Regulatory Warnings Database
Over 1,434 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.
1,434
Flagged Firms
68+
Regulators
73
Countries
Showing 1,351-1,400 of 1,434 results
Page 28 of 29
| Firm Name | Regulator | Type | Country | Date | Reviews | Source |
|---|---|---|---|---|---|---|
| MBR Asset Management | Securities and Exchange Commission | USA | — | — | View | |
| Medallion Asset Management LLC | Securities and Exchange Commission | USA | — | — | View | |
| Micro Global Management Inc. | Securities and Exchange Commission | USA | — | Page | View | |
| Morgan Investment Management | Securities and Exchange Commission | USA | — | — | View | |
| Northwest Global Management, Inc. | Securities and Exchange Commission | USA | — | — | View | |
| Nortia Account Management | Securities and Exchange Commission | USA | — | — | View | |
| One Global Management | Securities and Exchange Commission | USA | — | — | View | |
| Pacific Capital Management LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Paxmint Investment Management Company | Securities and Exchange Commission | USA | — | — | View | |
| Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Private Fund Management S.A. | Securities and Exchange Commission | USA | — | — | View | |
| Provident Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Redmond Asset Management, LLC | Securities and Exchange Commission | USA | — | — | View | |
| Reliance Capital Management Advisors | Securities and Exchange Commission | USA | — | Page | View | |
| Relion Assets Management | Securities and Exchange Commission | USA | — | — | View | |
| Riley Securities and Trading Management | Securities and Exchange Commission | USA | — | — | View | |
| SB Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Silver Spring Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Sony Global Asset Management, Ltd. | Securities and Exchange Commission | USA | — | — | View | |
| Spartan Capital Asset Management | Securities and Exchange Commission | USA | — | Page | View | |
| Steve Pearson Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| The Equity Exchange Group Portfolio Management (Limited) | Securities and Exchange Commission | USA | — | — | View | |
| Tribune Assets Management Litmited (sic) | Securities and Exchange Commission | USA | — | — | View | |
| Trident Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Triumph Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| U.S. Financial Management Service | Securities and Exchange Commission | USA | — | Page | View | |
| Upper East Side Trust Management | Securities and Exchange Commission | USA | — | — | View | |
| Warren & Massey Asset Management Ltd., Inc. | Securities and Exchange Commission | USA | — | — | View | |
| Weinberg Equity Management | Securities and Exchange Commission | USA | — | — | View | |
| Weinstein & Younge Asset Management Group | Securities and Exchange Commission | USA | — | — | View | |
| Western Global Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Windcrest Management Solution, Ltd. | Securities and Exchange Commission | USA | — | — | View | |
| Windgate Security Management | Securities and Exchange Commission | USA | — | — | View | |
| Yinrui Wealth Management | Securities and Futures Commission | HKG | — | — | View | |
| Betilog Sarl. Asset Management Inc. | Swiss Financial Market Supervisory Authority | CHE | — | — | View | |
| YTL ASSET MANAGEMENT | Financial Conduct Authority | GBR | — | — | View | |
| Fidelity Wealth Management | Autorité des marchés financiers | CAN | — | — | View | |
| GREYT & LEWIS MANAGEMENT INC. | Financial Conduct Authority | GBR | — | — | View | |
| Fidelity Max Investment Management | Swiss Financial Market Supervisory Authority | CHE | — | — | View | |
| BRIDGEPOINT MANAGEMENT GROUP LLC | Financial Conduct Authority | GBR | — | — | View | |
| SILVER CAPITAL MANAGEMENT LLC | Financial Conduct Authority | GBR | — | Page | View | |
| Parnell Rosenberg Irwin Asset Management (PRIAMA)– Suspected scam | Financial Markets Authority | NZL | — | — | View | |
| Tesalia Asset Management | Commission de Surveillance du Secteur Financier | LUX | — | — | View | |
| https://vibo-capital.com/hk/en/retail/home.html ; https://vibo-capital.com/hk/en/retail/our-funds/fssa-investment-managers.html | Securities and Futures Commission | HKG | — | — | View | |
| THE GRIFFIN ASSET & WEALTH MANAGEMENT FINANCIAL SERVICES | Financial Conduct Authority | GBR | — | Page | View | |
| Plaza funds management | Financial Markets Authority | NZL | — | — | View | |
| Culver Financial Management Limited (clone of an FCA authorised firm) | Financial Conduct Authority | GBR | — | — | View | |
| EVERINVST Asset Management | Financial Conduct Authority | GBR | — | — | View | |
| Multi Manager (Ireland) ICAV (Clone) | Central Bank of Ireland | IRL | — | — | View | |
| NPG Management | Autorité des marchés financiers | CAN | — | — | 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.