Public risk disclosures

Japan Public Risk Disclosures

Search public Japanese government disclosures that name companies or operators even when the record is not a standard administrative enforcement action. Coverage includes labor standards violation disclosures, FSA warnings for unregistered financial operators, and travel agency sanctions.

Total

3,047

Labor

1,837

FSA warnings

1,148

Travel

62

3,047 public records(page 137 of 153)

1 Dec 2013

株式会社日興商事代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

A company sent solicitation materials claiming to buy unlisted stocks and similar securities, and subsequently contacted a customer by phone for further solicitation. The materials falsely stated affiliation with the Securities and Exchange Surveillance Commission and used a registration number similar to that of the Financial Bureau. The materials were similar to those of Mita Consulting Co., Ltd., which had been issued a warning on the same day.

1 Dec 2013

株式会社総合マネジメント代表取締役（会長、社長兼CEO）A

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to purchase corporate bonds, while impersonating a registration number similar to that of the Kanto Local Finance Bureau.

1 Dec 2013

株式会社フロンティアライフマネジメント代表取締役社長 A

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials indicating the conduct of second-type financial instruments business, investment advisory and agency, and investment management, while also claiming to purchase unlisted stocks.

1 Dec 2013

株式会社日経トラスト代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials and engaged in market derivative transactions or their mediation, and also indicated in the company profile that it conducts investment management business.

1 Dec 2013

社）メディカル・サポート協会

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to engage in stock trading or brokerage. The name of the representative is unknown.

1 Dec 2013

株式会社Global Contents Japan（株式投資情報サイトTOP）代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

The operator provided investment advice via the internet based on an investment advisory contract. The company's trade name, representative's name, and address are registered details. The website operated by the company is [Stock Investment Information Site TOP]. The operator provided advice without registration through the website [Toshin Brain.com], and a warning was issued on March 14, 2013.

1 Dec 2013

株式会社野村ホールディングス代表者 A ※備考欄のとおり、登録を受けた金融商品取引業者の親会社に類似した名称を使用していたもの。

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to buy unlisted stocks, using the logo and similar name of Nomura Holdings, the parent company of the registered financial instruments business operator. Impersonated the registration number 'Financial Bureau Director (Kinsho) No. 17', which is similar to the actual registration number. The solicitation materials are similar to those issued as warnings to Sanwa Trade Co., Ltd. on October 16, 2013, and Daiwa Trade Co., Ltd. on November 18, 2013.

1 Dec 2013

Fox World Market

Government disclosure record

FSA unregistered operator warningsWarning issued

Engaged in over-the-counter derivative transactions via the internet. The name of the representative is unknown. Almariq Japan Co., Ltd., which mediated the over-the-counter derivative transactions for the business, was issued a warning by the Kanto Financial Bureau on the same day for conducting financial instruments business without registration.

1 Dec 2013

新日本環境開発株式会社

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to recruit or privately offer a fund (natural energy power generation project), using a forged registration number of a registered financial instruments business operator.

1 Dec 2013

GLOBAL TRADE FINANCE GROUP INC.（GTF FX）

Government disclosure record

FSA unregistered operator warningsWarning issued

Engaging in over-the-counter derivative transactions via the internet. The name of the representative is unknown.

1 Dec 2013

株式会社住友トレード代表者 A

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a registration number similar to that of the Financial Services Agency. The materials are similar to those of Misuzu Shoji Co., Ltd. and Asunaro Shoji Co., Ltd., which had been issued warning letters in 2013.

1 Dec 2013

TEMECULA FINANCIAL RESOURCES INC. Chief Executive Officer A

Government disclosure record

FSA unregistered operator warningsWarning issued

Engaged in the solicitation or private placement and handling of funds (FX funds) via the internet.

1 Dec 2013

株式会社S・I

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials and conducted solicitation or private placement of a fund (foreign currency fund). The name of the representative is unknown.

1 Dec 2013

株式会社三田コンサルタント代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

A company sent solicitation materials claiming to buy unlisted stocks and similar securities, including a postcard titled 'Sale of Non-performing Loans and Refund Requests' and making phone calls to solicit stock purchases. The materials referenced the Securities and Exchange Surveillance Commission and resembled those of Nikko Trading Co., Ltd., which had been issued a warning on the same day.

