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 40 out of 56
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
22/10/2008
  • PETERSON MCCORMACK ASSOCIATES
A warning PDF of date 22/10/2008 (new window) FSA (REINO UNIDO) 
23/05/2012
  • PHOENIX INVESTMENTS AG
A warning PDF of date 23/05/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • PRIME STRATEGIES LLC
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
21/11/2012
  • PRUDENTIAL GLOBAL GROUP
A warning PDF of date 21/11/2012 (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
22/08/2012
  • PEX GLOBAL INC
A warning PDF of date 22/08/2012 (new window) FSA (REINO UNIDO) 
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
16/01/2013
  • PARKER & MASTERS LLC
A warning PDF of date 16/01/2013 (new window) FSA (REINO UNIDO) 
03/04/2013
  • PERSIST GLOBAL WEALTH MANAGEMENT
A warning PDF of date 03/04/2013 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA RELACIÓN CON LA ENTIDAD DEBIDAMENTE AUTORIZADA PERSIST GLOBAL WEALTH MANAGEMENT BV
03/04/2013
  • PERSIST GLOBAL WEALTH MANAGEMENT
A warning PDF of date 03/04/2013 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA RELACIÓN CON LA ENTIDAD DEBIDAMENTE AUTORIZADA PERSIST GLOBAL WEALTH MANAGEMENT BV

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