| Company Name |
Reported by |
Date Reported |
Found [ 203 ] item(s)
| Dow Tempelton |
IFSRA |
7-Oct-98 |
| Dukes & Company Securities Corp. |
PH SEC |
27-Sep-00 |
| De Verre Lloyd & Co Ltd |
SFC |
22-Oct-03 |
| Dissurance Limited Insurance Company |
FSC |
30-Apr-04 |
| De Verre Lloyd & Co |
SEC-COM |
1-Jul-04 |
| DCCR Investissement |
AMF |
2-Dec-04 |
| Dhana |
CONSOB |
1-Feb-05 |
| Drake Asset Management |
SEC-COM |
2-May-05 |
| Dickson's Law Office UK |
FSC |
29-Jun-05 |
| Dune Dawson Inc |
SEC-COM |
30-Jun-05 |
| DERIBOLSA, S.L. |
CNMV |
4-Jul-05 |
| Dempster, Hampton & Duke |
FSA |
5-Sep-05 |
| Dragon Securities |
Finansinspektionen |
6-Sep-05 |
| Donavan & Yung Partners |
FSA |
22-Sep-05 |
| Dempster Hampton Duke |
SEC-COM |
6-Oct-05 |
| Doulton Group |
Kredittillsynet |
14-Nov-05 |
| Delta IMT |
AFM |
21-Dec-05 |
| Donovan & Yung Partners |
SFC |
1-Mar-06 |
| Delta Trust Bank |
FSC |
17-Mar-06 |
| Delta Trade Financial Group |
Finansinspektionen |
28-Apr-06 |
| DTZ Investment Group & Financial Securities |
FSC |
12-May-06 |
| Davis Goldberg Group |
MAS |
30-Jun-06 |
| Dublin Castle Investment Inc |
MAS |
30-Jun-06 |
| DRC Europe |
FSC |
14-Aug-06 |
| Dunleavy Management Ltd |
Finansinspektionen |
12-Sep-06 |
| Diversified Capital Management Ltd |
Finansinspektionen |
18-Oct-06 |
| Dunleavy Investment Ltd. |
Kredittilsynet |
19-Oct-06 |
| Digital 1 Media, Inc. |
Finansinspektionen |
31-Oct-06 |
| D. Keffel-Fallahi |
FMA |
22-Nov-06 |
| Daily Report, S.A. |
CNMV |
4-Dec-06 |
| DSB Singapore Pte |
Finansinspektionen |
11-Dec-06 |
| Deacons LaSalle |
SEC-COM |
1-Mar-07 |
| Diversified Global Capital Group |
SEC-COM |
2-Apr-07 |
| Direct Settlements Pte Ltd |
Kredittilsynet |
3-May-07 |
| Denton Mergers and Acquisitions |
AFM |
3-Jul-07 |
| Dongyin Futures |
ASIC |
27-Sep-07 |
| Davis & Rudell LLC |
Finansinspektionen |
13-Feb-08 |
| Dubai Options Exchange |
ASIC |
29-Feb-08 |
| Diversified Investments Group Inc |
ASIC |
11-Mar-08 |
| Dolphin and Bradbury |
FSA |
11-Mar-08 |
| Delta Liaising |
FSA |
15-May-08 |
| Danford Capital Group |
SEC-USA |
10-Jun-08 |
| Dauphin Asset Europe |
Finansinspektionen |
4-Jul-08 |
| Dunbar Mackenzie |
FSA |
31-Jul-08 |
| Draven Mier Associates |
FSA |
4-Aug-08 |
| Dominion Royal Ekonomisk F?rening (Economic Association) |
Finansinspektionen |
15-Oct-08 |
| Delta Group, LLC |
FSA |
30-Oct-08 |
| Don Tombia Herbert Investment Ltd |
MAS |
7-Nov-08 |
| Dawson James Securities |
FSA |
27-Nov-08 |
| Darwin Investments |
FSA |
30-Jan-09 |
| Dextraplus |
CNMV |
9-Mar-09 |
| Dufresne and Andy International |
Finansinspektionen |
28-Apr-09 |
| Dolan Corporate Equity Solutions Inc. |
FSA |
1-May-09 |
| Damon and Callus |
Finansinspektionen |
7-May-09 |
| DES Options |
ASIC |
8-May-09 |
| Darier Asset Management |
FSA |
14-May-09 |
| Dragon Partners Inc. |
FSA |
29-May-09 |
| Doyle John Joseph llp |
Finansinspektionen |
18-Jun-09 |
| Delmedica Investments Limited |
ASIC |
13-Jul-09 |
| Diversified Reclaim Services |
FSA |
27-Jul-09 |
| Dubai International al Investment & Trading |
FMA |
9-Sep-09 |
