UNITED ARAB EMIRATES
Date published: December 2012

Vision Continental services Limited

Name of company: Vision Continental services Limited
Address: Level 41, Emirates Towers, Sheikh Zayed Road, Dubai, UNITED ARAB EMIRATES, P.O. Box 31303
Phone: New Zealand: 0800 452 911, US & Canada: +1 800 982 0680, Worldwide: +1 800 982 0680
Emails: sales@vccmarkets.cominfo@vccmarkets.comcompliance@vccmarkets.com, alex.fuller@vccmarkets.com, james.farrington@vccmarkets.com 
Website: http://www.vccmarkets.com/
Date published: December 2012

Vista International Services Limited

Name of company: Vista International Services Limited
Address: 14 Jelicich Court, Henderson, Waitakere, 0612, New Zealand
Phone: (64) 918 0394
Email: cs@vista-services.org
Website: www.vistaservices.org/
Date published:
July 2012

VonWin Capital Management L.P

Name of company: VonWin Capital Management L.P
Reason for warning:  Unsolicited offers.
Date published:  2 May 2011
Other information: Please read the official warning notice.

W

Wealth Management Group Ltd

Name of company: Wealth Management Group Ltd
Website:  www.wmgltd.com and www.wmgfund.com
Reason for warning: The FMA notes a recent warning by the Hong Kong Securities and Futures Commission in relation to www.wmgltd.com  and www.wmgltd.com  websites. The FMA has also received information relating to Wealth Management Group Ltd cold-calling New Zealand residents. The above websites are not associated with Wealth Management Group Limited, an SFC-licensed corporation.
Date published:  22 November 2016

WGM Group Limited (formerly Belfor Capital Limited) trading as Belfor FX

Name of company: WGM Group Limited trading as Belfor FX
Website: www.belforfx.com
Address: Level 27, 188 Quay Street, Auckland 1010, New Zealand 
Reason for warning: The FMA has received complaints from overseas-based clients of Belfor FX about Belfor FX’s failure to repay clients in accordance with their instructions. We note that the company has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
Date published: 24 February 2016

Weiss Rifkin & Partners

Name of company: Weiss Rifkin & Partners
Address: 710 West 14th Street, Austin, TX78701, USA
Associated persons: Mark Hamilton, Michael Fox
Reason for warning: Working in conjunction with Janco Lazard Transfer Company and EquiAsia
Phone: +1 512 696 1547
Fax: +1 512 532 6552
Website: www.weissrifkinpartners.com
Email: info@weissrifkinpartners.com
Date published: May 2011

www.alcanfml.com

Website:  www.alcanfml.com
Reason for warning:  The FMA believes information on the website is untrue and the company is not authorised to offer the services that are being advertised through the website. NOTE: Alcan Financial Management Limited is not associated in any way with the website www.alcanfml.com
Date published:  28 October 2014
Other information: Please read the official warning notice.

www.wmgltd.com and www.wmgfund.com

X

Y

Z

Zlato Capital, trading as ZCFX

Name of company: Zlato Capital, trading as ZCFX
Website: www.zlatocapital.com
Reason for warning: The FMA has received three complaints about Zlato Capital from overseas-based residents. They complained that there is misleading information on Zlato Capital website about the extent to which Zlato Capital is regulated in New Zealand. Zlato Capital is not registered to provide financial services in New Zealand.
Date published: 08 July 2016