How did Byron miss this branch office of Pembridge Group?
Pembridge Group
Suite 2903
29/F, Tower 1
Admiralty Centre
HONG KONG Associated individual: Justin Wentworth
Overseas Brokers
Since August 2000 the Securities Commission has published on this web site details of overseas brokers who have targeted people in New Zealand who do not hold a New Zealand broker's licence or futures dealer authorisation and, on the information available to the Commission, do not comply with New Zealand law, in particular, the Investment Advisers (Disclosure) Act 1996 or the Securities Amendment Act 1988, when purporting to act for New Zealand people. The brokers have not provided evidence to the Commission that they are registered in their home jurisdiction to undertake this type of securities business. This list is not exhaustive. See also The brokers who have come to the Commission's notice are:
Argus Capital Investment Corporation
Postbus 59366
1040 KJ Amsterdam
THE NETHERLANDS Associated individual: Ted Davies
Atlantic Pacific Securities (Australia) Pty Limited
Suite 103
566 St Kilda Road
Melbourne
Victoria 3004
AUSTRALIA Associated individual: Adrian Aston aka Jewkes
Benson Dupont Capital Management Inc
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
Benson Dupont
Level 23, CP Tower
313 Silom Road
Bangkok 10500
THAILAND Associated individuals: Steve Wilson and Keith Nochman
Berchmans Lee Company Inc
1410 Herrera Tower
Herrera Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individual: Chris Carter
Bernstein & Zeiglier
# 10 Anson Road
# 18-18 International Plaza
SINGAPORE 079903 Associated individual: Henry Thornton
Bradford Kempner Investments Limited
Unit 1512, 15th Floor
Q-House Asoke Building
66 Sukhumvit 21 Road
Klongtoey Nua
Wattana
Bangkok 10110
THAILAND
Brooks Pearson Investment Limited
Wisma Danamon Aetna Life
19th Floor, Jalan Jondral Sudirtnan
Kauling 45-46
Jakarta 12930
INDONESIA
Capital Assets Limited
Taipei Metro Building
Suite D, 11/F
No. 207 Tun Hwa South Road, Sec.2,
Taipei
TAIWAN Associated individual: Robert Mason
C & C Global Co., Limited
17th Floor UBC II Building
Soi Sukhumvit 33
Bangkok
THAILAND
Clanvale Securities S.A.
Edificio Torre America
Floor 3 Office 307
Avenida Venezeula
Bello Monte
Caracas
VENEZUELA
Cohen Nesbit Group Limited
Level 19 Hong Leong Building
16 Raffles Quay
SINGAPORE
Crawford Peale
Unit 1609
16th Floor, Vaint 1 Building
1126/1 New Petchburi Road
Bangkok 10400
THAILAND
Dragon Pacific Company Limited
17th Floor, One Pacific Place
140 Sukhumvit Road
Bangkok
THAILAND Associated individual: Douglas King
Dreyfus Securities Limited
14/F Kamiya-cho Mori Building
4-3-20 Toranomon, Minato-ku
TOKYO 105-0001, JAPAN Amnuaydech Suite 048
22 Central Chidlom Tower
Polenchit Road, Lumpini
Pathumwan, Bangkok 10330
THAILAND 29/F One Canada Square
Canary Wharf, London
UNITED KINGDOM, E14 5DY Associated individual: Steven Dixon
Dukes and Company Securities Corporation
Unit 1009
PSBank Tower
Senator Gil J
Puyat Avenue
Makati City 1220
PHILIPPINES Constitution Drive
PO Box 332
Belmopan
BELIZE
Associated individuals: Michael Martin, Ben Smit
First Independent Resource Management Group Inc
4, V.S. Prospero
Milano
ITALY
Fisher Sterling International Limited
302 Hung Kei Mansion
5-8 Queen Victoria Street Central
HONG KONG Associated individual: Dave Adams
Foreign Currency International
27 Sukhumvit Soi 20
Bangkok, 10110
THAILAND Associated individual: Stephen Sharpe
Foreign Trade International
12th Floor
253 Sukhumvit Soi
21 Asoke Road
Bangkok 10110
THAILAND Associated individuals: Ian Morris, Christian Webb, Michael Lumby, Alex Pagan, Dennis Askew.
FX Advisors East, LLC
200 Public Square Suite 2955
Cleveland
Ohio
UNITED STATES OF AMERICA
Global Capital Securities Corporation
538 Broad Hollow Road
Suite 315E
Melville
New York
UNITED STATES OF AMERICA Associated individuals: Christopher Ferruzza, James Sparacino
Global Option Trading Co Limited
14th Floor
253 Sukhumvit Soy 21, Asoke Rd
Bangkok 10110
THAILAND Associated persons: Jamie Nettleship, Callum Hunt
Graves Stanley & Peabody Limited
24 College Lane
P O Box 646
GIBRALTAR Associated individual: Richard Gaston
Gresham Management Inc
207 South 79th Street
Suite 1006
New York
NY 10024
UNITED STATES Associated individuals: Edward Saunders, Martin Nelson, Cynthia Landsburg, Charles Hampton
Hudson International
Caracasbaaiweg 199
PO Box 6050
Curacao
Netherlands Antilles
WEST INDIES Room 2207
22/F, II Lippo Centre
Central
HONG KONG
Associated individuals: Thomas Jenkins, Steven Billings, Jeffrey Kahn, Frank Edwards, Murray Skolsky.
