Regulatory Warnings Database
Over 187 firms flagged by 68+ financial regulators across 73 countries. Data sourced from IOSCO I-SCAN, FCA, SEC, ASIC, and more. Always verify with official sources before investing.
187
Flagged Firms
68+
Regulators
73
Countries
Showing 1-50 of 187 results
Page 1 of 4
| Firm Name | Regulator | Type | Country | Date | Reviews | Source |
|---|---|---|---|---|---|---|
| LionHawk Capital Management (Clone of FCA authorised firm) | Financial Conduct Authority | Unregistered/Unlicensed entity offeri... | GBR | Jan 2026 | Page | View |
| Wallwood Capital Management Limited | Commissione Nazionale per le Società e la Borsa | Unregistered/Unlicensed entity offeri... | ITA | Jan 2026 | Page | View |
| Genus Capital Management (no relation to the British Columbia registered firm Genus Capital Management Inc.) | British Columbia Securities Commission | CAN | Jan 2026 | Page | View | |
| Capital Management | Financial Markets Authority | Unregistered/Unlicensed entity offeri... | NZL | Nov 2025 | Page | View |
| D Finance Capital Management Ltd | Dubai Financial Services Authority | Unregistered/Unlicensed entity offeri... | ARE | Nov 2025 | Page | View |
| 1. Miller Value Partner;2. Aristotle Capital Management | Securities and Futures Commission | HKG | Jul 2025 | Page | View | |
| Malta Capital Management Limited | Malta Financial Services Authority | MLT | Jul 2025 | Page | View | |
|
Apollo digital capital management (apollodigitalcaptmgt.com);
apollodigitalcaptmgt.com |
ASIC (Australia) | AUS | Jun 2025 | Page | View | |
| Virtus Capital aka VirtusCapital (no relation to Ontario registered firm Virtus Capital Management Inc. | Ontario Securities Commission | CAN | May 2025 | Page | View | |
|
Apollo digital capital management (apollodigitalcaptmgt.com)
apollodigitalcaptmgt.com |
ASIC (Australia) | AUS | May 2025 | Page | View | |
| Virtus Capital (no relation to an Ontario registered firm Virtus Capital Management Inc.) | British Columbia Securities Commission | CAN | Apr 2025 | Page | View | |
| Bright Stream Capital Management Limited | Financial Markets Authority | Unregistered/Unlicensed entity offeri... | NZL | Feb 2025 | Page | View |
| Capital Manage | Financial Markets Authority | Unregistered/Unlicensed entity offeri... | NZL | Feb 2025 | Page | View |
|
Impersonation of Capital Managed Investments Ltd (capitalmanagedinvestmentsltd.com)
www.capitalmanagedinvestmentsltd.com |
ASIC (Australia) | AUS | Feb 2024 | Page | View | |
|
Impersonation of Capital Managed Investments Ltd (capitalmanagedinvestmentsglobal.com)
capitalmanagedinvestmentsglobal.com |
ASIC (Australia) | AUS | Feb 2024 | Page | View | |
| RENFREW CAPITAL MANAGEMENT | Bermuda Monetary Authority | BMU | Jul 2022 | Page | View | |
|
Vitol Capital Management Ltd / Vitol Capital
www.vitolcapital.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
| United Capital Management Inc | ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Sinclair Capital Management Limited
www.sinclaircm.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
| Sigama Capital Management | ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Shenzhen Capital Management
www.shenzhencap.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Shaw Capital Management
www.shaw-capital.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Saba Capital Management
sabahkllc.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Richmond Capital Management
www.richmondconsultancy.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Madley Capital Management Limited
www.madleycm.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Locker Capital Management
www.locker-cm.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
| Labanna Capital Management | ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
King Capital Management
www.kingcapitalmanagement.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Icon Capital Management
www.iconcapman.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
| Harbor Capital Management San Francisco | ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Goodwin Capital Management Limited
www.goodwinadvisors.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Chartered Capital Management
www.charteredcm.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Capital Management Limited
www.capitalmgmt.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Branford Capital Management
www.bcapitalmgt.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Asset Capital Management
www.assetcapitalmgmt.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
|
Allied Capital Management L.P
www.alliedcapmgt.com |
ASIC (Australia) | AUS | Aug 2019 | Page | View | |
| Capital Management Schotts, SL | Comisión Nacional del Mercado de Valores | ESP | — | Page | View | |
| Euro Trust Capital Management | Comisión Nacional del Mercado de Valores | ESP | — | Page | View | |
| Capital Management and Investments Ltd | Financial Conduct Authority | GBR | — | Page | View | |
| Trading Resources Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| Shaw Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| Boston Capital Management, Inc. | Finansinspektionen | SWE | — | Page | View | |
| Fisher Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| McMillen Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| Western Global Capital Management | Finansinspektionen | SWE | — | Page | View | |
| Truimph Capital Management | Securities and Futures Commission | HKG | — | Page | View | |
| Belgrave Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| Polaris Capital Management | Financial Conduct Authority | GBR | — | Page | View | |
| Antares Capital Management | Comisión Nacional Bancaria y de Valores | MEX | — | Page | View | |
| Gatemore Capital Management | Financial Conduct Authority | GBR | — | Page | View |
This data is sourced from IOSCO I-SCAN and official financial regulators. Inclusion in this list does not necessarily mean the firm has committed fraud - it may indicate they are not authorized to operate in a specific jurisdiction. Always verify with the relevant regulator before making investment decisions.