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Found 3107 results. Displaying page 154 of 208

  1. 22 July 2015

    Lombard Finance & Investments

    The breaches relate to Lombard's failure to disclose information to the market, such as loan book quality and liquidity, regarding the performance of its finance company subsidiary Lombard Finance and Investments Limited (LFIL). Read more.
    Tags
    Enforcement
    Type
    Page

  2. 11 September 2014

    Hayden and George Jones

    This criminal proceeding relates to allegations that Hayden and George Jones, as Directors of Heritage Park Taupo Limited and Heritage Park Investments Limited, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993.
    Tags
    Enforcement
    Type
    Page

  3. 6 July 2018

    Garry James Patterson

    The FMA has filed charges against Garry James Patterson alleging he was or was holding out as being, in the business of providing financial services in contravention of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Enforcement
    Type
    Page

  4. 5 November 2019

    alltrademarkets

    Alltrademarkets is not registered on the Financial Service Provider Registry of New Zealand, therefore, is not permitted to offer financial services to New Zealand residents.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  9. 13 April 2022

    Investor alert: false claims by Finanex Limited

    Finanex Limited is falsely claiming to be authorised in New Zealand to provide financial services. Finanex Limited is not a registered financial service provider in New Zealand.
    Tags
    Suspected scam, Consumer, Scams
    Type
    Page

  10. 20 April 2018

    Independent Brokers LLC

    The website www.independentbrokersllc.com is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  11. 23 April 2018

    Woodward Partners Panama

    Woodward Partners Panama is not a registered financial services provider and therefore not able to legally offer financial services in New Zealand.
    Tags
    Investor information, Unregistered business, Consumer
    Type
    Page

  12. 11 April 2018

    Redfield Markets Limited

    Plus Option (trading name) is not registered to provide financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  13. 21 March 2018

    Mahi-FX

    Mahi-FX is not a New Zealand registered company and are not associated with, nor an authorised representative of, MahiFX Limited.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 26 July 2017

    Huang Investments Limited (Hong Kong)

    Huang Investments Limited is not registered to provide financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  15. 13 June 2017

    China Advisers

    China Advisers is not a registered financial service provider, is not registered on the New Zealand Companies Register and is not licensed to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page