Brokers flagged by BAFIN

The BaFin Has Flagged These Brokers. What This Means for You


BaFin has issued warnings about the following brokers. You should always pay attention when BaFIN flags a broker or financial service because they work in tandem with the German government to provide oversight for consumers. 

They are very familiar with the dynamics of financial frauds, and their duty is to warn the public about potential frauds. Therefore, it’s safe to say if BaFin has flagged a broker, they know what they are talking about. 

At Broker Complaint Registry, we examine brokers carefully and stay alert to these warnings from the world’s most reliable regulators. We expand on listings and create full reviews of these brokers to try to understand how they work and communicate information to consumers.

 Instead of going to individual regulator’s sites we have a “one-stop shop” approach to checking out brokers for any regulatory warnings and complaints. We update this list regularly to aid with your research. 

Keep in mind that, when researching brokers, if the name doesn’t appear in our listings, don’t automatically conclude that the broker is fine. However, we do give you updated warnings from the most respected regulatory bodies.

Federal Financial Supervisory Advisory (BaFIN)


BaFin is an autonomous institution that gives legal and financial oversight of Germany’s banks, brokers, insurance companies and all types of financial services. BaFin has employees all over Germany that ensures financial institutions comply with rules and regulations and provide fair terms and transparency to their customers. It also enforces standards and can take disciplinary action against problematic financial companies.

Why Were These Brokers Flagged by the BaFIN?


There can be numerous reasons why the BaFIN chooses to warn the public about a financial service. The following are the most frequently occurring reasons for these warnings. 

  • Unlicensed
  • Misleading claims
  • Clone broker
  • Non-compliance
  • Numerous customer complaints
  • Legal action against the broker

One of the most common reasons BaFIn flags financial companies is that they don’t have a license. This means that they never had a license, they have had their license revoked and are still trying to operate or are not telling the truth about their licensing. 

They will also issue a warning if the broker is making misleading claims, for instance, about returns their clients will make on their investments.

BaFIN also warns the public about clone brokers, or imposter financial services that take a similar name to registered brokers. They may also warn the public about non-compliance with rules and regulations as well as numerous customer complaints. BaFin will also let the public know when a broker is facing serious legal action.

Brokers flagged by BAFIN

Panteras Capital PLC

Green Wave Materials Corp

Adler & Bernstein (

Trautman Son’s Kapitaly

C+C Finanz

L8 Holdings Ltd

Intertrade Worldwide Business Sl

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