| Davenport Chadwick & Co. Ltd |
CYSEC |
10-Sep-09 |
| Dubai Rentenfunds |
FMA |
16-Sep-09 |
| Dawson and Raymond M & A |
SFC |
19-Oct-09 |
| Direct Euro Credit |
FMA |
20-Oct-09 |
| Denko Group |
Finansinspektionen |
21-Oct-09 |
| Davenport & Co |
FSA |
8-Dec-09 |
| Douglas Corporation |
FSA |
17-Dec-09 |
| Douglas Ellis Inc |
FSC |
17-Dec-09 |
| Delamont Wealth Management |
FSA |
30-Dec-09 |
| Dreyfus Corp |
FSA |
30-Dec-09 |
| Dividium Capital, S.L. |
CNMV |
11-Jan-10 |
| Dai-ichi Securities |
Finanstilsynet |
1-Mar-10 |
| Dawson & Fielding Inc. |
Finansinspektionen |
3-Mar-10 |
| Digits Financial Hong Kong Company |
SFC |
8-Mar-10 |
| Dupont Conseille AG |
AFM |
12-Aug-10 |
| Dividium Capital Group International |
SFC |
9-Sep-10 |
| Dynamic Wealth Management, DWM |
Finansinspektionen |
25-Oct-10 |
| Donnelly Aberdeen International |
Finansinspektionen |
2-Nov-10 |
| Delta Continental |
SFC |
18-Nov-10 |
| Diversified Capital |
SFC |
29-Nov-10 |
| Duvel Group of Canada |
BCSC |
3-Dec-10 |
| Dachser Global Markets |
ASIC |
15-Dec-10 |
| DB Trust |
ASIC |
15-Dec-10 |
| Dividium Asia Limited |
SFC |
3-Jan-11 |
| Douglas Charles (DC) |
AFM |
6-Jan-11 |
| Dachser Global Markets |
FMA |
7-Jan-11 |
| Declan and Ross |
FSA |
24-Jan-11 |
| Dealers Quality Consulting, S.L. |
CNMV |
21-Feb-11 |
| Diversified Portfolio Management Invest |
FSA |
1-Mar-11 |
| Delap Capital Services |
Finansinspektionen |
21-Mar-11 |
| David W. Jones, Attorney at Law |
SEC-USA |
5-Apr-11 |
| Duke & Bremmer Law Firm LP |
SEC-USA |
5-Apr-11 |
| Duke Smythe Associates |
SEC-USA |
5-Apr-11 |
| Distressed Acquisitions Commission |
FSA |
19-Apr-11 |
| Drexel Lambert Mergers and Acquisitions |
FSA |
24-May-11 |
| Delta West Financial Management |
Finansinspektionen |
30-May-11 |
| DC Financial |
Finansinspektionen |
23-Jun-11 |
| Donaldson and Turner Ltd. |
FMA |
30-Jul-11 |
| Delap Capital Services |
FINMA |
15-Sep-11 |
| Devonshire & Douglas Capital Partners |
SFC |
27-Sep-11 |
| Dempsey Bingham |
SEC-USA |
26-Oct-11 |
| Diversified Assets Authority |
SFC |
26-Oct-11 |
| DMR Consulting, LLC |
Finansinspektionen |
7-Nov-11 |
| Drexel-Bearns Consulting Group |
FSA |
7-Nov-11 |
| Durdan Heyer Ltd |
FSA |
29-Nov-11 |
| Dailey Securities, Inc. |
Finansinspektionen |
9-Dec-11 |
| Di-La & Thalia Assurances |
FSMA |
3-Feb-12 |
| DG Trading Corp. |
CNB |
28-Mar-12 |
| Davidson Capital Partners |
IFSRA |
3-Apr-12 |
| Douglas and Gardner |
FINMA |
1-May-12 |
| Direct Brokers Invest / DB Invest /Direct Brokers Investments |
FSA |
8-May-12 |
| DIRECIONAL COBRAN?A EMPRESARIAL LTDA |
CVM |
29-May-12 |
| Davidson Capital Partners |
FSA |
31-May-12 |
| Denhman Ogilvie |
Finansinspektionen |
4-Jun-12 |
| Decker Investors Corporation |
CYSEC |
5-Jun-12 |
| Dc Digital Finance Lt |
CONSOB |
12-Jul-12 |
| Dawson & Crane Inc |
FMA |
13-Jul-12 |
| D2C Finances |
AMF |
23-Jul-12 |
| Department of Securities Trading |
FMA-NZ |
1-Aug-12 |
| Dawson White Trust, DW Trust |
Finansinspektionen |
17-Aug-12 |
| Drake Merger Management |
Finansinspektionen |
3-Sep-12 |
| Dant and Company LLC |
FSA |
