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
3,143
Labor
1,923
FSA warnings
1,158
Travel
62
3,143 public records(page 144 of 158)
1 Jul 2013
合同会社おはよえーす（OHAYO-ACE．LLC） 代表社員 AGovernment disclosure record
Sent solicitation materials claiming to conduct募集 or private placement of a fund (solar power generation project), while falsely claiming to be a registered qualified institutional investor under the special exemption business notification.
1 Jul 2013
Japan Mineraly株式会社 代表取締役 AGovernment disclosure record
Displayed that they conduct financial instruments business on their website.
1 Jul 2013
Dream Bank International, Inc.Government disclosure record
Handled solicitation by sending materials for funds named [REAL India IPO Investment Premium] and [REAL India Government Bond Equity Investment Fund] operated by Real Asset Management Limited, with the names of representatives unknown.
1 Jul 2013
株式会社ジパングロックGovernment disclosure record
Engaged in soliciting or handling investment trusts that include gold mining stocks, after sending solicitation materials. The name of the representative is unknown.
1 Jul 2013
株式会社プライムGovernment disclosure record
Sent solicitation materials and claimed to purchase unlisted shares. The name of the representative is unknown. The location was obtained from the person solicited and is the same as that of Kabushiki Kaisha Broad, which issued a warning letter on June 14, 2013.
1 Jun 2013
株式会社東和商事 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to buy unlisted stocks, using a registration number similar to the Kanto Local Finance Bureau's registration number, to deceive recipients.
1 Jun 2013
株式会社日証ファンド・マネジメント 代表取締役 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, and impersonated a Financial Services Agency registration number similar to [Financial Services Agency Kinsho No. 089].
1 Jun 2013
株式会社エスケーホールディングス 代表者 AGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, while impersonating a registration number similar to the Financial Services Agency's registration number [Registration: Authorized Financial Instruments Business No. 258].
1 Jun 2013
Globe Gain Corp.（GLOBE GAIN）Government disclosure record
Engaging in mediation of over-the-counter derivative transactions via the internet. The name of the representative is unknown.
1 Jun 2013
NATURE FOREX Ltd.,（NATURE FOREX）Government disclosure record
Engaging in over-the-counter derivative transactions via the internet. The name of the representative is unknown.
1 Jun 2013
株式会社新日本マネージメント 代表者 AGovernment disclosure record
Displayed and sent a company profile indicating that the company engages in financial instruments business.
1 Jun 2013
(詐称) 株式会社丸三証券 ※備考欄のとおり、登録を受けた金融商品取引業者の商号と類似した名称を騙っていたもの。Government disclosure record
The entity sent solicitation materials and engaged in the sale or brokerage of unlisted stocks. The name of the representative is unknown. It impersonated the registered financial instruments business operator 'Marusan Securities Co., Ltd.' and its location. The solicitation materials closely resemble those of 'Toyo Capital Co., Ltd.' and 'Mizuho Securities Co., Ltd.', which were publicly identified as fraudulent operators on May 22, 2013, and on the same date respectively.
1 Jun 2013
株式会社エスビーシーフィナンシャルアンドホールデングス 代表取締役 AGovernment disclosure record
Sent solicitation materials and claimed to mediate stock transactions. Sent a stock transfer report under the name of SBC Financial & Holdings Futures Stock Club.
1 Jun 2013
JB AND ROTHSCHILS SC Ltd（JB ROTHSCHILD）Government disclosure record
Engaging in over-the-counter derivative transactions via the internet. The name of the representative is unknown.
1 Jun 2013
Step 1 Up （Asia） LmitedGovernment disclosure record
Displayed and sent company profile indicating that the company engages in financial instruments business. The name of the representative is unknown.
1 Jun 2013
株式会社アイザワ商事 代表者 AGovernment disclosure record
Sent solicitation materials claiming to buy unlisted stocks, and impersonated the registration number of the Kanto Local Finance Bureau.
1 Jun 2013
株式会社セレクトGovernment disclosure record
Sent solicitation materials claiming to purchase unlisted stocks, with false statements about mergers or acquisitions of unlisted stock issuing companies. The companies involved include Advance, Oriental, Nexus, and Techno System, with dates ranging from January to March 2013.
1 Jun 2013
SALAH Ltd.（SEVENFX）Government disclosure record
Engaging in over-the-counter derivative transactions via the internet. The name of the representative is unknown.
1 Jun 2013
株式会社武蔵野コンサルタント 代表取締役 AGovernment disclosure record
Sent solicitation materials and claimed to purchase unlisted stocks, etc.
