Oxford Int'l. Mgt., Inc. 2001 May 10 Boiler Room / Fraudulent securities transactions sec.gov.ph
LIST OF COMPANIES THAT HAVE CDOS ISSUED AGAINST THEM / CDOS THAT BECAME PERMANENT AFTER THE DATE OF EFFECTIVITY OF THE SECURITIES REGULATION CODE:
(This link is available from 8:00 AM to 9:00 PM Monday through Friday except during holidays.)
Company
Date Issued
Description
Good Harvest Orchards Marketing Corp.
06 May 2004
CITICAPITAL INC.
30 March 2004
Lead Lending Corporation
30 May 2003
H-Factor Trading & Marketing Corp.
22 April 2003
Permanent CDO
Tibayan Group Investment Company, Inc.;
Tg Asset Management Corporation;
Matcor Holdings Company, Ltd.;
Jetcor Equity Company, Ltd.;
Sta. Rosa Management And Trading Corporation;
Westar Royalty Management And Trading Corporation;
Starboard Management And Trading Corporation;
United Alpa Management And Trading Corporation;
Global Progress Management And Trading Corporation;
Athon Management And Trading Corporation;
Diamond Star Management & Trading Corporation;
Tibayan Management Group International Holdings Co. Ltd.
2003 Feb. 24
Permanent CDO
Five Vision Consultancy, Inc., Intercontinental Services, Inc., Conrad Group and Associates, Inc., Servlink Cargo, Inc.
22 April 2003
2003 Feb. 04
Permanent CDO
Multitel International Holdings Inc.
2002 Sept. 10
MMG International Holdings Co., Ltd.
2002 April 18
2002 April 01
Order
Glasgow Credit & Collection Services, Inc.
2002 July 30
Sale of unregistered securities - Permanent CDO
Cybweb Group, Inc.
2002 June 13
Phil-Asia Care Plans, Inc.
2002 May 28
Goldberg & Partners, Inc.
2001 Aug 2
Boiler Room / Fraudulent securities transactions
G. Cosmos Phils., Inc.
2001 July 26
Unregistered Investment Contract
United Capital Mgt., Inc.
2001 May 23
Boiler Room / Fraudulent securities transactions
GEI Training & Services, Inc.
2001 May 17
Future Currency Trading
Oxford Int'l. Mgt., Inc.
2001 May 10
Boiler Room / Fraudulent securities transactions
Wells Chadwick, Inc.
2001 May 09
Boiler Room / Fraudulent securities transactions
Barclays Group, Inc. & New World Financial Group Ltd.
2001 Apr. 10
Boiler Room / Fraudulent securities transactions
Sherman Brothers Mgt. Ltd., Inc.
2001 March 28
Boiler Room / Fraudulent securities transactions
Multinational Telecom Investors Corp.
2001 March 08
Lending investor
Power Homes Unlimited
2001 Jan. 26
Unregistered Investment Contract
American Automobile Int., Inc.
2001 Jan. 24
Ultra Vires Act
Belkin Mgt. Consultancy, Inc.
2000 Oct. 11
Forex trading / Futures Currency Trading
Bradford Kempner Mgt. Services, Inc.
2000 Sept. 29
Boiler Room / Fraudulent securities transactions
Muller & Sons Securities Mgt., Inc.
2000 Sept. 27
Boiler Room / Fraudulent securities transactions
Dukes & Company Securities Corp.
2000 Sept. 27
Boiler Room / Fraudulent securities transactions
Knowie & Sachs, Inc.
2000 Sept. 27
Boiler Room / Fraudulent securities transactions
Saxon & Swift, Inc.
2000 Sept. 27
Boiler Room / Fraudulent securities transactions
Newport Pacific Securities & Mgt., Inc.
2000 Sept. 22
Boiler Room / Fraudulent securities transactions
Worldwide Investors, Inc.
2000 Aug. 28
Boiler Room / Fraudulent securities transactions
Asia World Online, Inc.
2000 Aug. 28
Boiler Room / Fraudulent securities transactions
Bradshaw Globa Asset Mgt., Inc.
2000 Aug. 2 8
Boiler Room / Fraudulent securities transactions
Primelink Properties & Dev. Corp.
1997 Feb. 17*
Non-registration of securities
* Became permanent on June 5, 2001
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