Search results
Showing 12 to 21 of 857 search results for FCA fines and bans.
-
Fines
Table of fines with links to further information. -
FCA bans and fines James Lewis £120,300 for putting investors at risk
James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA. -
Tribunal upholds FCA ban and significant fine on insurance broker
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for -
FCA bans and fines former insurance broker £140,000
The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity. -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins
FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst). -
Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi
Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. -
Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives
The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).