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 138 of 153)
1 Dec 2013
G－プロモーション株式会社 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to purchase securities and provide advice based on investment advisory contracts, and indicated that they engaged in Type II Financial Instruments Business and Investment Management Business.
1 Nov 2013
株式会社三菱コンサルティング 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a registered financial bureau number, similar to that of Mitsui Consultant Inc., which had previously received a warning.
1 Nov 2013
株式会社ライフステージ 代表取締役 A 関係者 BGovernment disclosure record
The company's representative directors, either personally or through individuals or corporations called agents, were engaged in soliciting funds or handling private placements.
1 Nov 2013
株式会社大和トレード 代表 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, impersonating a financial bureau registration number, similar to those used by Sanwa Trade Co., Ltd., which had previously received a warning.
1 Nov 2013
Delmation,Inc 代表者 AGovernment disclosure record
Engaged in providing advice based on an investment advisory contract via the internet. The website operated by the business is [Mister Delta Dot Com].
1 Nov 2013
株式会社サンネクスト 代表取締役 AGovernment disclosure record
Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project).
1 Oct 2013
株式会社三和トレード 代表者 AGovernment disclosure record
Sent solicitation materials and claimed to purchase unlisted stocks, while impersonating a registration number similar to that of the Financial Bureau (Financial Instruments and Exchange Business No. 8).
1 Oct 2013
Firstrade Securities Inc. ※備考欄のとおり、米国証券取引委員会の認可を受けた業者の名称を騙っていたもの。Government disclosure record
Sent solicitation materials claiming to purchase securities, impersonating the name and address of Firstrade Securities Inc., a licensed US Securities and Exchange Commission registered firm. The name of the representative is unknown.
1 Oct 2013
（英語表記詐称） アルルキャピタルパートナーズ 有限責任組合 （Arle Capital Partners Limited） 最高責任者 A ※備考欄のとおり、実在する適格機関投資家等特例業務届出者の名称及び所在地を騙っていたもの。Government disclosure record
The company displayed and sent a notice claiming to be engaged in financial instruments business, falsely claiming to be [Arle Capital Partners Limited], an eligible institutional investor exception business operator, by misrepresenting its name and address, and also mimicking the name of the business and the notification date [Eligible Institutional Investor Exception Business Notification H20.7.29]. The solicitation materials closely resembled those of [Vanguard Capital Investment Limited Liability Company], which had issued a warning on August 30, 2013, and both listed [A] as the chief responsible person.
1 Oct 2013
株式会社三井コンサルタント 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a financial bureau registration number similar to 'Financial Bureau Director Kinsho 18'. Solicitation materials were confirmed at two locations.
1 Oct 2013
株式会社あすなろ商事 代表者 AGovernment disclosure record
Sent solicitation materials claiming to buy unlisted stocks, using a false registration number similar to the Financial Services Agency's registration number, and resembling materials from Misuzu Shoji Co., Ltd. which had been previously warned.
1 Oct 2013
株式会社LIP（ライフイノベーションプランニング) 代表取締役社長 AGovernment disclosure record
Sent solicitation materials claiming to募集 or private placement of funds (such as housing projects), with a note indicating notification to the Kanto Financial Bureau on July 10, 2009.
1 Oct 2013
株式会社a.b.c.market 代表取締役 AGovernment disclosure record
Engaged in mediating contracts for Capital Works Investment Limited, which was warned by the authorities on April 5, 2013, for conducting financial instruments business without registration, using solicitation materials to facilitate agreements where customers entrusted investment decisions on over-the-counter derivatives trading.
1 Oct 2013
株式会社三井エージェンシー 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to mediate the buying and selling of corporate bonds, using a trade name similar to the actual company Mitsui Agency LLC.
1 Oct 2013
Real Asset Management Limited（レアル アセット マネジメント リミテッド）Government disclosure record
An entity used solicitation materials to recruit or privately offer a foreign investment trust, REAL India Government Bond Equity Investment Fund. The name of the representative is unknown. The Kinki Local Finance Bureau issued a warning to Dream Bank International, Inc. on July 22, 2013, regarding handling of foreign investment trusts they were recruiting.
1 Sept 2013
株式会社セゾングループGovernment disclosure record
Sent solicitation materials and claimed to purchase unlisted shares. The names of the representatives are unknown. The address was obtained from the person solicited and is the same as that of Broad Co., Ltd. and Prime Co., Ltd., which issued warning letters on June 14, 2013, and July 23, 2013, respectively.
1 Sept 2013
株式会社東日本マネージメント 代表取締役社長 AGovernment disclosure record
The company displayed and sent a company profile indicating it engaged in financial instruments business, falsely claiming to have registration number Kanto Finance Bureau Director (Kinsho) No. 529, and used an address that appeared in the profile but was actually the address of a real company.
1 Sept 2013
株式会社クラフト 代表取締役 AGovernment disclosure record
Sent solicitation materials and engaged in stock trading or brokerage activities.
1 Sept 2013
MFGグローバル証券株式会社 代表取締役 AGovernment disclosure record
A person impersonated a financial instruments business operator, sent brochures to customers claiming to conduct Type 1 Financial Instruments Business, and solicited customers. They falsely claimed a registration number [Kansai Financial Bureau (Kinsho) No. 168] that does not exist. Although the business name includes the word [Securities], they are not registered under the Financial Instruments and Exchange Act.
