Caution List


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Effective 1 July 2013, the New Brunswick Securities Commission became part of the Financial and Consumer Services Commission.

The list below may not be current. Please check the Caution List on the FCNB website.

For a short time, this page will continue to be available, but please update the address of this page for shortcut links that you have saved.

Below is a list of individuals and firms:

These individuals and firms are not registered to trade in securities or to provide investment advice in New Brunswick. This list is not exhaustive.

If you are called by any of these individuals or firms you should exercise caution. It is always unwise to send money to someone who you know only from an unsolicited call. 

To verify if a firm or individual is registered, search the online List of Registered Dealers and Advisers in New Brunswick. You may also want to check the Canadian Securities Administrators Disciplined Persons List or Investor Alerts page.

NameJurisdictionDate added to List
Capital Commodity & FCH ( Puerto Rico 2013
EquityStar Momentum Growth Fund ( USA 2013
Flake Graphite Group (Marcia PEARLSTEIN) New Brunswick, USA 2013
VIPBinary ( Israel, Arizona 2013
TraderXP Binary Options Trading ( Cyprus and other countries 2013
CCI Casey Container International Corp. New Brunswick, USA 2013
LIRO Natural Resources Ltd. New Brunswick 2013
Sweck Advisors & Associates Limited New Brunswick 2013
IPIN Debit, Inc. (aka PinTronic Global Network Inc.) New Brunswick, United Kingdom 2013
Lloyds International ( Brazil, Costa Rica 2013
Integrated Business Concepts Inc. and Vincent Villanti ( Ontario 2012
Banners Broker( Unknown 2012
Dual Profit( Unknown 2012
Manhattan Capital Corp.( LEE, Jamie LYONS, Jamie MARSH, Roger WHITE Hong Kong 2012
Wealth Capital Corp.( LEE, Jamie LYONS, Jamie MARSH, Roger WHITE Hong Kong 2012
Ocean International Ltd.( LEE, Jamie LYONS, Jamie MARSH, Roger WHITE Hong Kong 2012
Securities Mexico ( USA 2012
Caspian Trading Inc. ( USA and other countries 2012 (VCI Group Ltd) Oregon, USA 2012
One Capital Corp. ( aka One Capital Corporation, One Capital Inc., One Capital Corp. Limited Singapore 2012
MI Capital Corp.( MARTIN, Benjamin STOKES, Scott PARKER, Sean AYEARS, Nathan WILLIAMS Hong Kong 2012
Asean-Commodities Inc. ( Asean Finance Corporation Limited, Asean Commodities Inc. Limited, Asean Commodities Inc. (Fremont) Singapore 2012
Xytos International Inc. ( New Brunswick, Indiana, Nevada 2012
WLI Worry Less, Inc. ( New Brunswick, Ohio 2012
West African Gold Resources Mining Inc. New Brunswick, Ontario 2012
Wall Street Equities Ltd. (AKA Wall Street Equities Co. Ltd.) New Brunswick, Ontario, Arizona 2012
RAK Marine International Inc. ( New Brunswick, Hawaii 2012
Vault Emerging Market Treasuries Ltd. ( New Brunswick, France 2012
Questus Global Capital Market Ltd. ( New Brunswick, France 2012
Prudential Global Real Estate Corp. ( New Brunswick, United Kingdom 2012
Peak Aeronautics Ltd. ( New Brunswick, Hawaii 2012
Orogem Gold Inc. ( New Brunswick 2012
NNR N. Natural Resources Inc. ( ( New Brunswick 2012
WMX Group Inc. ( New Brunswick, Massachusetts 2012
Luminary Minerals Ltd. ( New Brunswick 2012
Int. Teleworld Inc. ( New Brunswick 2012
Global High Income Fund Inc. (not to be confused with a fund with the same name listed on the NYSE) New Brunswick 2012
Global Capital Finance Corp. ( New Brunswick, Israel 2012
Forever New Technologies Inc. ( New Brunswick 2012
