• About
• Publications
• Exemptions
• Notices
• What's new?
• International
• Speeches
• Information for investors
• Financial adviser regulation
• Contact us
• Site map
• Home

Overseas firms that have called New Zealanders

Since August 2000 we have published the names of firms who have targeted people in New Zealand. These callers do not hold a New Zealand broker's licence or futures dealer authorisation and do not comply with New Zealand law.

They have not provided evidence that they are registered in their home jurisdiction to undertake this type of securities business.

This list is not exhaustive. If you are cold called from a firm that is not on the list that does not mean it is genuine. It is always unwise to send money overseas to someone who you know only from an unsolicited call.

For information on questions to ask before making any investment decision see Test before you invest.

• Kearns Investments Inc
  

  Level 9 AIG Building 1-1-3 Marunouchi Chiyoda-Ku Tokyo 100-0005 JAPAN	Level 21 HSBC Tower 101 Yin Cheng East Road Pudong Shanghai 200120 CHINA
  Level 36 Menara Citibank 165 Jalan Ampang 50450 Kuala Lumpur MALAYSIA

  
  Associated individuals: Michelle Von Wald, Cyrus Fahad, Tony Sacks and Michael Stuart.
  Published on this site October 2001
• Kempton Fitzgerald Limited
  Empire House
  175 Picadilly
  Mayfair
  London WIJ 9TB
  UNITED KINGDOM
  
  Published on this site November 2003
• Kennedy Investments Limited
  

  Edificio Centro Empresarial Oficina 403 Torre II 5a Avenida 15-45 Zona 10 Guatemala City GUATEMALA 01010 Published on this site June 2003

• Kensington Group Inc
  30th Floor, Shinjuku Park Tower
  3-7-1 Nishi-shinjuku
  Shinjuku
  Tokio
  JAPAN
• The Kensington Group

• Kimberly Capital Corporation
  14 George Road
  Glen Rock NJ 07452
  UNITED STATES OF AMERICA
  
  Associated individuals: Laurence Smith, Kamal Pateal Smith, Shamon Peris
  
  Telephone: 201 839 9517
  Fax: 201 604 7444
  E-mail: contact@kimberlycapital.com
  website: www.kimberlycapital.com
  
  Kimberly Capital Corporation should not confused with the legitimate Kimberly Capital Corporation incorporated in the US. It has stolen the name and address of the genuine firm. The genuine Kimberly Capital Corporation does not have a website and has different phone and fax numbers.
  
  Published on this site February 2009
  
• KLM Investment Services Limited
  25 Dowgate Hill
  Cannon Bridge
  London
  UNITED KINGDOM
  
  Associated individuals: Adam Lewis and Timothy Husk
  Published on this site August 2001
• Knobias Alliance Group
  Kornhausstrasse 3
  CH 9000 St. Gallen
  SWITZERLAND
  
  Associated individual: Jack Quinn
  Published on this site January 2004
• Liberty Assets Inc.
  3306 South Liberty Street
  New Orleans
  LA 70115
  UNITED STATES OF AMERICA
  
  Associated individuals: Eli Green, George Franks, George Buckingham and Steven Givens
  Published on this site 28 September 2004
• Liberty Capital International Limited
  PO Box W829
  Corn Alley
  St John's
  ANTIGUA
  
  Published on this site June 2001
• Liberty First Advisory Services, S.A.
  Paris, 101-107
  08029 Barcelona
  SPAIN
  
  Associated individual: Randy Perry
  Published on this site April 2004
• Lincoln Partners M&A Inc.
  415 Madison Avenue
  New York City, New York
  10017 UNITED STATES OF AMERICA
  
  Published on this site June 2007
• Limbaugh and York Associates
  1200 McGill College Avenue
  Suite 1105 Execu-Centre
  Montreal, QC H3B 4G7
  CANADA
  
  Phone: +1 514 906 1732
  Fax: +1 514 221 3865
  E-mail: info@limbaughandyorkassociates.com
  Website: www.limbaughandassociates.com
  
  Published on this site October 2008
• Livingston Asset Management
  14 Ron
  1204 Geneva
  SWITZERLAND
  
  Associated individuals: Ingo Janneau, Marc Philips, Aron Mozes, Jonathon Livingston, Charles Bond.
  Published on this site June 2002
• Lloyds TSB
  Email: customer -service@lloydstsb.co.uk
  Note: Only this particular Lloyds email address is identified as fraudulent.
  
