This page contains information about fines published during 2026. The total amount of fines so far is £16,842,723.
| Firm or individual fined | Date | Amount | Reason |
|---|---|---|---|
| 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. |