Encryption Technology Corporation Ltd. ( New Brunswick, Australia 2012
Global Bonds Fund Inc. ( New Brunswick, Israel, New York 2012
Cyber Centers International Corp. ( New Brunswick, Florida 2012
Global Earth Natural Resources Inc. ( New Brunswick, Texas, Kentucky 2012
CRED-IT Alliance International Limited ( New Brunswick, British Virgin Islands 2012
Arequipa Minerals Ltd. ( New Brunswick, New Jersey 2012
Advanced Medical Solutions Corp. New Brunswick 2012
Advanced Biomedical Technologies Holdings and Distributions, Inc. New Brunswick, New York, China 2012
Flash Funding International Corp ( New Brunswick, Ontario 2012
World Energy Research/ World Energy Holdings & Research PLC Guatemala 2011
Gold Investment BC British Columbia 2011
Wakabayashi Fund LLC, Wakabayashi Real Estate K.K., Jeffery Steven Stone (AKA Jeff Stone), Janette Diller Stone (AKA Janet Dillerstone) Japan 2011
Grinn Ventures LLC Nevada 2011
New Century International Panama and Costa Rica 2011
Global Med Technologies Group Inc.(undertaking) Florida 2011
FXCM ( New York 2011
Stone HedgeFX ( Costa Rica 2011
officialhyip ( Pennsylvania 2010
Experience International, United Kingdom 2010
Beat the Street ( British Columbia 2010
Official Penny Stocks ( British Columbia 2010
Liberty Reserve Investment HYIP ( United Kingdom 2010
Canadian Equity Partners, Mont Blanc Mergers Associates, U.S. Equity Inc. Southeast Equity Group, Inc. Florida 2010
Trading ITG SA ( Costa Rica and Panama 2010
EFD Financial Group ( United Kingdom 2009
West African Industries Ltd., Allan Moen, Louis Supera Sierra Leone and Nevada 2009
Cirplus Futures Inc. and Sun Wan "Sean" Kim British Columbia 2009
Oil Gas Drilling Ventures ( Canada 2009
Century One Capital Management ( Costa Rica 2009
FAM Group ( Costa Rica 2009
Australian Mining Company ( Australia 2009
Boutique Securities Management Company ( Australia 2009
Finance Deposits (Platinum Hedge Holdings Pty Ltd.)( Australia 2009
Mountain Mining Investment Ltd. ( Tanzania 2009
Interbank FX Fund Inc. United Kingdom 2009
Paradise Brokers, All Saints Mountain Range Investments SLR, San Buenas Golf Resort Costa Rica 2009
M1 Capital British Columbia 2009
Petrovest Capital Corp. UK/ Ontario/ Alberta (?) 2009
Sunrise Solar Corp. Texas 2009
GreenStreet Advantage Florida 2009
Capital Resources LLC Ontario 2009
Institute for Financial Learning Alberta 2008
Goodman, John Alberta 2008
Brost, Milo Alberta 2008
Shallow Oil and Gas Inc. Ontario 2008
Global Pension Plan Switzerland 2008
Arial Trading LLC Costa Rica 2007
University Lab Technologies Florida 2007
Theodore, George Florida 2007
Iwanski, Dan Florida 2007
Axelrod, Steve Florida 2007
Schaiken, Sy Florida 2007
Ross, Bill Florida 2007
Green, Richard L. Florida 2007
Sewell, David Florida 2007
Meridian Investment Group S.A. Costa Rica 2007
Grant, Frank Costa Rica 2007
Gordon Equity Management Belize 2007
Kirkpatrick, Bruce Costa Rica 2007
Manz, Jeffery Costa Rica 2007
Brasfield, Don Costa Rica 2007
Reece, John Costa Rica 2007
Saxon, Rick Costa Rica 2007
Dizcarra, George Costa Rica 2007
Hartford Capital Management S.A. Panama 2007
White, Bruce Panama 2007
Wellington Trading Group S.A. Costa Rica 2006
Aquavia, Eric Costa Rica 2006
Davis, Dan Costa Rica 2006
Moxey, Al Costa Rica 2006
Bethel, Ronnie Costa Rica 2006
Bell, Timothy Costa Rica 2006
Finklestein, Russell Costa Rica 2006
Euston Capital Corporation Canada 2006
Schwartz, George Canada 2006
Saks, Charles Canada 2006
McLeod, George Canada 2006
Have you been contacted by someone not on the list and are concerned? Ask us to verify.