Red Flag

Investoren-Alerts

In this overview you will find information on financial service providers that have attracted attention in the past. Information on the companies came from the DDH community, was submitted anonymously, was identified during mystery shopping or resulted in action by the supervisory authorities.

You may find it here if you are looking for background information on companies that have withdrawn from the market.

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Red Flag
The information provided here primarily serves to raise awareness, but ultimately, a certain amount of healthy foresight is recommended to protect yourself from unforeseen surprises. With the overviews developed by DDH, we offer you sufficient possibilities to choose your future financial service provider with a clear conscience and based on sound information.

The 'Red Flag' overview is dedicated to companies that have failed to comply with the requirements of the supervisory authorities in their operational business. If these are not petty offences but problems of a systemic nature, these violations can result in fines and sanctions. Normally, financial service providers avoid being placed in situations where regulators feel compelled to punish misconduct through disciplinary action.

Our overviews may also include companies that have come under increased criticism from the community have attracted negative attention in rating portals or DDH rankings, or have been brought to our attention via whistleblowing. Also listed are cases of identity theft, which make well-known names their own and mislead inexperienced users with fake identities.

Recent Regulatory Actions: Gain Capital LLC - $700,000 penalty (NFA)

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The information presented here is non-judgmental and should not be interpreted as a pre-judgement. Companies that want to improve their processes should feel motivated to quickly and specifically remedy the findings of the supervisory authorities and furthermore ensure that incidents do not occur again. A penalty should be the last resort and urgently lead to the necessary improvements. If this does not happen, alarm bells should ring.

If the reasons for a red flag listing no longer apply, this will be taken into account accordingly. Please feel free to contact us directly should you feel that a listing in this area would no longer be necessary.
Important Notice
If you are a customer of a financial service provider who is not providing the service agreed in the contract or is not handling concerns such as complaints from you with due diligence, please let us know. In many cases, we have been able to help consumers take the right steps. If you have become a victim of a dubious scam, please do not immediately trust service providers who promise to get your lost investments back. Such offers usually hide opaque constructions, for which there is now also a technical term - Recovery Room Fraud. If you need real help, we can refer you to law firms that specialise in such cases. Here you will receive honest and quick help.
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DDH+TinyURL: ddh.plus/en/rf