Overseas firms that have called New Zealanders
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1 Page 1 of 6 Search About Publications Exemptions Notices What's new? International Speeches Information for investors Financial adviser regulation Contact us Site map Home Advanced Search 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. A - E F - J K - O P - U V - Z Vantage Global Partners Aikawa Building 25 B 7th Floor Nishishinjuku Shinjuku-ku Tokyo JAPAN Phone: Fax: clientservices@vantageglobalpartners.com, info@vantageglobalpartners.com Website: James Martins - associated individual Michael Klein - associated individual Peter Louw - associated individual Published on this site September 2010 Vantage International Management Group Inc Times Square Building 12th Floor, Unit 12-04B 246 Sukhumvit Road Klongtoey Bangkok 10110
2 Page 2 of 6 THAILAND Published on this site September 2001 VantagePro Asset Management Level 7, Wakamatsu Building Nihonbashi-Honcho, Chuo-Ku Tokyo JAPAN Tel: Fax: Associated individual: Richard Weller Website: richard.weller@vantagepro.jp Published on this site February 2010 VIP World Asset Management Co Shirlaw House Shirley Street P O Box SS Nassau THE BAHAMAS Associated individual: Joseph Santeramo Published on this site October 2000 Warren and Baker Otemachi First Square East Tower 4F Otemachi Chiyoda-ku Tokyo JAPAN Associated individuals: Frank Raul, William H. Warren, James Rayburn Published on this site October 2003 Webster Acquisitions 29th floor One Canada Square Canary Wharf LONDON E14 5DY Associated individual: Stephen Larson Published on this site November 2004 West Golden Capital Level 14 & 15, Prudential Tower 30 Cecil Street Singapore Fax:
3 Page 3 of 6 support@westgoldencapital.com Website: Associated individuals: Ronald Nicholson, Shaun Vincent, Brian O'Connor and Lourens Waller Published on this site March 2010 The West Group Glockengieberwall 17 Hamburg GERMANY Associated individual: Doug Mason Published on this site March 2005 West Pac Inc. Published on this site November 2006 Westernfield Holdings Inc. Shinjuku Park Tower S 20/F Nishi-Shinjuku Shinjuku-ku Tokyo JAPAN Phone Fax xxxx@xxxxxxxxxxxxx.xxx Website Associated individuals: Alex Barclay, Anthony Barling Published on this site February 2010 Western Equities Corporation Manhattan Business Centre, 15th Floor 410 Park Avenue New York NY10022 USA Tel: Fax: infodesk@westernequitiescorp.com Website: Associated individual: Kenneth Logan Published on this site March 2010 Westgate Capital Management UNITED STATES OF AMERICA The Westgate Capital Management listed here has stolen the identity of a legitimate firm in the United States. The legitimate Westgate Capital Management is located at One
4 Page 4 of 6 Blue Plaza, 11th floor, Pearl River, NY They can be contacted on the phone at or by fax Published on this site April 2008 Whitby Dumas 130 Cromwell Street LONDON SW5 OBW Published on this site 04 June 2004 Whitman Lloyds and Associates Mergers and Acquisitions 70 West Madison Street Chicago IL UNITED STATES OF AMERICA Published on this site March 2006 Whitman Wright & Associates 1886 Steeles Avenue west, Suite 201 Concord Ontario CANADA L4K 3E9 Published on this site 04 June 2004 The Williams Group 29 Harley Street London W1G 9QR Associated individual: William Edwards Published on this site November 2004 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. Published on this site October 2000 Worldwide Service Inc West Broadway Avenue Vancouver, British Columbia
5 Page 5 of 6 CANADA Associated individual: Jeffery Diamond Published on this site July 2004 Younger & Hausmann Private Equity 105 Cecil Street # The Octagon SINGAPORE Published on this site February 2005 Youngson International Holdings Limited 45/F 1 Exchange Square 8 Connaught Place HONG KONG Published on this site July 2005 The Xenon Group 979 King's Road Island East HONG KONG-2761 Published on this site August 2006 Zeus Enterprises 86 Queens Road Central HONG KONG Published on this site November 2005 A - E F - J K - O P - U V - Z 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: Australian Securities and Investments Commission - Cold Calling Australian Securities and Investments Commission - Follow Up Scams Australian Securities and Investments Commission - Fake International 'regulators' Securities and Exchange Commission Thailand - Boiler Room
6 Page 6 of 6 Operations Indonesian Capital Market Supervisory Agency US Securities and Exchange Commission (SEC) Spanish Comisión Nacional del Mercado de Valores (CNMV) For information on questions to ask before making any investment decision see Test before you invest. About Publications Notices What's new? International Speeches Site map Search Information for investors Contact us Accessibility Disclaimer Copyright Privacy newzealand.govt.nz Home Copyright New Zealand Securities Commission
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