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Home Business News

These Stockbrokers Just Had Their Licenses Revoked By SEC

Editor by Editor
December 21, 2015
in Business News
SEC To Sanction 94 Firms For Not Complying With Minimum Capital Base
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The Securities and Exchange Commission (SEC) has revoked the operating  license of 84 capital market operators that are inactive, and has warned the public including market operators such as the Central Securities Clearing System (CSCS), Chartered Institute of Stockbrokers (CIS), Nigeria Stock Exchange (NSE), and other trade groups to desist from conducting business with them.

Investors are particularly advised to take note, especially if they currently have business with the brokers.

The 84 firms whose license were revoked are as follows:

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S/NFIRMFUNCTION(S)
1.AIQ VENTURE CAPITAL FUND MANAGERS LTDPrivate Equity Fund Manager
2.ALLBOND INVESTMENT LIMITEDBroker/Dealer
3.AMALGAMATED CAPITAL FUNDS LTDVenture Capital Manager
4.ASSOCIATED INVESTMENT TRUST CO. LIMITEDFund/Portfolio Manager
5.BAYHEAD ALPHA CAPITAL LTDFund/Portfolio Manager
6.BLUEBIRD CAPITAL LTDIssuing House
7.BOSTON CAPITAL INVESTMENTS LIMITEDCorporate Sub-Broker
8.BRICKFIELD ROAD ASSOCIATES LTDRating Agency
9.CAPITAL PARTNERS LIMITEDCorporate Investment Adviser, Fund/Portfolio Manager
10.CAPITAL STRUCTURES LTDPortfolio Manager, Corporate Investment Adviser
11.CIRCULAR TRUST LTDPortfolio Manager
12.CITI ASSET MGT LTDFund/Portfolio Manager
13.CITIZENS INV. & SEC. LTD.Venture Capital Manager
14.CITY INVESTMENT MANAGEMENT. LTDBroker/Dealer
15.CONSOLIDATED INVESTMENT LIMITEDBroker/Dealer
16.CONSULT & CAPITAL LIMITEDFund Manager
17.DAKAL SERVICES LIMITEDBroker/Dealer
18.DE-CANON INVESTMENT LIMITEDBroker/Dealer
19.DEVELOPMENT BUSINESS CO.Fund/Portfolio Manager
20.DOLBIC FINANCE LIMITEDCorporate Investment Adviser, Portfolio Manager, Broker/Dealer
21.DVCF OIL & GAS PLCVenture Capital and Fund Manager
22.DYNAMIC TRUST & SECURITIES LTDFund/Portfolio Manager
23.EAZYTRADE CONCEPT LTD.Portfolio Manager
24.ELYON’S ASSET MANAGEMENT LTDFund Manager
25.EMI CAPITAL RESOURCES LTDBroker/Dealer
26.ENTERPRISE CAPITAL MGT. LTD.Venture Capital Manager
27.EQUINOX ASSET MANAGEMENT LIMITEDCorporate Investment Adviser, Portfolio Manager
28.EXPRESS DISCOUNT LIMITEDFund/Portfolio Manager, Corporate Investment Adviser
29.FB ASSET MGT. LIMITEDPortfolio Manager, Corporate Investment Adviser
30.FIRST MARINA TRUST LIMITEDBroker/Dealer
31.FITTCO SECURITIES LIMITEDBroker/Dealer
32.FLOODGATE FINANCE & SEC. LIMITEDCorporate Sub-Broker
33.G. AKOMAS & PARTNERSFund/Portfolio Manager
34.GLOBAL CAPITAL MARKET LTD.Issuing House
35.GLOBAL INV. & SEC. LTD.Broker/Dealer
36.HABITAT TRUST LTDFund Manager
37.HAZONWAO ASSETS MANAGEMENT LTDFund Manager
38.HONEY COMB ASSET MGT. LTD.Fund/Portfolio Manager