1 Dec 2013

株式会社セントラル証券代表取締役 A ※備考欄のとおり、登録を受けた金融商品取引業者に類似した名称を使用していたもの。

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials claiming to purchase unlisted stocks, using a name similar to registered financial instruments business operator [Central Tohatsu Securities Co., Ltd.]. Although the name includes the character [Securities], it is not a registered securities company under the Financial Instruments and Exchange Act.

1 Dec 2013

株式会社ユニヴァース・ジャパンインベストメント代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

The entity engaged in solicitation and provided advice to customers under the guise of investment consulting, claiming to deliver valuable information on stocks and other securities for a fee through a website.

1 Dec 2013

株式会社DMMサポート代表者 A

Government disclosure record

FSA unregistered operator warningsWarning issued

Distributed solicitation materials claiming to conduct financial instruments business (Type II Financial Instruments Business and Investment Advisory and Agency Business) and used the registration number of the Kanto Financial Bureau, impersonating the registration number [Kanto Financial Bureau Director (Kinsho) No. 3102].

1 Dec 2013

ファーストリサーチ運営責任者 A

Government disclosure record

FSA unregistered operator warningsWarning issued

A company displayed on its website that it conducts Financial Instruments Business (Investment Management and Investment Advisory/Agency Business). It falsely claimed to be registered under the number [East Japan Financial Bureau Chief (No. 601)], which was similar to the actual registration number. The company also promoted an asset management fund [FEBR4] on its website.

1 Dec 2013

株式会社大蔵商事代表者 A

Government disclosure record

FSA unregistered operator warningsWarning issued

The entity sent solicitation materials claiming to purchase unlisted stocks and similar securities, while impersonating a registration number [Kinsho No. 356] that resembled an official registration. The solicitation materials resembled those of companies previously issued warning notices: Misuzu Shoji on August 30, 2013; Asunaro Shoji on October 28, 2013; and Sumitomo Trade on November 27, 2013.

1 Dec 2013

大倉総研株式会社代表取締役 A

Government disclosure record

FSA unregistered operator warningsWarning issued

Sent solicitation materials indicating the purchase of securities and stating that they conduct financial instrument intermediary business.