International Asset Management
CP Tower Level 23
313 Silom Road
Silom 10500
Bangkok
THAILAND Associated individual: Richard Jennings
Jacobs & Kiplinger
Zurich World Trade Centre
Leutschenbachstrasse 95
8050 Zurich
SWITZERLAND
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.
Kensington Group Inc
30th Floor, Shinjuku Park Tower
3-7-1 Nishi-shinjuku
Shinjuku
Tokio
JAPAN
The Kensington Group
23F M Thai Tower
All Seasons Place
87 Wireless Road
Phatumwan
Bangkok
THAILAND 18F, One International Finance Centre
1 Harbour View Street
Central
HONG KONG
KLM Investment Services Limited
25 Dowgate Hill
Cannon Bridge
London
UNITED KINGDOM Associated individuals: Adam Lewis and Timothy Husk
Liberty Capital International Limited
PO Box W829
Corn Alley
St John's
ANTIGUA
Livingston Asset Management
14 Ron
1204 Geneva
SWITZERLAND Associated individuals: Ingo Janneau, Marc Philips, Aron Mozes, Jonathon Livingston, Charles Bond.
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
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, Shawn Richard, Gregory Rullo, Ken Sheffield, Romson Velez, and Robert Velis.
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
Morgan Pacific
138 Silom Road
Boonmitr Building 10th Floor
Suriyawongse
Bangrak
Bankok 10500
THAILAND Associated individual: Graham Thompson
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
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
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
Norwich Capital Mutual Funds Limited
Valero Towers, Penthouse D
122 Valero Street
Salcedo Village
Makati City
PHILIPPINES Associated individual: Chris Jones
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
Pembridge Group
Suite 2903
29/F, Tower 1
Admiralty Centre
HONG KONG Associated individual: Justin Wentworth
Pfeiffer Galland
Plaza Mashill Level 21
Jalan Jendral Sudirman Kav 25
Jakarta
INDONESIA
Preferred Performance Group, Company Limited
Richmond Building
75 Sukhumvit Soi 26
Bangkok
THAILAND
Remington Consultancy Limited
1245 Pleasant View Boulevard
Scottsdale Arizona 85261
UNITED STATES
Associated individuals: Richard Remington, George Mason, John Richmonds
Sherman Brothers
Unit 1911, 19th Floor
One Pacific Place
140 Sukhumvit Road
Klongtoey District
Bangkok 10110
THAILAND
Sigama Capital Management
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
Sigama Capital Management
Level 18
One International Finance Centre
1 Harbour View Street
Central
HONG KONG Level 14/1401
One Pacific Place
140 Sukhumvit Road
Bangkok
THAILAND
Associated individuals: David Burgess and Anne Davies
Simmons, Blake & Fritch
27 Floor Jefferson Towers
9823 Hover Street
Maverick Avenue
St Paul, Minnesota
UNITED STATES OF AMERICA Associated individuals: Jennifer Stone, Kate Jones, Timothy Croft
Smith & Henderson Associates Inc
Level 21, HSBC Tower
101 Yin Cheng East Road
Pudong
Shanghai
CHINA Serrano 240 5th Floor
28016 Madrid
SPAIN
South East Asia Trading
12th Floor
253 Soi Sukhumvit
21 Asoke Road
Bangkok 10110
THAILAND Associated individuals: Jamie Nettleship, Andrew Hewit, Michelle Tetreaut.
Sterling Capital Corp.
23rd Floor, 6750 Ayala Ave
Makati City, Metro Manila
1226 THE PHILIPPINES Associated individuals: Steven Thompson, John Davis, Michael Cayhill, Jane Alexander
Taylor Atlantic Ltd
Level 4
Tower 2
Petronas Twin Towers
Kuala Lumpur 50088
MALAYSIA Associated individual: John Sinclair
Transglobal Consultants Limited
Pacific Place Two Building Suite 1707
17th Floor, 142 Sukhumvit Road, Klongtoey
Bangkok 10110
THAILAND Associated individuals: Paul Jenson, Josh Kaytor, Daniel Bailey, Robert Ellis and Jeremy Blake.
Trans-National Securities and Trust SA
Birmensdorferstrasse 140,
CH-8003
Zurich
SWITZERLAND Associated individual: John Montana
Trident International
Suite 2207
88 Corporate Centre
141 Valero Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individual : Richard Bell
United Capital Management Inc
1680 Ramon Magsaysay Centre
Roxas Boulevard
Manila
PHILIPPINES Associated individual : Richard Austin
Vantage International Management Group Inc
Times Square Building
12th Floor, Unit 12-04B
246 Sukhumvit Road
Klongtoey
Bangkok 10110
THAILAND
VIP World Asset Management Co
Shirlaw House
Shirley Street
P O Box SS-19084
Nassau
THE BAHAMAS Associated individual: Joseph Santeramo
Worldwide Investors Management Inc
Suites 303 and 305
Valero Plaza
124 Valero Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individuals: Chase Trek, Ramiro Yabut, Christian Dupont, Richard Austin, Nathan Logan, Amador Pastrana, Toby Forster and Peter Lawson.
This list is not comprehensive. You should take exceptional care before committing to any transactions with overseas brokers particularly if they are known to you only by telephone conversation. See also:
Hong Kong Securities Commission
Australian Securities and Investments Commission - Cold Calling
Australian Securities and Investments Commission - Follow Up Scams
Securities and Exchange Commission Thailand - Boiler Room Operations For information on questions to ask before making any investment decision see Test before you invest. |