1 Jun 2013
株式会社グランター 代表取締役 AGovernment disclosure record
The entity was involved in mediating contracts where clients entrusted them with investment decisions regarding over-the-counter derivatives, using solicitation materials. The Financial Instruments and Exchange Surveillance Commission filed a petition on August 6, 2014, to prohibit and cease the entity's violations of the Financial Instruments and Exchange Act, specifically for unregistered solicitation and handling of fund募集 or private placements.
| Date | Company / operator | Source | Type | Summary |
|---|---|---|---|---|
| 1 Jul 2013 | 合同会社おはよえーす（OHAYO-ACE．LLC） 代表社員 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to conduct募集 or private placement of a fund (solar power generation project), while falsely claiming to be a registered qualified institutional investor under the special exemption business notification. |
| 1 Jul 2013 | Japan Mineraly株式会社 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Displayed that they conduct financial instruments business on their website. |
| 1 Jul 2013 | Dream Bank International, Inc. Government disclosure record | FSA unregistered operator warnings | Warning issued | Handled solicitation by sending materials for funds named [REAL India IPO Investment Premium] and [REAL India Government Bond Equity Investment Fund] operated by Real Asset Management Limited, with the names of representatives unknown. |
| 1 Jul 2013 | 株式会社ジパングロック Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaged in soliciting or handling investment trusts that include gold mining stocks, after sending solicitation materials. The name of the representative is unknown. |
| 1 Jul 2013 | 株式会社プライム Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and claimed to purchase unlisted shares. The name of the representative is unknown. The location was obtained from the person solicited and is the same as that of Kabushiki Kaisha Broad, which issued a warning letter on June 14, 2013. |
| 1 Jun 2013 | 株式会社東和商事 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to buy unlisted stocks, using a registration number similar to the Kanto Local Finance Bureau's registration number, to deceive recipients. |
| 1 Jun 2013 | 株式会社日証ファンド・マネジメント 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, and impersonated a Financial Services Agency registration number similar to [Financial Services Agency Kinsho No. 089]. |
| 1 Jun 2013 | 株式会社エスケーホールディングス 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 the Financial Services Agency's registration number [Registration: Authorized Financial Instruments Business No. 258]. |
| 1 Jun 2013 | Globe Gain Corp.（GLOBE GAIN） Government disclosure record | FSA unregistered operator warnings | Warning issued | Engaging in mediation of over-the-counter derivative transactions via the internet. The name of the representative is unknown. |
| 1 Jun 2013 | NATURE FOREX Ltd.,（NATURE FOREX） 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 Jun 2013 | 株式会社新日本マネージメント 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Displayed and sent a company profile indicating that the company engages in financial instruments business. |
| 1 Jun 2013 | (詐称) 株式会社丸三証券 ※備考欄のとおり、登録を受けた金融商品取引業者の商号と類似した名称を騙っていたもの。 Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity sent solicitation materials and engaged in the sale or brokerage of unlisted stocks. The name of the representative is unknown. It impersonated the registered financial instruments business operator 'Marusan Securities Co., Ltd.' and its location. The solicitation materials closely resemble those of 'Toyo Capital Co., Ltd.' and 'Mizuho Securities Co., Ltd.', which were publicly identified as fraudulent operators on May 22, 2013, and on the same date respectively. |
| 1 Jun 2013 | 株式会社エスビーシーフィナンシャルアンドホールデングス 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and claimed to mediate stock transactions. Sent a stock transfer report under the name of SBC Financial & Holdings Futures Stock Club. |
| 1 Jun 2013 | JB AND ROTHSCHILS SC Ltd（JB ROTHSCHILD） 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 Jun 2013 | Step 1 Up （Asia） Lmited Government disclosure record | FSA unregistered operator warnings | Warning issued | Displayed and sent company profile indicating that the company engages in financial instruments business. The name of the representative is unknown. |
| 1 Jun 2013 | 株式会社アイザワ商事 代表者 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to buy unlisted stocks, and impersonated the registration number of the Kanto Local Finance Bureau. |
| 1 Jun 2013 | 株式会社セレクト Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials claiming to purchase unlisted stocks, with false statements about mergers or acquisitions of unlisted stock issuing companies. The companies involved include Advance, Oriental, Nexus, and Techno System, with dates ranging from January to March 2013. |
| 1 Jun 2013 | SALAH Ltd.（SEVENFX） 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 Jun 2013 | 株式会社武蔵野コンサルタント 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | Sent solicitation materials and claimed to purchase unlisted stocks, etc. |
| 1 Jun 2013 | 株式会社グランター 代表取締役 A Government disclosure record | FSA unregistered operator warnings | Warning issued | The entity was involved in mediating contracts where clients entrusted them with investment decisions regarding over-the-counter derivatives, using solicitation materials. The Financial Instruments and Exchange Surveillance Commission filed a petition on August 6, 2014, to prohibit and cease the entity's violations of the Financial Instruments and Exchange Act, specifically for unregistered solicitation and handling of fund募集 or private placements. |
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.