AJ Wyman & Associates LLC
- Warnung FCA UK
We (the Financial Services Authority- FSA) have published this statement today in order to warn investors against dealing with unauthorised firms.
This statement is to advise members of the public that an organisation identifying itself to UK individuals as:
AJ WYMAN & ASSOCIATES LLC
Address: 1511 3rd Avenue
Seattle WA 98101
is NOT authorised under the Financial Services and Markets Act 2000 ("FSMA") to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares). The FSA believes that this organisation may be targeting UK customers.
What does this mean for you?
If you are an investor, you should be aware that the Financial Ombudsman Service and the Financial Services Compensation Scheme are not available if you deal with an unauthorised company or individual.
How can you check whether a firm is authorised?
To find out whether a company or individual is authorised, go to the FSA Register Check Service at http://www.fsa.gov.uk/Pages/register/.
Date: 22 October 2012
Note: For an up-to-date list of unauthorised firms issued, please visit:
For further information on unauthorised firms targeting UK investors see the press release issued on 17 April 2012 at:
For more details about the tactics that are commonly adopted by unauthorised firms targeting UK investors see the "Stay Safe from Scams" pages available at:
The Shares Investments Scam leaflet is available at: