This page contains information about fines published during 2026. The total amount of fines so far is £17,956,123.
| Firm or individual fined | Date | Amount | Reason |
|---|---|---|---|
| Denisz Andras Nagy | 25/08/2026 | £324,800 | This Final Notice refers to breaches of APER and COCON related to failing to act with integrity, failing to be open and co-operative, and a lack of fitness and propriety in the wealth management and private banking sector. We imposed a financial penalty and a prohibition. |
| Sanjay Maraj | 25/08/2026 | £122,000 | This Final Notice refers to breaches of APER and COCON related to failing to act with integrity, failing to be open and co-operative, financial crime and lack of fitness/propriety in the wealth management and private banking sector. We imposed a financial penalty and a prohibition. |
| Demetrios Christos Hadjigeorgiou | 17/08/2026 | £56,400 | This Final Notice refers to breaches of APER 6 and FIT related to a failure to exercise due care, skill and diligence in the pensions sector. We imposed a financial penalty and prohibition order. |
| Paul Vincent Taylor | 12/08/2026 | £489,000 | This Final Notice refers to breaches of Individual Conduct Rule 1 (COCON 2.2.1R) relating to failing to act with integrity in the wholesale broking sector. We imposed a financial penalty and a prohibition order. |
| Esmeralda Toni | 12/08/2026 | £121,200 | This Final Notice refers to breaches of Individual Conduct Rule 1 (COCON 2.2.1R) relating to failing to act with integrity in the wholesale broking sector. We imposed a financial penalty and a prohibition order. |
| Frank Breuer | 12/05/2026 | £755,000 | This Final Notice refers to breaches of FIT, COCON 2.1.1 and APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Investment Adviser sector. We imposed a prohibition and a financial penalty. |
| Dinosaur Merchant Bank Limited | 24/03/2026 | £338,000 | This Final Notice refers to breaches of the Market Abuse Regulation, PRIN 3 and associated SYSC rules relating to a lack of systems and controls to prevent and detect market abuse in the trading sector. We imposed a financial penalty. |
| John Wood Group PLC | 03/03/2026 | £12,993,700 | The Final Notice refers to breaches of the Listing Rules and Listing Principle 1 relating to the publication of misleading information. We imposed a financial penalty. |
| Richard John Howson | 16/02/2026 | £237,700 | The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2. |
| Bhavesh Hirani | 27/01/2026 | £56,000 | The Final Notice refers to breaches of Article 14(a) and Article 14(c) of UK MAR relating to insider dealing and the unlawful disclosure of inside information. |
| Dipesh Kerai | 27/01/2026 | £52,731 | The Final Notice refers to a breach of Article 14(a) of UK MAR relating to insider dealing. |
| Darren Anthony Reynolds | 12/01/2026 | £2,037,892 | The Final Notice refers to a breach of Statement of Principle 1. |
| Richard Adam | 07/01/2026 | £232,800 | The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2. |
| Zafar Khan | 07/01/2026 | £138,900 | The Final Notice refers to knowing concern in breaches of Article 15 of the Market Abuse Regulations, Listing Rule 1.3.3R, Listing Principle 1 and Premium Listing Principle 2. |
