The following is a list of names highlighted in red below are those which we understand have been published by the Spanish Financial Service Regulatory Authority as companies who have not received licences to deal in traded market securities in Spain and where there is a suspicion that they may be trading illegally. Such securities include any investment or fund which may be openly traded on the markets i.e. shares, UK unit trusts, most offshore funds (including those issued from Ireland, and the UK offshore Islands etc). In addition the list highlighted in black are these companies about which we have has a serious complaint and which has not been satisfactorily resolved. We also believe, to the best of our knowledge, that none of these companies have registered with the regulator in Spain for trading in marketable securities
Henry Woods Investment Management (Principal: Donald Nott)
(We have received more complaints regarding this adviser than all of the other advisers named here added together - BEWARE)
Pension & Investment Shop ( Mark Nicholson)
Linnco Europe Ltd (agent in Spain: John Findlate OBE)
Offshore Money Managers (Principal: Colin McCready).
(This company has registered with the Direccion General de Seguros (DGS) but this does not authorise them to deal in market traded funds as described above. Their activity is limited to insurance products only)
Hansard International Ltd
(This is an Isle of Man registered company whose products are not authorised for distribution in Spain)
Knights Insurance Brokers (Agent in Spain: Charles Emmit)
(Registered with the DGS as above for insurance products only)
Labrow International (Principal: Christopher Labrow )
(Now ceased trading but previously regulated by the Gibraltar Services Comission)
Brewin & Dolphin
(This is a company whose investments are not authorised for distribution in Spain)
The Pension and Investment Shop S.L. (Principal: Mark Nicholson)
Standard Provident (Principal: David Vance)
Allied International Independent Offshore Financial Advisers (Agent in Spain: Kevin White - see below)
Forsyth and Partners
(This is a company based in Ireland and whose products are not authorised for distribution in Spain)
OIB Offshore Investmentr Brokers
FINANCIAL ADVISER WARNING
Mr Kevin White (an employee of Labrow at the time we were advised of a serious complaint regarding mis selling) now self employed and regularly visiting the Pensioner Clubs in Benalmadena and Fuengirola.
Mr White can now be contacted at the following address which is a PO Box Number. He has no office or telephone apart from a pay as you go mobile.
Allied International Independent Offshore Financial Advisers
Apartado de Correos No 614.
La Cala de Mijas 29649
The following list of names are published by the Spanish Financial Services Regulatory
Authority as unregistered and who are suspected of breaching the requirement to be regulated
in the conduct of investment business in Spain.
- Cranley & Associates S.L.
- Morgan París & Company
- Clearing Services
- Via Management Group, S.A.
- Millennium Financial Ltd.
- Pacific Federal, S.A.
- Fielding Clifford
- Mercantilebanc Inc.
- Carter James, S.L.
- Lloyds and Associates Ltd
- Goodman Hart Associates
- Chamberlin Management Inc
- Condor Research
- Hamilton Asset Management
- Hoffman Philips, SL
- Morrison Cross Financial Investments Ltd
- Union Partners, SL (antes Goldberg Kravitz, SL)
- Walker Stone
- Willmont Partners, S.L.
- Ainsley Consulting, S.L.
- Allied International, S.A.
- Argus Global Equities Ltd
- Bid-Midex, S.L. [ B-82459066 ]
- Bullstrading, S.L. [ B-53673729 ]
- Capital Growth Equities, S.L. [ B-92251230 ]
- Fraser, Lindhart and Webb Plc (nombre comercial Trident Market Advisers)
- FX Midex, S.L. [ B-82727181 ]
- FX Bidmidex, S.L.
- Lidoral, S.L.
- Graves, Stanley & Peabody Ltd
- Great British Investors, S.L.
- Green-Go Trading, S.L. [ B-14568711 ]
- Hayes Vanderbuilt Investment, S.L. [ B-97113153 ]
- Interstate Financial Group, S.L.
- CIL, S.L.
- Martin & Associates
- Mediterranean Investment Group, S.L. [ B-62281738 ]
- Capital Advisers Bull & Bear, S.L.
- Bull & Bear
- Mig Direct
- Multitrading 2002, S.L. [ B-92392752 ]
- Smith & Henderson Associates Inc
- Taylor Atlantic Ltd
- JT Strauss Advisory, S.L. [ B-62581475 ]
- Mercantile Securities Consultants, S.L. [ B-62778469 ]
- Novak & Goode, S.L. [ B-62902143 ]
- Bodegon Center, S.L. [ B-62574447 ]
- Liberty First Financial Services
- IBS International
- Sharp Edger Building, S.L.
- Hargreaves Group, S.L.
- ADDA Management, S.L.
- Crozier Financial Services Spain, S.L. [ B-62609698 ]
- Kromir XXI, S.L.
- Allied Sovereign Zurich, S.L. [ B-62877386 ]
- Mutual Capital
- Raymond Lloyd & Associates Consulting Ltd
- Network Capital Partners, S.L. [ B-92343581 ]
- Solomon Christie LLC
- Pacific Continental Securities European Administration, S.L. [ B-92037316 ]
- Windsor Advisory Services, S.A. [ A-62877295 ]
- Windsor Investment Ltd
- Fornix 2000 Plus, S.L. [ B-62090022 ]
- Goldberg Kravitz, S.L. [ B-62113600 ]
- Pitsburg Trade, S.L. [ B-61361838 ]
- Premier Equities Europe, S.L. [ B-62172275 ]
- Henry Woods Associates, S.L. [ B-29639085 ]
EUROPAISH BURO CONSULTANT, S.L. [ B07916901 ]
- UNITED ROYALE IMMOBILIEN VERWALTUNG, S.L.
- CERXNET EUROPE, S.L.
- EUROPE BUSINESS CENTER, S.L
TRESADERNS & PARTNERS, S.L.
MARBELLA SECURITIES www.marbellasecurities.com
CARLTON BIRTAL FINANCIAL ADVISORY, S.L. [ B-62601737 ]
- CARLTON CAPITAL MANAGEMENT LTD
- CARLTON FINANCIAL ADVISORY & INTERMEDIARY SERVICES
- CARLTON BIRTAL ADVISORY SERVICES,
AIM WARRANTS, S.A. [ A-83601237 ]
- ALTERNATIVE INVESTMENT MARKETS, S.L. [ B-83417519 ]
- CAP MOV ASESORES FINANCIEROS, S.L. [ B-83299933 ]
- CAPITAL MOVIMIENTO, S.L. [ B-82674136 ]