Date	Company / operator	Source	Type	Summary
1 Dec 2013	株式会社日興商事代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	A company sent solicitation materials claiming to buy unlisted stocks and similar securities, and subsequently contacted a customer by phone for further solicitation. The materials falsely stated affiliation with the Securities and Exchange Surveillance Commission and used a registration number similar to that of the Financial Bureau. The materials were similar to those of Mita Consulting Co., Ltd., which had been issued a warning on the same day.
1 Dec 2013	株式会社総合マネジメント代表取締役（会長、社長兼CEO）A Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to purchase corporate bonds, while impersonating a registration number similar to that of the Kanto Local Finance Bureau.
1 Dec 2013	株式会社フロンティアライフマネジメント代表取締役社長 A Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials indicating the conduct of second-type financial instruments business, investment advisory and agency, and investment management, while also claiming to purchase unlisted stocks.
1 Dec 2013	株式会社日経トラスト代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials and engaged in market derivative transactions or their mediation, and also indicated in the company profile that it conducts investment management business.
1 Dec 2013	社）メディカル・サポート協会 Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to engage in stock trading or brokerage. The name of the representative is unknown.
1 Dec 2013	株式会社Global Contents Japan（株式投資情報サイトTOP）代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	The operator provided investment advice via the internet based on an investment advisory contract. The company's trade name, representative's name, and address are registered details. The website operated by the company is [Stock Investment Information Site TOP]. The operator provided advice without registration through the website [Toshin Brain.com], and a warning was issued on March 14, 2013.
1 Dec 2013	株式会社野村ホールディングス代表者 A ※備考欄のとおり、登録を受けた金融商品取引業者の親会社に類似した名称を使用していたもの。 Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to buy unlisted stocks, using the logo and similar name of Nomura Holdings, the parent company of the registered financial instruments business operator. Impersonated the registration number 'Financial Bureau Director (Kinsho) No. 17', which is similar to the actual registration number. The solicitation materials are similar to those issued as warnings to Sanwa Trade Co., Ltd. on October 16, 2013, and Daiwa Trade Co., Ltd. on November 18, 2013.
1 Dec 2013	Fox World Market Government disclosure record	FSA unregistered operator warnings	Warning issued	Engaged in over-the-counter derivative transactions via the internet. The name of the representative is unknown. Almariq Japan Co., Ltd., which mediated the over-the-counter derivative transactions for the business, was issued a warning by the Kanto Financial Bureau on the same day for conducting financial instruments business without registration.
1 Dec 2013	新日本環境開発株式会社 Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to recruit or privately offer a fund (natural energy power generation project), using a forged registration number of a registered financial instruments business operator.
1 Dec 2013	GLOBAL TRADE FINANCE GROUP INC.（GTF FX） Government disclosure record	FSA unregistered operator warnings	Warning issued	Engaging in over-the-counter derivative transactions via the internet. The name of the representative is unknown.
1 Dec 2013	株式会社住友トレード代表者 A Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a registration number similar to that of the Financial Services Agency. The materials are similar to those of Misuzu Shoji Co., Ltd. and Asunaro Shoji Co., Ltd., which had been issued warning letters in 2013.
1 Dec 2013	TEMECULA FINANCIAL RESOURCES INC. Chief Executive Officer A Government disclosure record	FSA unregistered operator warnings	Warning issued	Engaged in the solicitation or private placement and handling of funds (FX funds) via the internet.
1 Dec 2013	株式会社S・I Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials and conducted solicitation or private placement of a fund (foreign currency fund). The name of the representative is unknown.
1 Dec 2013	株式会社三田コンサルタント代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	A company sent solicitation materials claiming to buy unlisted stocks and similar securities, including a postcard titled 'Sale of Non-performing Loans and Refund Requests' and making phone calls to solicit stock purchases. The materials referenced the Securities and Exchange Surveillance Commission and resembled those of Nikko Trading Co., Ltd., which had been issued a warning on the same day.
1 Dec 2013	株式会社セントラル証券代表取締役 A ※備考欄のとおり、登録を受けた金融商品取引業者に類似した名称を使用していたもの。 Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials claiming to purchase unlisted stocks, using a name similar to registered financial instruments business operator [Central Tohatsu Securities Co., Ltd.]. Although the name includes the character [Securities], it is not a registered securities company under the Financial Instruments and Exchange Act.
1 Dec 2013	株式会社ユニヴァース・ジャパンインベストメント代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	The entity engaged in solicitation and provided advice to customers under the guise of investment consulting, claiming to deliver valuable information on stocks and other securities for a fee through a website.
1 Dec 2013	株式会社DMMサポート代表者 A Government disclosure record	FSA unregistered operator warnings	Warning issued	Distributed solicitation materials claiming to conduct financial instruments business (Type II Financial Instruments Business and Investment Advisory and Agency Business) and used the registration number of the Kanto Financial Bureau, impersonating the registration number [Kanto Financial Bureau Director (Kinsho) No. 3102].
1 Dec 2013	ファーストリサーチ運営責任者 A Government disclosure record	FSA unregistered operator warnings	Warning issued	A company displayed on its website that it conducts Financial Instruments Business (Investment Management and Investment Advisory/Agency Business). It falsely claimed to be registered under the number [East Japan Financial Bureau Chief (No. 601)], which was similar to the actual registration number. The company also promoted an asset management fund [FEBR4] on its website.
1 Dec 2013	株式会社大蔵商事代表者 A Government disclosure record	FSA unregistered operator warnings	Warning issued	The entity sent solicitation materials claiming to purchase unlisted stocks and similar securities, while impersonating a registration number [Kinsho No. 356] that resembled an official registration. The solicitation materials resembled those of companies previously issued warning notices: Misuzu Shoji on August 30, 2013; Asunaro Shoji on October 28, 2013; and Sumitomo Trade on November 27, 2013.
1 Dec 2013	大倉総研株式会社代表取締役 A Government disclosure record	FSA unregistered operator warnings	Warning issued	Sent solicitation materials indicating the purchase of securities and stating that they conduct financial instrument intermediary business.

Important context

This list aggregates public Japanese government disclosures. It is not a sanctions list, credit report, legal opinion, or procurement approval system. Verify material records against the linked original Japanese source before making any compliance, credit, or legal decision.