1 Sept 2013
ヴァンガードキャピタルインベストメント有限責任会社 英文社名：Vanguard Capital Investments LLC 最高責任者 AGovernment disclosure record
Displayed and sent a company profile indicating that the company conducts financial instruments business.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Dec 2013 | G－プロモーション株式会社 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase securities and provide advice based on investment advisory contracts, and indicated that they engaged in Type II Financial Instruments Business and Investment Management Business. |
| 1 Nov 2013 | 株式会社三菱コンサルティング 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a registered financial bureau number, similar to that of Mitsui Consultant Inc., which had previously received a warning. |
| 1 Nov 2013 | 株式会社ライフステージ 代表取締役 A 関係者 B Government disclosure record | FSA unregistered operator warnings | Warning issued | The company's representative directors, either personally or through individuals or corporations called agents, were engaged in soliciting funds or handling private placements. |
| 1 Nov 2013 | 株式会社大和トレード 代表 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, impersonating a financial bureau registration number, similar to those used by Sanwa Trade Co., Ltd., which had previously received a warning. |
| 1 Nov 2013 | Delmation,Inc 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in providing advice based on an investment advisory contract via the internet. The website operated by the business is [Mister Delta Dot Com]. |
| 1 Nov 2013 | 株式会社サンネクスト 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and conducted募集 or private placement for a fund (solar power generation project). |
| 1 Oct 2013 | 株式会社三和トレード 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and claimed to purchase unlisted stocks, while impersonating a registration number similar to that of the Financial Bureau (Financial Instruments and Exchange Business No. 8). |
| 1 Oct 2013 | Firstrade Securities Inc. ※備考欄のとおり、米国証券取引委員会の認可を受けた業者の名称を騙っていたもの。 Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase securities, impersonating the name and address of Firstrade Securities Inc., a licensed US Securities and Exchange Commission registered firm. The name of the representative is unknown. |
| 1 Oct 2013 | （英語表記詐称） アルルキャピタルパートナーズ 有限責任組合 （Arle Capital Partners Limited） 最高責任者 A ※備考欄のとおり、実在する適格機関投資家等特例業務届出者の名称及び所在地を騙っていたもの。 Government disclosure record | FSA unregistered operator warnings | Warning issued | The company displayed and sent a notice claiming to be engaged in financial instruments business, falsely claiming to be [Arle Capital Partners Limited], an eligible institutional investor exception business operator, by misrepresenting its name and address, and also mimicking the name of the business and the notification date [Eligible Institutional Investor Exception Business Notification H20.7.29]. The solicitation materials closely resembled those of [Vanguard Capital Investment Limited Liability Company], which had issued a warning on August 30, 2013, and both listed [A] as the chief responsible person. |
| 1 Oct 2013 | 株式会社三井コンサルタント 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a financial bureau registration number similar to 'Financial Bureau Director Kinsho 18'. Solicitation materials were confirmed at two locations. |
| 1 Oct 2013 | 株式会社あすなろ商事 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to buy unlisted stocks, using a false registration number similar to the Financial Services Agency's registration number, and resembling materials from Misuzu Shoji Co., Ltd. which had been previously warned. |
| 1 Oct 2013 | 株式会社LIP（ライフイノベーションプランニング) 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to募集 or private placement of funds (such as housing projects), with a note indicating notification to the Kanto Financial Bureau on July 10, 2009. |
| 1 Oct 2013 | 株式会社a.b.c.market 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in mediating contracts for Capital Works Investment Limited, which was warned by the authorities on April 5, 2013, for conducting financial instruments business without registration, using solicitation materials to facilitate agreements where customers entrusted investment decisions on over-the-counter derivatives trading. |
| 1 Oct 2013 | 株式会社三井エージェンシー 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to mediate the buying and selling of corporate bonds, using a trade name similar to the actual company Mitsui Agency LLC. |
| 1 Oct 2013 | Real Asset Management Limited（レアル アセット マネジメント リミテッド） Government disclosure record | FSA unregistered operator warnings | Warning issued | An entity used solicitation materials to recruit or privately offer a foreign investment trust, REAL India Government Bond Equity Investment Fund. The name of the representative is unknown. The Kinki Local Finance Bureau issued a warning to Dream Bank International, Inc. on July 22, 2013, regarding handling of foreign investment trusts they were recruiting. |
| 1 Sept 2013 | 株式会社セゾングループ Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and claimed to purchase unlisted shares. The names of the representatives are unknown. The address was obtained from the person solicited and is the same as that of Broad Co., Ltd. and Prime Co., Ltd., which issued warning letters on June 14, 2013, and July 23, 2013, respectively. |
| 1 Sept 2013 | 株式会社東日本マネージメント 代表取締役社長 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The company displayed and sent a company profile indicating it engaged in financial instruments business, falsely claiming to have registration number Kanto Finance Bureau Director (Kinsho) No. 529, and used an address that appeared in the profile but was actually the address of a real company. |
| 1 Sept 2013 | 株式会社クラフト 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and engaged in stock trading or brokerage activities. |
| 1 Sept 2013 | MFGグローバル証券株式会社 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | A person impersonated a financial instruments business operator, sent brochures to customers claiming to conduct Type 1 Financial Instruments Business, and solicited customers. They falsely claimed a registration number [Kansai Financial Bureau (Kinsho) No. 168] that does not exist. Although the business name includes the word [Securities], they are not registered under the Financial Instruments and Exchange Act. |
| 1 Sept 2013 | ヴァンガードキャピタルインベストメント有限責任会社 英文社名：Vanguard Capital Investments LLC 最高責任者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Displayed and sent a company profile indicating that the company conducts financial instruments 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.