  Published on this site June 2008
• Lombard Grand Incorporated
  Level 21 Centennial Tower
  3 Temasek Avenue
  SINGAPORE 039190
  
  Published on this site March 2004
• Loyal Relations, Ltd.
  1805 Wheelock House
  20 Pedder Street,
  Central, HONG KONG
  
  Published on this site May 2007
• Lloyds & Barclays Inc.
  Suite 3304, Empire States Building
  350 Fifth Avenue
  New York 10118
  UNITED STATES OF AMERICA
  
  Associated individual: Sonny Danson
  Published on this site 28 September 2004
• Lynx Commodities
  Asia House
  31-33 Lime Street
  London EC3M 7HT
  UNITED KINGDOM
  
  Associated individual: James Wright
  Published on this site July 2005
• Lynx Mackenzie Incorporated
  415 Madison Avenue
  New York, NY10017
  USA
  
  Website: www.lynxmackenzie.com
  Published on this site January 2009
• Macintosh & Sons Ltd
  8 Hampshire Lane
  3rd Floor
  Salisbury
  Wiltshire
  SP2 7TU
  UNITED KINGDOM
  
  Associated individual: Edward D. Macintosh II
  Published on this site October 2003
• The Madison Group
  23rd Floor
  M.Thai Tower
  All Seasons Place
  87 Wireless Road
  Phatumwan
  Bangkok 10330
  THAILAND
  
  Associated individuals: Glen Bradshaw, Frank Harris, John Jacobsen
  Published on this site September 2000
• Magna Capital Research
  702 Wheelok House
  20 Pedder Street
  Central Hong Kong
  HONG KONG
  
  Published on this site March 2006
• Magnusson Edward
  17/F Cheung Kong Center
  2 Queen's Road Central
  HONG KONG
  
  Published on this site January 2006
• Manhattan Pacific Group Limited
  The World Trade Centre
  Leutschenbachstrasse 95
  Zurich 8050
  SWITZERLAND
  
  Associated individual: David Carlton
  Published on this site March 2005
• Manhattan Securities Corporation
  166 Millbrook Circle
  Norwood
  NJ 07648
  UNITED STATES OF AMERICA
  
  Published on this site May 2006
• Manning Capital, Inc
  384 - 386 Greenwich Street
  NY 10013
  UNITED STATES OF AMERICA
  
  Published on this site April 2008
• Michael J Marrin
  Attorney-at-Law
  44 Court Street
  Temple Bar Building
  Suite 802
  Brooklyn
  New York
  NY 11201
  UNITED STATES OF AMERICA
  Not to confused with Michael J Marrin, Attorney-at-Law, 65 Southard Avenue, Rockville Center, New NY 11570, United States of America.
  
  Published on this site June 2008
• Marlborough Acquisitions Inc
  4600 South Ulster Street
  Denver, Colorado 80237-2882
  UNITED STATES OF AMERICA
  
  Published on this site March 2001
• Mason McHale Portfolio Management
  19/F Hing Wai Building
  36 Queen's Road
  CENTRAL HONG KONG
  
  Published on this site 04 June 2004
• Master Bettman
  

  548 8 Avenue New York UNITED STATES OF AMERICA

  Level 25, Bank of China Tower 1 Garden Road HONG KONG

  
  Published on this site April 2007
• Mayer Wegner Mergers & Acquisitions
  Schwarzwaldstr, 88PLZ
  Stadt: 60528
  Frankfurt
  GERMANY
  
  Published on this site October 2005
• Mercantile International Securities
  100 Summer Street
  Boston, MA 02110
  UNITED STATES OF AMERICA
  
