The AFM warns against Castlepeak and Sons, Ltd.
The Netherlands Authority for the Financial Markets (AFM) is warning investors not to respond to offers of securities services
made by Castlepeak and Sons, Ltd. (address used: Blue Ash 11427 Reed Hartman Highway, Cincinnati, OH 45241, USA).
Castlepeak and Sons, Ltd. (www.castlepeakandsons.com) is offering securities services in the Netherlands, without having the
requisite licence to do so nor has Castlepeak and Sons, Ltd. been granted an exemption from this license obligation. The AFM
has received complaints about Castlepeak and Sons, Ltd. who has approached persons in the Netherlands for that purpose by telephone.
Institutions offering securities services in the Netherlands without possessing a licence or without having been granted an exemption,
are in breach of Section 7(1) of the 1995 Supervision of Securities Transactions Act (Wet toezicht effectenverkeer 1995 - Wte 1995).
This public notification is issued in accordance with Section 48n, subsection c, of the Wte 1995 and Section 48s of the Wte 1995
(fake or unknown address / identity).
The AFM advises anyone who wants to do business with an institution or person, to check beforehand in the Institutions Register
for securities services whether the institution or person concerned is registered and allowed to offer or perform securities services
in the Netherlands. The register can be found on the AFM website http://www.afm.nl/english.htm. Alternatively, investors who have
any questions or complaints may call the AFM Supervision Line on +31 (0)20 5535 535.