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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 728 out of 745
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
28/09/2005
  • LENOX INTERNATIONAL LLP
A warning PDF of date 28/09/2005 (new window) SFSA (SUECIA) 
13/10/2010
  • FINANCIAL ASSET MANAGEMENT, INC.
  • WWW.FINAMGTINC.COM
A warning PDF of date 13/10/2010 (new window) SFSA (SUECIA) 
20/10/2010
  • GRAHAM WALKER
  • WWW.GRAHAMWALKER.COM
A warning PDF of date 20/10/2010 (new window) SFSA (SUECIA) 
20/10/2010
  • WYATT M & A ADVISORY
  • WWW.WYATTMAADVISORS.COM
A warning PDF of date 20/10/2010 (new window) SFSA (SUECIA) 
27/10/2010
  • MORGAN INVESTMENT MANAGEMENT GROUP
  • WWW.MORGANMANAGEMENTGROUP.NET
A warning PDF of date 27/10/2010 (new window) SFSA (SUECIA) 
27/10/2010
  • WARREN HILL, LLC
  • WWW.WARREN-HILL.COM
A warning PDF of date 27/10/2010 (new window) SFSA (SUECIA) 
27/10/2010
  • BOSTON CAPITAL MANAGEMENT, INC.
  • WWW.BOSTONCMI.US
A warning PDF of date 27/10/2010 (new window) SFSA (SUECIA) 
20/10/2010
  • WARTHON RUBIN
  • WWW.WARTHON-RUBIN.COM
A warning PDF of date 20/10/2010 (new window) SFSA (SUECIA) 
06/03/2019
  • ECN PREMIUM
  • HTTPS://WWW.ECNPREMIUM.COM
A warning PDF of date 06/03/2019 (new window) SFSA (SUECIA) 
13/10/2010
  • YORK VENTURE CAPITAL
  • WWW.YORKVC.COM
A warning PDF of date 13/10/2010 (new window) SFSA (SUECIA) 

Consultation criteria: By type unauthorised entities.