  Associated individual: William Blair
  Published on this site 17 August 2004
• Merit Capital Group
  38 Russell Street
  28/Floor Soundwill Plaza
  Causeway Bay
  HONG KONG
  
  Published on this site July 2003
• Millennium Exchange
  6919 Viejean Ave
  Van Nuys
  CA 914406
  UNITED SATES
  
  Published on this site May 2006
• Millenium Financial Group
  23rd Floor
  Tower 1, The Enterprise Center
  6766 Ayala Avenue
  Makati City 1200
  PHILIPPINES
  
  Associated individuals: Richard Arrowsmith, Gary Artzt, G. Edward Buell, Ben Cattaneo, Nica Gelera, Ray Gordon, Jon Jones, Jon Lopresti, Matthew McAllister, George Mitchell, Lenny Mazzola, Joseph Paterno, Ken Sheffield, Romson Velez, and Robert Velis.
  Published on this site March 2001
• Miller Bosses Acquisitions Inc.
  4100 Lyndale Av
  Minneapolis
  MN 55409
  UNITED STATES OF AMERICA
  
  Associated individual: Charles Davenport
  Published on this site 28 September 2004
• Monahan & Monahan Ltd
  339 Florida Boulevard
  Baton Rouge
  Louisiana 70806
  UNITED STATES OF AMERICA
  
  Associated individual: Stephen P Monahan
  Published on this site November 2004
• Montgomery,Smith and Cooper
  Phone: +1 212 710 1372
  Fax: +1 718 725 8048
  
  Published on this site August 2008
• Morgan International Investment Group Inc
  6, Circuit de la Foire Internationale
  BP 2507, L-1025 Luxembourg
  GRAND-DUCHE DE LUXEMBOURG
  
  Associated individuals: Thomas Carpenter, Simon Richardson, Diane Rosenberg
  Published on this site November 2001
• Morgan Pacific
  138 Silom Road
  Boonmitr Building 10th Floor
  Suriyawongse
  Bangrak
  Bankok 10500
  THAILAND
  
  Associated individual: Graham Thompson
  Published on this site June 2001
• Morgan Price Limited
  

  Suite 2/83 Walker Street North Sydney NSW 2060 AUSTRALIA

  Level 21, 201 Miller Street North Sydney NSW 2060 AUSTRALIA

  Registered Office Unit 81 6 Greenknowe Avenue Elizabeth Bay NSW 2011 AUSTRALIA

  
  Associated individuals: Robbie Joseph, president, Douglas Pestano, director/secretary, Paul Cottingham Sohn, director.
  Published on this site March 2003
• Morrison Cross Financial Investments Limited
  Ave. Manuel Espinosa Batista
  International Business Center
  Floor 11
  PO Box 0833-0118
  Panama
  REPUBLIC OF PANAMA
  
  Associated individuals: Kenneth Elliot, Max Peters
  Published on this site June 2001
• Muller and Sons Securities Management Inc
  Unit 114 Prince Plaza 1
  106 Legaspi Street
  Legaspi Village
  Makati City
  PHILIPPINES
  
  Associated individuals: Ben Smit, Michael Martin, Stephanie Victoire and Maurie Wise
  Published on this site August 2000
• Muller Schmidt Associates
  1500 W Lake St
  MN 55408
  UNITED STATES OF AMERICA
  
  Published on this site December 2005
• Nakamoto International Group
  Wakamatsu Building
  3-3-6 Nihonbashi Hon-cho
  Chuo-ku
  TOKYO 103-0023
  
  Published on this site June 2006
• Nasdaq Brokercheck
  Not to be confused with the genuine Nasdaq Stock Exchange (www.nasdaq.com)
  
  Published on this site June 2008
• Nationwide Mergers & Acquisitions Inc
  3178 Johnson Ferry Road Northeast
  Atlanta, GA 30303
  UNITED STATES OF AMERICA
  