19-Sep-12 |
| Drake & Childs Global Transfers |
FSA |
12-Oct-12 |
| Dietrich & Sohn London |
FMA |
16-Oct-12 |
| Direct Capital Connection |
Finanstilsynet-N |
25-Oct-12 |
| Deutsche Bank AG (Clone of FSA EEA authorised firm) |
FSA |
19-Nov-12 |
| Dragon International |
FSA |
13-Dec-12 |
| Dom Inwestycyjny |
KNF |
19-Feb-13 |
| Douglas Charles, Inc. |
SMV |
25-Feb-13 |
| DAGMARA DZIUBYNA G & DINVEST I WSP?LNICY |
KNF |
20-Mar-13 |
| Department of Financial Trading |
FCA |
22-Mar-13 |
| Dean Witter Consultancy (USA) |
CBI |
3-Apr-13 |
| DC BVBA |
FSMA |
23-Apr-13 |
| DCMi-U BVBA |
FSMA |
23-Apr-13 |
| DeVere & Partners UK Limited / De Vere Ltd (Clone of FCA Authorised firm) |
FCA |
7-May-13 |
| Delacour Investments / Delacour Group Ltd |
FCA |
9-May-13 |
| Doncaster Wealth Management / Doncaster Wealth Management (Brokers) Ltd |
Financial Conduct Authority, United Kingdom |
13-May-13 |
| Department of Foreign Investment Control |
FCA |
15-May-13 |
| Denison Newbrook Reid |
SFC |
29-May-13 |
| Division of Securities, Chicago Illinois |
SEC |
30-May-13 |
| DS Forex |
SFC |
12-Jul-13 |
| Dupont Securities |
SFC |
12-Jul-13 |
| Dean Capital Canada Ltd., doing business as Dean Capital Group |
OSC |
15-Aug-13 |
| Dinosaur Assets Management (HK) Limited |
SFC |
21-Aug-13 |
| Dinosaur Investor Services (UK) Limited |
SFC |
21-Aug-13 |
| Direct Mergers and Acquisitions Inc |
FCA |
13-Sep-13 |
| DT Group Business Solutions |
FCA |
16-Sep-13 |
| Deutsche Policen Aufwertung AG |
FINMA |
30-Oct-13 |
| Deep Blue Group |
Finanstilsynet-N |
19-Nov-13 |
| DeVere Group UK (Clone of FCA Authorised Firm) |
FCA |
26-Nov-13 |
| Dingfeng International Corporation |
Securities and Futures Commission, Hong Kong |
6-Dec-13 |
| DAB Asia Limited |
Securities and Futures Commission, Hong Kong |
7-Jan-14 |
| Dyman Associates |
Finansinspektionen |
9-Jan-14 |
| Danske Capital (Clone of a FCA Authorised Firm) |
FCA |
4-Feb-14 |
| DFM Asset Management |
Finanstilsynet - Denmark |
25-Feb-14 |
| Devonshire Holdings (klon) |
Financial Conduct Authority, United Kingdom |
4-Mar-14 |
| Doyle Hutton Associates |
Securities and Futures Commission, Hong Kong |
7-Mar-14 |
| Delta Clearing Inc. |
Ontario Securities Commission, Ontario (Canada) |
1-Apr-14 |
| Davis Ward & Beck Partners LLC |
AFM, The Netherlands |
16-Apr-14 |
| DeltaFins Investments Inc. |
FINMA, Switzerland |
1-May-14 |
| Daido Holdings Group |
Autoriteit Financi?le Markten, The Netherlands |
27-May-14 |
| Delorean Family, S.L. |
Comisi?n Nacional del Mercado de Valores, Spain |
2-Jun-14 |
| D B Ingram and Associates LLP |
Financial Conduct Authority, United Kingdom |
11-Jun-14 |
| Decorcraft Limited |
Financial Services Commission, Gibraltar |
1-Jul-14 |
| Decorcraft Limited |
Financial Services Commission, Gibraltar |
1-Jul-14 |
| Dealerweb Ltd. |
Financial Supervision Commission, Bulgaria |
25-Jul-14 |
| DCI Fund Managers Ireland PLC (klon) |
Financial Conduct Authority, United Kingdom |
5-Aug-14 |
| Deacon Corporate Group |
Financial Conduct Authority, United Kingdom |
21-Aug-14 |
| Drummonds Initiatives |
