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Unlicenced Financial Advisors

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)

 

Graydon & Associates

 

This company is not regulated to conduct investment business here in Spain (see CNMV website)

It operates an 'Equity Release Scheme' which has many inherent risks and could result in the client losing their house.

They are not Chartered Accountants (see the Chartered Accountants website)

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)

 
Hamiltons Financial Services SL

This company are not registered or licensed to carry out financial investments here 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)


 

OIB Offshore Investmentr Brokers

Estepona

Janet Knight

 

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

Mijas Costa

 

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
- www.sensibleoptions.com
- 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
- Mendoro
- 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 ]

26/02/2004

- Tana Corum, S.L. [ B62865910 ]

 

 

27/01/2004

- EUROPAISH BURO CONSULTANT, S.L. [ B07916901 ]
- UNITED ROYALE IMMOBILIEN VERWALTUNG, S.L.
- CERXNET EUROPE, S.L.
- EUROPE BUSINESS CENTER, S.L.

La Comisión Nacional del Mercado de Valores advierte que: CERXNET EUROPE, S.L., EUROPAISH BURO CONSULTANT, S.L. (ESPAÑA), EUROPE BUSINESS CENTER, S.L., UNITED ROYALE IMMOBILIEN VERWALTUNG, S.L., no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
15/12/2003

- TRESADERNS & PARTNERS, S.L. [ B83548412 ]

La Comisión Nacional del Mercado de Valores advierte que: TRESADERNS & PARTNERS, S.L., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
03/12/2003

- www.marbellasecurities.com

La Comisión Nacional del Mercado de Valores advierte que: www.marbellasecurities.com, no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
20/10/2003

- CARLTON BIRTAL FINANCIAL ADVISORY, S.L. [ B-62601737 ]
- CARLTON CAPITAL MANAGEMENT LTD
- CARLTON FINANCIAL ADVISORY & INTERMEDIARY SERVICES
- CARLTON BIRTAL ADVISORY SERVICES, S.L.

La Comisión Nacional del Mercado de Valores advierte que: CARLTON BIRTAL ADVISORY SERVICES, S.L., CARLTON BIRTAL FINANCIAL ADVISORY, S.L., CARLTON CAPITAL MANAGEMENT LTD, CARLTON FINANCIAL ADVISORY & INTERMEDIARY SERVICES, no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
15/10/2003

- 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 ]

La Comisión Nacional del Mercado de Valores advierte que: AIM WARRANTS, S.A., ALTERNATIVE INVESTMENT MARKETS, S.L., CAP MOV ASESORES FINANCIEROS, S.L., CAPITAL MOVIMIENTO, S.L., no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
09/10/2003

- Cranley & Associates S.L.
- Morgan Paris & 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 ]
- Blevins Franks International Ltd
- 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
- www.sensibleoptions.com
- 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
- Mendoro
- 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 ]

18/10/2004

- LIBERTY FIRST ADVISORY SERVICES, S.A. [ A63240089 ]

La Comisión Nacional del Mercado de Valores advierte que: LIBERTY FIRST ADVISORY SERVICES, S.A., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
13/10/2004

- CONSULTORES SICRA, S.L. [ B83205104 ]

La Comisión Nacional del Mercado de Valores advierte que: CONSULTORES SICRA, S.L. (ESPAÑA), no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
13/10/2004

- COMMODITY & FUTURES CONSULTING, S.L. [ B82908989 ]

La Comisión Nacional del Mercado de Valores advierte que: COMMODITY & FUTURES CONSULTING, S.L. (ESPAÑA), no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
11/05/2004

- Anderson Goldberg, S.L. [ B83842658 ]

La Comisión Nacional del Mercado de Valores advierte que: Anderson Goldberg, S.L. (ESPAÑA), no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
13/04/2004

- International Equity Consultants, S.L. [ B62863725 ]

La Comisión Nacional del Mercado de Valores advierte que: International Equity Consultants, S.L., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
12/04/2004

- Inprolinks, S.L. [ B82509977 ]

Corrección de oficio de un error material detectado en la advertencia publicada con fecha 7 de abril de 2004 en relación con Inprolinks, S.L.
Para más información ver archivos adjuntos.
07/04/2004

- Inprolinks, S.L. [ B82509977 ]

La Comisión Nacional del Mercado de Valores advierte que: Inprolinks, S.L., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
10/03/2004

- Harrington Advisory Services, S.L. [ B63274831 ]
- Millenium Business Services, S.L.

La Comisión Nacional del Mercado de Valores advierte que: Harrington Advisory Services, S.L. (ESPAÑA), Millenium Business Services, S.L., no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
10/03/2004

- The Pension and Investment Shop, S.L. [ B29837952 ]

La Comisión Nacional del Mercado de Valores advierte que: The Pension and Investment Shop, S.L. (ESPAÑA), no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
03/03/2004

- Recoletos Servicios de Asesoría, S.L. [ B82423344 ]

21/03/2005

- Richmond Royce Advisory Services, S.L.

La Comisión Nacional del Mercado de Valores advierte que: Richmond Royce Advisory Services, S.L. no está autorizada para prestar servicios de inversión en España.
Para más información ver archivos adjuntos.
21/03/2005

- Silverstone Management, S.L.

La Comisión Nacional del Mercado de Valores advierte que: Silverstone Management, S.L. no está autorizada para prestar servicios de inversión en España.
Para más información ver archivos adjuntos.
21/03/2005

- Strike Servicios y Asesoramiento, S.L.

La Comisión Nacional del Mercado de Valores advierte que: Strike Servicios y Asesoramiento, S.L. no está autorizada para prestar servicios de inversión en España.
Para más información ver archivos adjuntos.
24/01/2005

- Alexander Rothko and Associates LTD.
- www.alexanderrothkoassociates.com

La Comisión Nacional del Mercado de Valores advierte que: Alexander Rothko and Associates LTD., www.alexanderrothkoassociates.com, no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
24/01/2005

- Esicamo, S.A.
- www.esicamo.com

La Comisión Nacional del Mercado de Valores advierte que: Esicamo, S.A., www.esicamo.com, no están autorizadas para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
29/11/2004

- Beckham Advisors Alliance, S.L. [ B62777701 ]

La Comisión Nacional del Mercado de Valores advierte que: Beckham Advisors Alliance, S.L., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
25/10/2004

- Churchill Marketing and Advisory Services, S.L.

La Comisión Nacional del Mercado de Valores advierte que: Churchill Marketing and Advisory Services, S.L., no está autorizada para prestar servicios de inversión en España
Para más información ver archivos adjuntos.
25/10/2004

- European Private Equity Consultants, S.L.

La Comisión Nacional del Mercado de Valores advierte que: European Private Equity Consultants, S.L., no está autorizada para prestar servicios de inversión en España

© COSTA DEL SOL ACTION GROUP
Against Unlicenced Financial Advisers & Product Providers that support them.