As a member of the European Securities and Markets Authority (ESMA) and of the International Organization of Securities Commissions (IOSCO), the CNMV regularly receives alerts issued by foreign securities regulators on companies that are not authorised to provide investment services in the countries listed in the alerts.

This page lists alerts shared with the CNMV directly by other countries´ supervisory bodies or transmitted centrally through the ESMA. However, we are unable to list on this page alerts transmitted by supervisory bodies to IOSCO. We therefore recommend that you also check out the following webpage: Investor Alerts Portal

The CNMV warns that the information on this page has been provided by foreign supervisory bodies, which assume responsibility for the contents of such information.

Search for warnings on companies whose names start with

Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.

Page 11 out of 1166
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
10/11/2011
  • MATHEWS MERGER MANAGEMENT
  • WWW.MATHEWSMMGMT.COM
A warning PDF of date 10/11/2011 (new window) SFSA (SUECIA) 
14/11/2012
  • EDEN MANAGEMENT PARTNERS
  • WWW.EDEN-MANAGEMENT-PARTNERS.COM
A warning PDF of date 14/11/2012 (new window) SFSA (SUECIA) 
24/11/2010
  • AMERICAN TAXATION INCORPORATED
  • WWW.AMERICANTAXATION.COM
A warning PDF of date 24/11/2010 (new window) SFSA (SUECIA) 
10/11/2011
  • NABSECURITIES INC.
  • WWW.NABSECURITIESINC.COM
A warning PDF of date 10/11/2011 (new window) SFSA (SUECIA) 
10/11/2011
  • ATX GROUP AND HOUSTON FUTURES EXCHANGE, HOUFEX
  • WWW.ATX-GROUP.COM
A warning PDF of date 10/11/2011 (new window) SFSA (SUECIA) 
17/11/2010
  • GREENTREE FINANCIAL ADVISORS INC.
  • WWW.GREENTREE-FINANCIAL-ADVISORS.US
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 
14/10/2009
  • SMITH SHORE & JENKINS, LLC
  • WWW.SMITHSJ.COM
A warning PDF of date 14/10/2009 (new window) SFSA (SUECIA) 
24/10/2012
  • BLUE PRINT SECURITIES LTD, BPS
  • WWW.BLUEPRINTSECURITIES.COM
A warning PDF of date 24/10/2012 (new window) SFSA (SUECIA) 
17/11/2010
  • NORTHERN PEGASUS LLC.
  • WWW.NORTHERNPEGASUS.COM
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 
01/06/2011
  • APEX HOLDINGS LTD
  • WWW.APEX-HOLDINGS.COM
A warning PDF of date 01/06/2011 (new window) SFSA (SUECIA) 

Consultation criteria: By type unauthorised entities.