To: Sir Auric Goldfinger who wrote (8902 ) 12/30/2001 7:53:41 PM From: StockDung Respond to of 19428 Todays Quiz. Name the U.S. Broker Dealors on the following list."Under the Investment Intermediaries Act, 1995, it is a criminal offence for an investment firm to operate in Ireland unless it has appropriate authorisation from the Central Bank of Ireland." centralbank.ie . WARNING NOTICES The Central Bank publishes warning notices naming firms which operate as investment business firms in Ireland without appropriate authorisation. Under the Investment Intermediaries Act, 1995, it is a criminal offence for an investment firm to operate in Ireland unless it has appropriate authorisation from the Central Bank of Ireland. Clients of firms which are not authorised are not eligible for compensation from the Investor Compensation scheme. Since obtaining legal powers to warn publicly about firms which are not authorised in August 1998, the Central Bank has published notices relating to the firms listed below. Any person wishing to contact the Central Bank with information regarding such firms or to ascertain if an investment firm is authorised should contact the Bank at: Email: red@centralbank.ie Tel (Locall): 1890 200 469 Tel (International): 00353 1 434 4000 Page 2 WARNING NOTICES ISSUED COMPANY NAME LOCATION PUBLISHED 2 Allied Capital Services Inc Panama & Costa Rica 02/11/2001 Ametron Consultants Ltd Cyprus 09/12/1998 Barrington Consultants Inc Philippines 11/12/2000 Barrington Consultants Inc Philippines 28/06/2001 Bradford Kempner Investments Limited Philippines, The Netherlands & Canada 04/09/2000 Bradford Kempner Investments Limited Philippines, The Netherlands & Canada 23/10/2000 Bull & Bear Capital Management (BVI) Limited Spain and Switzerland 23/07/2001 Burlington International Hong Kong 18/11/1999 Cambridge Capital LLC USA 22/07/1999 Capital Assets Limited Taiwan and Spain 09/12/1999 Carter James SL Spain and USA 20/11/2001 CB Peel & Associates USA 22/05/2000 Chamberlin Management Inc Spain, Switzerland & USA 04/12/2001 Chateau Schreiber Financial Management & Trust SA Switzerland 26/01/1999 Cohen Nesbit Group Limited Singapore 07/06/2001 Crown Capital Management Corporation Limited Bahamas 09/01/2001 Dow Templeton & Associates Turks and Caicos 07/10/1998 Dukes & Co. Securities Inc Philippines & Belize 22/07/1999 Eastern Capitol International, Corp. Hong Kong 30/11/1999 Equitex Trading Limited Thailand 09/08/2001 Page 3 WARNING NOTICES ISSUED COMPANY NAME LOCATION PUBLISHED 3 Euro Asia Investments Inc Czech Republic 10/05/1999 Euro Zone Consulting Czech Republic 04/05/2000 Everest 1, Inc USA 27/11/2000 Evergreen International Spot Trading Inc USA 07/10/1999 Fairchild Financial Group Inc USA 21/10/1999 Financial Counseling Group, Ltd Canada 22/05/2000 First Capital Securities S.A. Switzerland 07/10/1999 First Federal Capital Inc Philippines 26/01/1999 First Iberian S.L. Spain 22/07/1999 Fullerton Financial Corporation Antigua 21/10/1999 Gerson Lehmann, Inc Thailand 09/01/2001 GKN Securities Corporation USA 01/11/1999 Gladco Franklin AG Switzerland 15/04/1999 Global Asset Partners Ltd Bahamas & British Virgin Islands 22/07/1999 Global Asset Partners Ltd Bahamas & USA 02/08/2000 Globe Capital Group Switzerland & Israel 09/12/1998 Goodman Hart Associates Spain 22/05/2000 GSG Securities USA 01/11/1999 International Capital Trust Company Inc London 21/10/1999 International Consortium Growth Holdings Bahamas & USA 21/03/2001 Investment Programme Management Spain 27/08/1998 Page 4 WARNING NOTICES ISSUED COMPANY NAME LOCATION PUBLISHED 4 J R Mathey Canada 04/05/2000 J.P. Turner & Company, L.L.C. USA 15/08/2000 J.P. Turner & Company, L.L.C. USA 25/05/2001 Knowle Sachs & Company Inc Cayman Islands, Philippines & Switzerland 15/04/1999 Magnum World-Wide Investments Spain 05/02/1999 Mason, Tait & Montgomery, Inc Singapore 25/05/2001 Midland Partners Ltd United Kingdom 20/11/2001 Millennium Financial Limited Uruguay 23/03/2000 Millennium Financial Limited Uruguay 23/10/2000 Montgomery International Limited Gibraltar 04/12/2001 Morgan Vanderbilt USA 26/01/1999 Morrison Cross Financial Investments Limited Panama 28/02/2001 Oscar Gruss & Son Inc USA 01/11/1999 Overseas Advisory Corporation Spain 10/05/1999 Pacific Cortez Securities Inc USA 15/04/1999 Pryce Weston Incorporated Philippines 11/12/1998 Quantum Financial Group Panama 21/12/1998 Royal Hutton Securities Corporation USA 19/01/2000 Page 5 WARNING NOTICES ISSUED COMPANY NAME LOCATION PUBLISHED 5 Salomon Grey Financial Corporation USA 30/03/2001 Saxon & Swift Co Inc Hong Kong, Philippines & Vanuatu 15/04/1999 Sherman Brothers Thailand 04/05/2000 Smith & Henderson Associates, Inc China & Spain 23/07/2001 Sterling & Stone Asset Management British Virgin Islands & Switzerland 15/04/1999 Sterling Capital Corporation Philippines 27/11/2000 Strategic Capital Limited Spain 05/05/1999 Tasin & Co Inc USA 15/10/1998 Taylor Atlantic Limited Malaysia 30/03/2001 Taylor Atlantic Limited Malaysia 28/06/2001 The Capital Group Taiwan & Spain 09/12/1999 The Pembridge Group Hong Kong 25/05/2001 Transglobal Consultants Limited Thailand 11/12/2000 Trans-National Securities & Trust S.A. Switzerland 23/03/2000 Trident International Philippines 27/11/2000 United Capital Management Inc Hong Kong, Philippines & Cayman Islands 04/05/2000 United Global Partners British Virgin Islands 26/01/1999 W H Carrington Bahamas 09/12/1998 Whale Securities USA 11/12/1998 Witter Walwyn Overseas Ltd Switzerland 05/05/1999 Worldleader Investment Limited Hong Kong & Philippines 09/12/1999 Updated: 4 December 2001. google.com