39.INDEMNITY FINANCE LIMITEDBroker/Dealer
40.INTEGRATED CAPITAL SERVICES LTDIssuing House
41.INVESTMENT MONITORS LTDCorporate Sub-Broker
42.JUBILEE GLOBAL FUND PLCFund Manager
43.KENDALL SECURITIES LIMITEDBroker/Dealer
44.KINGSWAY SECURITIES LIMITEDCorporate Sub-Broker
45.KOLTRON LTDFund Manager
46.LOMBARD ASSET MGT. LIMITEDFund/Portfolio Manager
47.LYNAC SECURITIES LIMITEDBroker/Dealer
48.MALACHAI FUNDS & ASSETS MGT. LTDFund/Portfolio Manager
49.MANINVEST ASSET MANAGEMENT PLCBroker/Dealer
50.METROPOLITAN TRUST NIGERIA LIMITEDBroker/Dealer
51.NCDF INVESTMENT LIMITEDVenture Capital Manager
52.N-CHEQUE SECURITIES LTDPortfolio Manager
53.NICHE SECURITIES LIMITEDBroker/Dealer
54.NICON Trustee LTDCorporate Investment Adviser, Registrar, Trustee, Fund/Portfolio Manager
55.NMA INVESTMENT & SECURITIES LTDPortfolio Manager
56.NOBLE FINANCIAL TRUST LTD.Fund/Portfolio Manager, Corporate Investment Adviser
57.NOVARE INVESTMENTS LTDFund/Portfolio Manager
58.OCEANIC TRUSTEE LTDTrustee
59.OMAS INVESTMENT & TRUST COMPANY LIMITEDBroker/Dealer
60.OMNISOURCE INTERNATIONAL LTD.Broker/Dealer, Corporate Investment Adviser, Portfolio Manager
61.PAN SECURITIES LIMITEDPortfolio Manager, Issuing House
62.PEACH & PRIME LTD.Portfolio Manager
63.PEAK SECURITIES LIMITEDBroker/Dealer
64.PENINSULA ASSET MANAGEMENT & INVESTMENT COMPANY LIMITEDBroker/Dealer
65.PHB ASSET MANAGEMENTFund/Portfolio Manager
66.PLATINUM CAPITAL LIMITEDIssuing House, Broker/Dealer, Fund/Portfolio Manager
67.PRUDENTIAL SECURITIES LIMITEDBroker/Dealer
68.SEASONS TRUST & INVESTMENT LTDPortfolio Manager
69.SECURITIES SOLUTIONS LIMITEDBroker/Dealer
70.SECURITIES TRADING & INVESTMENTS LIMITEDBroker/Dealer
71.SKYLIMIT INVESTMENT LTDCorporate Sub-Broker
72.SLAMAD SECURITIES LTDCorporate Sub-Broker
73.STOCK INVESTMENT SEC. LTD.Corporate Investment Adviser, Fund Manager
74.SYNERGY INV. & SEC. LIMITEDRegistrars,Trustee, Corporate Investment Adviser, Fund/Portfolio Manager
75.TARICOL INVESTMENT LTDFund/Portfolio Manager
76.TREASURELINE INTERLINK LTDFund Manager
77.TRUEVINE GLOBAL ASSET MGT. LIMITEDCorporate Investment Adviser, Portfolio Manager
78.UTB TRUSTEE LIMITEDTrustee
79.VENTURES & TRUST LIMITEDCorporate Investment Adviser, Fund Manager
80.VILEO CAPITAL & ASSET MGT. LTDFund/Portfolio Manager
81.VISA INVESTMENTS & SEC. LTDPortfolio Manager
82.WIZETRADE CAPITAL & ASSET MANAGEMENT LIMITEDBroker/Dealer
83.WT SECURITIES LIMITEDBroker/Dealer
84.ZUMA SECURITIES LIMITEDBroker/Dealer

The Securities and Exchange Commission is empowered under section 30 (1) and (2) of the Investment and Securities Act (ISA) 2007 to revoke the operational license of capital market operators that are inactive.

 

 

 

Editor

Editor

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British International Investment committed over £1.09 billion to African firms in 2024 – Report

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