Regulatory Warnings Database
Over 181 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.
181
Flagged Firms
68+
Regulators
73
Countries
Showing 151-181 of 181 results
Page 4 of 4
| Firm Name | Regulator | Type | Country | Date | Reviews | Source |
|---|---|---|---|---|---|---|
| 12 West Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Alderbrook Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Alexander Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Athens Capital Management LLC / Athens Investments | Securities and Exchange Commission | USA | — | Page | View | |
| Beacon Capital Management Inc. | Securities and Exchange Commission | USA | — | Page | View | |
| Boston Capital Management Inc. | Securities and Exchange Commission | USA | — | Page | View | |
| Brookdale West Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Capital Management Asset Security Commission | Securities and Exchange Commission | USA | — | Page | View | |
| Chartered Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Global Capital Management, Inc. | Securities and Exchange Commission | USA | — | Page | View | |
| Goldman Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Hampton Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Holland Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Legacy Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Litmus Capital Management Group LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Loeb King Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Macellum Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Manhasset Capital Management Group | Securities and Exchange Commission | USA | — | Page | View | |
| Pacific Capital Management LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Pierce Morgan Trust Management, LLC, a.k.a. Pierce Morgan Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Provident Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Reliance Capital Management Advisors | Securities and Exchange Commission | USA | — | Page | View | |
| SB Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Silver Spring Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Steve Pearson Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Trident Capital Management, LLC | Securities and Exchange Commission | USA | — | Page | View | |
| Triumph Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| Western Global Capital Management | Securities and Exchange Commission | USA | — | Page | View | |
| SILVER CAPITAL MANAGEMENT LLC | Financial Conduct Authority | GBR | — | Page | View | |
| Paladin Capital Management | FCA | GBR | — | Page | View | |
| Emerald Capital Management | FCA | 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.