  Published on this site February 2005
• New York Income Partners II LLC
  34445 Winton Place
  Rochester NY 14623
  UNITED STATES OF AMERICA
  Phone: +1 866 365 0718/ +1 585 492 8900
  Fax: +1 202 262 1105
  E-mail: info@nyipartners.com
  Not to be confused with the genuine New York Income Partners II, LLC
  
  Published on this site January 2010
• Newmann Hamshire GmbH
  21^st Floor Mainzer Landstrasse 47
  60329 Frankfurt am Main
  GERMANY
  
  Published on this site November 2005
• New Market Corporation
  Yurakucho 2-7-1
  Chiyoda-Ku
  Tokyo
  JAPAN
  Website: www.newmarketcorp.com
  Email: info@newmarketcorp.com
  Phone: +813 4580 2171
  Fax: +813 4580 2197
  
  Associated individual: Dave Chavez
  Published on this site April 2010
• Newport Pacific Securities & Management Inc
  Unit 404
  Greenbelt Mansion
  106 Pera Street
  Legaspi Village
  Makati
  Manila
  PHILIPPINES
  
  Associated individuals: Jack Miller, Thomas Massino, Johnny Morgan, Peter Lynch and Ron James
  Published on this site October 2000
• Noble International Consulting Inc
  PO Box 330
  Ste 505
  123 Queen Street
  Toronto
  Ontario M5H 2M9
  CANADA
  
  Published on this site August 2005
• North Point Asset Management Ltd
  North Point Investment Management
  Chonghing Finance Center
  Level 12, 288 Nanjing XI Road
  Huangpu district 200003
  Shanghai,
  CHINA
  Phone: +86 138 165 501 44
  Fax: +86 216 163 8213
  Website: www.northpointassetmanagement.com
  
  Associated individual: Chris Johnson
  Published on this site August 2009
• Norwich Capital Mutual Funds Limited
  Valero Towers, Penthouse D
  122 Valero Street
  Salcedo Village
  Makati City
  PHILIPPINES
  
  Associated individual: Chris Jones
  Published on this site August 2001
• Norwich International Trading Inc
  W910 West Tower
  Philippine Stock Exchange Centre
  Exchange Road
  Oritgas Centre
  Pasig City
  Metro Manila
  PHILIPPINES
  
  Associated individuals: Kathleen Edward and Kevin Walker
  Published on this site November 2001
• Nuventis Corporate Services Group
  18F Bund Center
  222 Yunan Road East,
  Shanghai 2000002
  CHINA
  
  Published on this site December 2005
• Oakmont Financial Mergers
  130 Bellevue Avenue
  Newport, RI 02840
  UNITED STATES OF AMERICA
  
  Published on this site February 2005
• Oasis Capital Inc.
  542 Mt. Pleasant Road, Suite 105
  Toronto, Ontario
  CANADA M4S 2M7
  
  Associated individuals: Timothy (Ted) E Manning, Judith M Switzer, James K de Roux
  Published on this site November 2003
• Ocean Blue Distribution Limited
  380 Bloor St. W.
  Toronto
  Ontario
  M7J-3M5
  CANADA
  
  Associated individuals: Cindy Tan and William W. Baynes
  Published on this site July 2003
• Onyx Acquisitions
  London ENGLAND
  
  
  Published on this site February 2006
• Oppenheimer International
  No. 4 Royal Mint Court
  London EC3N 4HJ
  ENGLAND
  
  Associated individuals: Jess Bunting, Carsten Straber, Patrick Seagraves
  Published on this site May 2003
• Oppenheimer Securities Inc.
  1150 Silverado Street
  La Jolla
  California
  UNITED STATES OF AMERICA
  
  Published on this site May 2007
• Overseas Management Group Inc.
  1054-356 Centre Street
  Toronto, Ontario
  Canada
  
  Associated individual: Ricardo Martins
  Published on this site June 2005
  
• Oxley Mergers and Acquisitions
  717 Texas Avenue
  Houston
  TX 77002-2761
  UNITED STATES OF AMERICA
  
  Published on this site July 2006
  

A - E  |  F - J  |  K - O  |  P - U  |  V - Z