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 38 out of 56
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
06/02/2013
  • PENDULUM CAPITAL MARKETS INC. (USA)
A warning PDF of date 06/02/2013 (new window) EI_CBI (IRLANDA) 
30/01/2013
  • PERSIST GLOBAL WEALTH MANAGEMENT
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • PACIFIC CAPITAL MANAGEMENT
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
16/01/2013
  • PARKER & MASTERS LLC
A warning PDF of date 16/01/2013 (new window) FSA (REINO UNIDO) 
16/01/2013
  • PARK EAST CAPITAL
A warning PDF of date 16/01/2013 (new window) FSMA (BELGICA) 
21/11/2012
  • PRUDENTIAL GLOBAL GROUP
A warning PDF of date 21/11/2012 (new window) FSA (REINO UNIDO) 
31/10/2012
  • PARAMOUNT FINANCIAL GROUP
A warning PDF of date 31/10/2012 (new window) FMA (AUSTRIA) 
10/10/2012
  • PRIME STRATEGIES LLC
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • P.A.N. SECURITIES LP - MERGERS AND ACQUISITIONS
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACION CON LA ENTIDAD DEBIDAMENTE REGISTRADA EN LOS ESTADOS UNIDOS DENOMINADA P.A.N. SECURITIES, LP
26/09/2012
  • PROFESSIONAL FINANCIAL ADVISORS
A warning PDF of date 26/09/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA UTILIZA EL NOMBRE Y DOMICILIO DE UNA ANTIGUA ENTIDAD REGISTRADA POR LA FSA QUE ACTUALMENTE NO ESTA OPERATIVA

Consultation criteria: By type unauthorised entities, By initial P.