Financial Conduct Authority, United Kingdom |
11-Sep-14 |
| Dean Foster Associates (klon) / Kames Capital (klon) |
Financial Conduct Authority, United Kingdom |
17-Sep-14 |
| DuPont Financial/DuPont FX/DP Global Services Ltd (klon av auktoriserat bolag) |
Finansinspektionen |
29-Sep-14 |
| DirectProperty Inc |
Jersey Financial Services Commission, Jersey |
24-Oct-14 |
| Dolce Formula Ltd. |
Ontario Securities Commission, Ontario |
24-Nov-14 |
| DB Yates & Associates |
Financial Conduct Authority, United Kingdom |
5-Jan-15 |
| DFA Management Limited |
Australian Securities and Investments Commission, Australia |
30-Jan-15 |
| Douglas Cooper Associates |
Financial Conduct Authority, United Kingdom |
11-Feb-15 |
| dragonoptions.com |
Autorit? des March?s Financiers, Qu?bec (Canada) |
9-Mar-15 |
| DSR Wealth Management Group |
Australian Securities and Investments Commission, Australia |
12-Mar-15 |
| Digital Bet Services Spain, S.L. |
Comisi?n Nacional del Mercado de Valores, Spain |
20-Apr-15 |
| DFRF Enterprises LLC / DFRF Enterprises Ltd. |
#NAME? |
6-May-15 |
| DW Trading (klon) |
Financial Conduct Authority, United Kingdom |
23-Jul-15 |
| Discretionary Unit Fund Managers (klon) |
Financial Conduct Authority, United Kingdom |
10-Aug-15 |
| Dashan International |
Financial Services and Markets Authority, Belgium |
10-Sep-15 |
| David, Scott & Allen PLLC |
Securities and Exchange Commission, United States of America |
17-Sep-15 |
| Dial Mergers |
Securities and Exchange Commission, United States of America |
17-Sep-15 |
| Duval Capital & Asset Management Group |
FINMA, Switzerland |
17-Sep-15 |
| Dumont Private Equity |
Finansinspektionen |
23-Sep-15 |
| DeutscheMarkets (klon) |
Financial Services and Markets Authority, Belgium |
25-Sep-15 |
| Daishi Capital International Wealth Management |
Securities and Futures Commission, Hong Kong |
26-Oct-15 |
| De Urrutia Group Holding |
Comisi?n Nacional del Mercado de Valores, Spain |
30-Nov-15 |
| Direkt Easy Kredit |
Finanzmarktaufsicht, Austria |
10-Dec-15 |
| Dirk Swinnen / DS Trading (klon) |
Financial Conduct Authority, United Kingdom |
15-Dec-15 |
| DSMG Limited / binarybrokerz.com / brokerz-affiliates.com |
Ontario Securities Commission, Ontario, Canada |
18-Dec-15 |
| Dgx System Ltd / Crlink Limited / www.optioncm.com |
Commissione Nazionale per le Societ? e la Borsa, Italy |
28-Dec-15 |
| Detafunds |
FINMA, Switzerland |
18-Jan-16 |
| Depix Holdings Limited |
Ontario Securities Commission, Ontario, Canada |
22-Jan-16 |
| dforbinary.com |
Autorit? des march?s financiers, Qu?bec, Canada |
27-Jan-16 |
| dr6888.com |
Securities and Futures Commission, Hong Kong |
5-Feb-16 |
| Different Choice FBC Inc./ DCFXBroker |
Magyar Nemzeti Bank, Hungary |
24-Mar-16 |
| Delta India / Delta Lloyd Investment Fund N.V. (klon) |
British Columbia Securities Commission, British Columbia, Canada |
4-Apr-16 |
| Diversified Global Equities Group |
Securities and Exchange Commission, USA |
19-Apr-16 |
| Diversified Private Capital Group |
Securities and Exchange Commission, USA |
19-Apr-16 |